HomeMy WebLinkAbout12-15-2015 Item 8, SLO Transit RFP
slotransit.org
REQUEST FOR PROPOSALS (RFP)
Operation and Maintenance of Fixed Route,
Public Transit Services
SPECIFICATION: 91433
SLO TRANSIT, City of San Luis Obispo
San Luis Obispo, California
RFP RELEASE DATE December 16, 2015
PROPOSALS DUE March 9, 2016
PROJECTED AWARD DATE May 3, 2016
SERVICE START‐UP DATE July 1, 2016
ISSUING OFFICE:
City of San Luis Obispo
Public Works Department
919 Palm Street
San Luis Obispo, CA 93401
Table of Contents
SLO TRANSIT, City of San Luis Obispo
TABLE OF CONTENTS ...................................................................................................................................... 3
PART ONE: REQUEST FOR PROPOSALS (RFP) ................................................................................................... 8
PART TWO: OPERATIONS AND MAINTENANCE AGREEMENT ........................................................................... 6
PART THREE: SCOPE OF WORK ...................................................................................................................... 34
PART FOUR: APPENDICES ............................................................................................................................. 56
TABLE OF CONTENTS
TABLE OF CONTENTS ............................................................................................................................................................... 2
PART ONE: REQUEST FOR PROPOSALS (RFP) ............................................................................................................................ 8
GENERAL INFORMATION ................................................................................................................................................. 9
A. Introduction .................................................................................................................................................................... 9
B. Service Description ......................................................................................................................................................... 9
C. Fleet ................................................................................................................................................................................ 9
D. Administration and Funding ............................................................................................................................................ 9
E. Pending Issues ............................................................................................................................................................... 10
F. Areas of Emphasis ......................................................................................................................................................... 10
SELECTION PROCESS ....................................................................................................................................................... 10
A. Tentative Schedule ........................................................................................................................................................ 10
B. RFP Package .................................................................................................................................................................. 11
C. Pre‐Proposal Conference and Site Visits ....................................................................................................................... 11
D. Submission of Questions ............................................................................................................................................... 11
E. Protests ......................................................................................................................................................................... 11
F. Proposal Submittal Deadline ......................................................................................................................................... 12
G. Evaluation of Proposals ................................................................................................................................................. 12
H. Interview ....................................................................................................................................................................... 16
I. Selection ....................................................................................................................................................................... 16
CONDITIONS AND INSTRUCTIONS FOR SUBMITTAL OF PROPOSALS ................................................................................. 16
A. Adherence to Proposal Form ........................................................................................................................................ 16
B. Required Submittal Information ..................................................................................................................................... 16
C. Use of Subcontractor .................................................................................................................................................... 17
D. Representations ............................................................................................................................................................ 17
E. Pre‐Contractual Expenses ............................................................................................................................................. 17
F. Effective Period of Proposal ............................................................................................................................................ 18
G. Withdrawal of Proposal ................................................................................................................................................ 18
H. RFP Addendum .............................................................................................................................................................. 18
I. Verbal Agreement or Conversation ............................................................................................................................... 18
J. Special Funding Considerations .................................................................................................................................... 18
K. Exceptions and Alternatives .......................................................................................................................................... 18
L. Performance Bond/Security .......................................................................................................................................... 18
M. Non‐Exclusivity of Contract ........................................................................................................................................... 18
N. Non‐Collusion Affidavit ................................................................................................................................................. 18
O. Conflict of Interest ........................................................................................................................................................ 19
P. Authorized Amendment ............................................................................................................................................... 19
Q. Applicable Law .............................................................................................................................................................. 19
R. Lobbying ........................................................................................................................................................................ 19
S. Facility Visits .................................................................................................................................................................. 19
T. Federal Proposal and Contract Certifications ................................................................................................................ 19
U. Worker’s Compensation Insurance Certification .......................................................................................................... 20
V. Summary of Insurance & Indemnity Requirements ....................................................................................................... 20
INSTRUCTIONS FOR COMPLETION OF SF‐LLL, DISCLOSURE OF LOBBYING ............................................................................... 0
ACTIVITIES ............................................................................................................................................................................... 0
PART TWO: OPERATIONS AND MAINTENANCE AGREEMENT (DRAFT) ...................................................................................... 6
1. Purpose of Agreement ......................................................................................................................................... 9
Term of Agreement ......................................................................................................................................................... 9
Scope of Work ................................................................................................................................................................ 10
Maximum Obligation ...................................................................................................................................................... 10
Price Formula ................................................................................................................................................................. 10
Extra Services ................................................................................................................................................................. 11
General and Vehicles Insurance ...................................................................................................................................... 11
Worker’s Compensation ................................................................................................................................................. 14
Indemnification .............................................................................................................................................................. 14
Performance Bond ......................................................................................................................................................... 15
Invoices .......................................................................................................................................................................... 15
Payment......................................................................................................................................................................... 16
Operating Revenues ....................................................................................................................................................... 16
Control 16
Contract Assignment ...................................................................................................................................................... 16
Dispute Resolution ......................................................................................................................................................... 16
Resolution of Federal Procurement Issues ...................................................................................................................... 17
Stop Work ...................................................................................................................................................................... 17
Termination for Default .................................................................................................................................................. 17
Termination for Convenience ......................................................................................................................................... 18
Remedies on Breach (Waiver of Remedies) ..................................................................................................................... 19
Rights Upon Termination Or Expiration And Waiver Of Claims ........................................................................................ 19
Changes ......................................................................................................................................................................... 19
Modification of Agreement ............................................................................................................................................ 20
Notices 20
Proprietary Rights .......................................................................................................................................................... 20
Force Majeure ................................................................................................................................................................ 20
Information and Documents ........................................................................................................................................... 21
Emergency Procedures ................................................................................................................................................... 21
Access to Records and Reports (Audit and Inspection) .................................................................................................... 21
Transfer of Title to Equipment ........................................................................................................................................ 21
Transportation Data Reporting ....................................................................................................................................... 22
Permits and Licenses ...................................................................................................................................................... 22
Non‐Discrimination in Employment and Service .............................................................................................................. 22
Labor Provisions ............................................................................................................................................................. 23
Transit Employee Protective Agreements ....................................................................................................................... 24
Access Requirements for Persons with Disabilities .......................................................................................................... 24
Civil Rights ..................................................................................................................................................................... 25
Disadvantaged Business Enterprise ................................................................................................................................. 26
Drug and Alcohol Testing ................................................................................................................................................ 26
Charter Service Operations ............................................................................................................................................. 26
School Bus Operations .................................................................................................................................................... 27
Miscellaneous Provisions ................................................................................................................................................ 27
Lobbying ........................................................................................................................................................................ 29
Compliance with Federal, State, and Local Laws .............................................................................................................. 30
Program Fraud and False or Fraudulent Statements Or Related Acts ............................................................................... 30
Incorporation of Federal Transit Administration (FTA) Terms .......................................................................................... 31
Privacy Act ..................................................................................................................................................................... 31
Independent Contractor ................................................................................................................................................. 31
Transition to Future Operator ......................................................................................................................................... 32
Severability .................................................................................................................................................................... 32
Precedence of Contract Documents ................................................................................................................................ 32
Additional Terms ............................................................................................................................................................ 32
PART THREE: SCOPE OF WORK ............................................................................................................................................... 34
1. GENERAL INFORMATION .................................................................................................................................... 36
ROLE OF THE CITY ........................................................................................................................................................... 36
A. Contract Administration ............................................................................................................................................... 36
B. Policies & Procedures ................................................................................................................................................... 36
C. Point of Contact ............................................................................................................................................................ 36
D. Routes & Schedules ...................................................................................................................................................... 36
E. Funding Management ................................................................................................................................................... 37
F. Vehicles, Equipment & Facilities ................................................................................................................................... 37
G. Marketing, Advertising & Public Communications ....................................................................................................... 38
H. Schedules, Passes, Tickets, Transfers and Service Brochures ........................................................................................ 38
I. Monitoring and Auditing ............................................................................................................................................... 38
J. Purchase of Fuel ............................................................................................................................................................ 38
K. Compensation ............................................................................................................................................................... 39
L. Federal Clauses ............................................................................................................................................................. 39
ROLE OF THE CONTRACTOR ............................................................................................................................................ 40
A. Policies & Procedures ................................................................................................................................................... 40
B. Operations: Routes & Schedules ................................................................................................................................... 40
C. Funding Management ................................................................................................................................................... 40
D. Maintenance & Cleaning: Vehicles, Equipment, Facilities and Street Furnishings ...................................................... 41
E. Facility Maintenance Program ...................................................................................................................................... 42
F. Marketing ...................................................................................................................................................................... 43
G. Point(s) of Contact ........................................................................................................................................................ 43
H. Staffing .......................................................................................................................................................................... 43
I. Failing to Employ Required Management ‐ Penalty ..................................................................................................... 45
J. Other Positions ............................................................................................................................................................. 45
K. Union Relations ............................................................................................................................................................. 47
L. Drug Testing .................................................................................................................................................................. 47
M. Customer Service .......................................................................................................................................................... 48
N. Training ......................................................................................................................................................................... 48
O. Training Equipment ....................................................................................................................................................... 48
P. Uniforms ....................................................................................................................................................................... 48
Q. Time Keeping ................................................................................................................................................................ 49
R. System Safety ................................................................................................................................................................ 49
S. Insurance ....................................................................................................................................................................... 49
T. Preventive Maintenance and Inspection ...................................................................................................................... 49
U. Vehicle Repair ............................................................................................................................................................... 50
V. Overhaul and Replacement (Major Components) ........................................................................................................ 50
W. Maintenance Records .................................................................................................................................................... 51
X. Parts Inventory .............................................................................................................................................................. 51
Y. Farebox Revenue Collection and Accounting ............................................................................................................... 51
Z. Operational Contingencies............................................................................................................................................ 52
AA. Declared Emergencies................................................................................................................................................... 52
BB. Disadvantaged Business Enterprises Goal .................................................................................................................... 52
CC. Reporting ...................................................................................................................................................................... 52
DD. Financial Records .......................................................................................................................................................... 52
EE. Operating Reports ......................................................................................................................................................... 53
FF. Accident and Incident Reporting ................................................................................................................................... 53
GG. Compensation ............................................................................................................................................................... 54
HH. Surveys .......................................................................................................................................................................... 54
II. Penalties & Incentives (Liquidated Damages) ............................................................................................................... 54
JJ. Environmentally Friendly / Recycling Program ............................................................................................................. 55
PART FOUR: APPENDICES ...................................................................................................................................................... 56
Appendix A: Route Schedule and Stats ............................................................................................................................ 58
Table 1: Revenue Service Quick Stats ................................................................................................................................... 58
Table 2: Revenue Service Quick Stats (Continued) ............................................................................................................... 59
Table 3: Route 1 Schedule ..................................................................................................................................................... 60
Table 4: Route 2 Schedule ..................................................................................................................................................... 61
Table 5: Route 3 Schedule ..................................................................................................................................................... 62
Table 6: Route 4 A&B Schedule ............................................................................................................................................. 63
Table 7: Route 5 A&B Schedule ............................................................................................................................................. 64
Table 8: Route 6A Schedule .................................................................................................................................................. 65
Table 9: Route 6B Schedule................................................................................................................................................... 66
Table 10: Route 6 A/B Schedule ............................................................................................................................................ 67
Table 11: Trolley Schedule .................................................................................................................................................... 68
Table 12: Tripper Schedule ................................................................................................................................................... 69
Appendix B: Fleet Roster ................................................................................................................................................ 70
Appendix C: Short Range Transit Plan ............................................................................................................................. 71
Appendix D: City Provided Equipment ............................................................................................................................ 72
Appendix E: Transit Operations & Maintenance Facility .................................................................................................. 73
Appendix F: Federal Clauses ........................................................................................................................................... 74
1. Fly America Requirements ................................................................................................................................................ 74
2. Buy America Requirements ............................................................................................................................................... 74
3. Charter Bus Requirements ................................................................................................................................................ 76
4. School Bus Requirements .................................................................................................................................................. 77
5. Cargo Preference Requirements ....................................................................................................................................... 77
6. Seismic Safety Requirements ............................................................................................................................................ 78
7. Energy Conservation Requirements .................................................................................................................................. 78
8. Clean Water Requirements ............................................................................................................................................... 78
9. Bus Testing ........................................................................................................................................................................ 79
10. Pre‐award and Post Delivery Audits Requirements ........................................................................................................ 80
11. Lobbying .......................................................................................................................................................................... 82
12. Access to Records and Reports ....................................................................................................................................... 84
13. Federal Changes .............................................................................................................................................................. 86
14. Bonding Requirements .................................................................................................................................................... 86
15. Clean Air .......................................................................................................................................................................... 89
16. Recycled Products ........................................................................................................................................................... 89
17. Davis‐Bacon and Copeland Anti‐Kickback Acts ............................................................................................................... 90
18. Contract Work Hours and Safety Standards Act ............................................................................................................. 96
19. [ RESERVED ] .................................................................................................................................................................... 97
20. No Government Obligation to Third Parties ................................................................................................................... 97
21. Program Fraud and False or Fraudulent Statements and Related Acts .......................................................................... 97
22. Termination ..................................................................................................................................................................... 98
23. Government‐Wide Debarment and Suspension (Nonprocurement) ............................................................................ 101
24. Privacy Act ..................................................................................................................................................................... 102
25. Civil Rights Requirements ............................................................................................................................................. 103
26. Breaches and Dispute Resolution ................................................................................................................................. 104
27. Patent and Rights in Data .............................................................................................................................................. 105
28. Transit Employee Protective Agreements ..................................................................................................................... 108
29. Disadvantaged Business Enterprise (DBE) ..................................................................................................................... 110
30. [ RESERVED ] .................................................................................................................................................................. 111
31. Incorporation of Federal Transit Administration (FTA) Terms ...................................................................................... 111
32. Drug and Alcohol Testing .............................................................................................................................................. 112
Appendix G: Penalties & Incentives (Liquidated Damages) ............................................................................................ 115
Table 1: Penalties & Incentives (Liquidated Damages) ....................................................................................................... 120
Appendix H: Disadvantaged Business Enterprises (DBE) Goal ........................................................................................ 122
Appendix I: Reporting Requirements ............................................................................................................................ 156
Part One: Request for Proposals (RFP)
SLO TRANSIT, City of San Luis Obispo
TABLE OF CONTENTS ..................................................................................................................................... 2
PART ONE: REQUEST FOR PROPOSALS (RFP) ................................................................................................... 8
1. GENERAL INFORMATION ..................................................................................................................................... 9
A. Introduction .................................................................................................................................................................... 9
B. Service Description ......................................................................................................................................................... 9
C. Fleet ................................................................................................................................................................................ 9
D. Administration and Funding ............................................................................................................................................ 9
E. Pending Issues ............................................................................................................................................................... 10
F. Areas of Emphasis ......................................................................................................................................................... 10
2. SELECTION PROCESS ........................................................................................................................................... 10
A. Tentative Schedule ........................................................................................................................................................ 10
B. RFP Package .................................................................................................................................................................. 11
C. Pre‐Proposal Conference and Site Visits ....................................................................................................................... 11
D. Submission of Questions ............................................................................................................................................... 11
E. Protests ......................................................................................................................................................................... 11
F. Proposal Submittal Deadline ......................................................................................................................................... 12
G. Evaluation of Proposals ................................................................................................................................................. 12
H. Interview ....................................................................................................................................................................... 16
I. Selection ....................................................................................................................................................................... 16
3. CONDITIONS AND INSTRUCTIONS FOR SUBMITTAL OF PROPOSALS ...................................................................... 16
A. Adherence to Proposal Form ........................................................................................................................................ 16
B. Required Submittal Information ..................................................................................................................................... 16
C. Use of Subcontractor .................................................................................................................................................... 17
D. Representations ............................................................................................................................................................ 17
E. Pre‐Contractual Expenses ............................................................................................................................................. 17
F. Effective Period of Proposal ............................................................................................................................................ 18
G. Withdrawal of Proposal ................................................................................................................................................ 18
H. RFP Addendum .............................................................................................................................................................. 18
I. Verbal Agreement or Conversation ............................................................................................................................... 18
J. Special Funding Considerations .................................................................................................................................... 18
K. Exceptions and Alternatives .......................................................................................................................................... 18
L. Performance Bond/Security .......................................................................................................................................... 18
M. Non‐Exclusivity of Contract ........................................................................................................................................... 18
N. Non‐Collusion Affidavit ................................................................................................................................................. 18
O. Conflict of Interest ........................................................................................................................................................ 19
P. Authorized Amendment ............................................................................................................................................... 19
Q. Applicable Law .............................................................................................................................................................. 19
R. Lobbying ........................................................................................................................................................................ 19
S. Facility Visits .................................................................................................................................................................. 19
T. Federal Proposal and Contract Certifications ................................................................................................................ 19
U. Worker’s Compensation Insurance Certification .......................................................................................................... 20
V. Summary of Insurance & Indemnity Requirements ....................................................................................................... 20
Part One: Request for Proposals (RFP)
SLO TRANSIT, City of San Luis Obispo
GENERAL INFORMATION
A. Introduction
The City of San Luis Obispo is centrally located along California’s Central Coast, half way between San Francisco and Los Angeles along
the Highway 101 corridor. The City of San Luis Obispo is the County Seat for San Luis Obispo County and as such, it is also the
governmental, economic, medical and educational hub for the other cities in the county. San Luis Obispo has a population of roughly
45,119 (Source: 2010 Census) with an estimated additional population of 20,000 students when California PolyTechnic State
University is in session.
B. Service Description
SLO TRANSIT is the local fixed‐route transit operation for the City of San Luis Obispo, operating directly out of the City’s Public Works
Department. SLO TRANSIT operates 10 vehicles at peak along eight fixed‐routes within the 23 square miles of the city limits of San
Luis Obispo and California PolyTechnic State University. SLO TRANSIT operates Monday through Friday approximately from 6 a.m. to
10 p.m. and Sat & Sun from 8 a.m. to 7 p.m. See Appendix A – Route Schedules & Stats for actual schedule information.
SLO TRANSIT has seen steady increase in ridership over the last ten years and now transports over 1.1 Million riders annually. SLO
TRANSIT ridership demographics reflect a broad cross section of riders, including: seniors, disabled, socially or economic transit
dependent, K‐12 students, collegial students, working professionals and choice riders. Operation and maintenance of all fixed‐route
services are contracted out to a third party vendor.
For para‐transit services within the service area the county’s consolidated para‐transit service provider known as Run‐About. Run‐
About is operated by SLO Regional Transit Authority (RTA) and who also provides inter‐city services to the other cities and parts of
the county. Therefore this contract does not include the operations of para‐transit rather only local fixed route services.
The public has direct access for participating in the improvements and management of SLO TRANSIT services. By direction of the City
Council, a Mass Transit Committee (MTC) was formed in 1972 to provide them with input on matters related to transit. The
committee is an advisory body comprised of nine‐member citizen volunteers representing communities with Disabilities, Seniors,
Students, Cal Poly University, Business, Technical, At‐Large and two Alternatives. Their purpose is to gather input and representation
of the general public on matters of setting priorities and planning processes.
C. Fleet
SLO TRANSIT provides a fleet of fixed‐route vehicles for use in this contract. A shop truck is also provided to the contractor along with
one accessible mini‐van for road supervision and driver change‐outs. A detailed vehicle list is included in Appendix B – Fleet Roster of
the Scope of Work. All of the fixed‐route buses are diesel powered while the Trolley, Cut‐Away, Shop Truck and Minivan are gasoline
powered. The inclusion of alternative fuel vehicles in the future is still yet to be determined but is a goal of the City and SLO TRANSIT.
All SLO TRANSIT revenue buses are ADA accessible, have bike racks and air conditioning. Minor fleet changes and/or additions are
expected over the life of the service contract, but the current fleet should be assumed to be unchanged for the purpose of this RFP as
any modifications can and will be accommodated within the terms of the agreement.
D. Administration and Funding
The City of San Luis Obispo is a charter city governed by five (5) elected officials, including one Mayor. The City maintains a City
Manager, administrative team, and ten other departments to exercise City Council decisions as they pertain to community services.
Of which, the City’s Public Works Department and its subsequent Transit Division oversee transit operations in the City.
Funding for SLO TRANSIT comes from a combination of Federal, State, and Local sources. SLO TRANSIT currently receives Federal
Transit Administration (FTA) funding under Sections 5307 (small‐urban), occasionally other federal funds; a portion of the Local
Transportation Fund (LTF) revenues that are available to jurisdictions; and, State Transit Assistance (STA) funds allocated to SLO
TRANSIT and its member jurisdictions. Approximately 40% of the proposed operating budget is funded from federal sources, 40%
percent from state and local transportation fund sources, 20% percent from passenger fares.
E. Pending Issues
SLO TRANSIT is currently undergoing a Short Range Transit Plan update. The recommendation for service changes will be known
before the effective date of this contract. For now it is anticipated that the recommended changes will result in cost neutral to minor
cost increase change for operations. All bids should be based on what transit services are as of the date of issuing this RFP. See
Appendix A – Route Schedules & Stats for actual schedule information.
For an idea of possible route change recommendation see Appendix C – SLO Short Range Transit Plan (SRTP). However it should be
emphasized that the recommendations made in the SRTP are in no way a guarantee that they will be carried out but rather reflect
desirable changes that will be made as funding and social/political forces allow. Any system changes will be coordinated with the
contractor in advance and or during the length of the contract.
F. Areas of Emphasis
SLO TRANSIT maintains the philosophy that system quality is essential for public service. Staff recognizes that an operation offering
high quality, safe and reliable service is far superior to a broad, far‐reaching service that is unreliable and of poor quality. It also
follows that, a service of quality is what attracts and retains riders along with public support.
The keys to the provision of a quality public transit service include effective system design and operation, on‐time performance and
excellent customer service. The success or failure largely depends on the ability and commitment level of those charged with its daily
execution – drivers, dispatchers, mechanics and their supervisors. SLO TRANSIT seeks a service contractor with a demonstrated ability
to attract and retain qualified and committed drivers, dispatcher, mechanics and other key operating staff over the term of the
agreement. For this reason, the employee selection, training, retention, wages and benefit portions of the proposals will be closely
scrutinized to determine which provides the best value to SLO TRANSIT and community it serves.
SELECTION PROCESS
A. Tentative Schedule
The schedule and description of significant events relating to this procurement are provided below. SLO TRANSIT reserves the right to
modify, at its sole discretion, this schedule and any specific time‐of‐day deadlines including the startup date.
Event/Task Date
1: MTC Discussion on RFP Scope of Work November 10, 2015
2: Council Study Session on RFP Scope of Work November 17, 2015
3: Council Authorization for RFP December 15, 2015
4: Issue Request for Proposals (RFP) on eBidBoard, etc. December 16, 2015
5: Pre‐Proposal Conference (2:00 p.m. PST) January 27, 2016
6: Submit Questions & Clarifications (4:00 p.m. PST) February 5, 2016
7: SLO TRANSIT Response to Submitted Questions February 19, 2016
8: Proposals Due (3:00 p.m. PST) March 9, 2016
9: Pre‐Award Survey and Screening March 23, 2016
10: Interview with Selected Contractors March 30, 2016
11: City Council Award Contract May 3, 2016
12: Executes Agreement with Selected Contractor May 4, 2016
13: Pre‐Start Up Meeting with Selected Contractor May 4, 2016
14: Contractor Starts Service July 1, 2016
B. RFP Package
Contractors are required to register on the eBidBoard website, providing access to the RFP package documents and any posted
addenda. Please ensure contact information is correct on the electronic plan holder list on eBidBoard. It is the contractor’s
responsibility to obtain all issued addenda through eBidBoard prior to the proposal deadline.
The RFP package may be obtained in the following ways:
DOWNLOAD, free of charge, on eBidBoard. Please access from the City’s website at:
http://www/slocity.org/publicworks/bids.asp, then click on “Listing of Advertised RFPs and RFQs”, which will direct you
to the City’s eBidBoard page.
PICK‐UP a printed copy at the SLO TRANSIT office by paying a non‐refundable fee of $50.00.
The office of SLO TRANSIT is located at:
919 Palm Street
San Luis Obispo, CA 93401
REQUEST a printed copy by mail by paying a non‐refundable fee of $80.00.
Contact Dee Lawson, Transit Coordinator, at DLawson@SLOCity.org or (805) 781‐7531 or fax your request to (805)781‐
7563.
Please include your company name, street address, phone, fax, and email address, along with the name and specification
number of the proposal you are requesting.
C. Pre‐Proposal Conference and Site Visits
There will be one pre‐proposal conference / site visit as noted in the schedule above, to be held at the San Luis Obispo City Hall
Council Chamber room, located at 990 Palm Street, San Luis Obispo, California 93401. From there transportation will be provided, for
those who desire it, for a site visit of the Transit Operations & Maintenance Facility located at 29 Prado Road, San Luis Obispo,
California 93401. Site visits are not required, but highly recommended.
D. Submission of Questions
Questions and comments on this RFP may be submitted in writing to SLO TRANSIT at 919 Palm Street, San Luis Obispo, California
93401 or by e‐mail to the Transit Coordinator, Dee Lawson, at DLawson@SLOCity.org by 4:00 p.m. on February 5, 2016. A response
to any substantive questions received by this date will be sent to all parties by February 19, 2016 as an addenda to this RFP.
Addenda will be posted on the www.SLOTransit.org website for all interested parties to see. It will be the sole responsibility of
bidding contractors to check for addendums on or after said date. SLO TRANSIT may elect to e‐mail said notice of posted
addenda for bidders who request to be notified and who signed up to be notified at the pre‐proposal conference or by notifying
Transit Coordinator, Dee Lawson, at DLawson@SLOCity.org.
E. Protests
SLO TRANSIT has written protest procedures to handle and resolve disputes relating to its procurements during the pre‐bid, pre‐
award and post‐award phases and in all instances disclose information regarding protests to FTA and to the California
Department of Transportation, Division of Mass Transportation. Pre‐bid protests regarding any aspect of the attached materials
and/or SLO TRANSIT’s stated selection procedures must be submitted in writing (via mail or e‐mail) to the Director of Public Works
of the City of San Luis Obispo, 919 Palm Street, San Luis Obispo, California 93401, or by e‐mail to DGrigsby@SLOCity.org by 4:00
p.m. on February 5, 2016. The Director of Public Works will respond to any such protests by February 19, 2016 with an addendum
to this RFP which will also be posted on ebidboard and the www.SLOTransit.org website. It will be the sole responsibility of
bidding contractors to check for addenda on or after said date.
Protests made against an award must be made in writing and will be addressed according to SLO TRANSIT’s written award protest
procedures. A copy of the protest procedures will be made available to any interested party upon written request to the Director
of Public Works of SLO TRANSIT, 919 Palm Street, San Luis Obispo, California 93401, or by e‐mail to DGrigsby@SLOCity.org.
Under certain limited circumstances, and after the protester has exhausted all administrative protest remedies made available to
them at SLO TRANSIT, an interested party may protest to the FTA the award of a contract pursuant to an FTA grant. FTA's review of
any protest shall be in accordance with FTA Circular 4220.1F. An appeal to FTA must be received by the cognizant FTA regional or
Headquarters Office within five (5) working days of the date the protester learned or should have learned of an adverse decision by
the grantee or other basis of appeal to FTA. FTA's review of any protest will be limited to:
(1) Violations of Federal law or regulations. Violations of State or local law shall be under the jurisdiction of State or local
authorities.
(2) Violation of SLO TRANSIT's protest procedures or SLO TRANSIT's failure to review a complaint or protest.
The protest filed with FTA shall:
(1) Include the name and address of the protester.
(2) Identify SLO TRANSIT as the party responsible for the RFP and/or award process.
(3) Contain a statement of the grounds for protest and any supporting documentation. (The grounds for protest filed with
FTA must be fully supported to the extent feasible. Additional materials in support of an initial protest will only be
considered if authorized by the FTA regulations.)
(4) Include a copy of the protest filed with SLO TRANSIT, and a copy of SLO TRANSIT's decision, if any.
(5) Indicate the ruling or relief desired from FTA. Such protest should
be sent to:
U.S. Department of Transportation California Department of Transportation
Federal Transit Administration and Division of Mass Transportation
90 Seventh Street, Suite 4‐310 P.O. Box 942874, M.S. 39
San Francisco, CA 94103‐6701 Sacramento, CA 94274‐0001
A copy of such protests should also be sent to SLO TRANSIT.
F. Proposal Submittal Deadline
Proposals will be accepted until 3:00 p.m. on March 9, 2016, at which time a non‐public opening will be held. Until award of the
contract, the proposals will be held in confidence and shall not be available for public review [Government Code Section 6254(h)
and (k)]. Upon award of a contract, all proposals shall become public except for financial statements if submitted under
separate cover with a request for confidentiality. Such statements shall be disclosed only upon order of a court of competent
jurisdiction.
G. Evaluation of Proposals
An evaluation team will be established to review all proposals submitted pursuant to the terms of this RFP. Members of this
team are expected to participate, if possible, in any interviews to be conducted with selected proposers. The evaluation of
proposals will be based on the following criteria and relative value established by SLO TRANSIT.
Procurement/Evaluation Method
The selection of a contract operator for SLO Transit Service: Operations & Maintenance is based on a competitively negotiated
method of procurement. Guidance from the Federal Transit Administration (FTA) defines this type of procurement as the most
appropriate procurement method when: (1) price alone is not the determinant factor in selection; and (2) discussions are expected
with prospective offerors after proposal submission. Further, SLO Transit has employed the “Best Value” approach in this type of
procurement. FTA defines this process as follows:
Best Value describes a competitive, negotiated procurement process in which the recipient reserves the right to select the
most advantageous offer by evaluating and comparing factors in addition to cost or price such that a recipient may
acquire technical superiority even if it must pay a premium price.
A “premium” is the difference between the price of the lowest priced proposal and the one that the recipient believes
offers the best value. The term “best value” also means the expected outcome of an acquisition that, in the recipient’s
estimation, provides the greatest overall benefit in response to its material requirements.
To achieve best value in the context of acquisitions for public transportation purposes, the evaluation factors for a specific
procurement should reflect the subject matter and the elements that are most important to the recipient. While FTA does
not mandate any specific evaluation factors, the recipient must disclose those factors in its solicitation. Evaluation factors
may include, but are not limited to, technical design, technical approach, length of delivery schedules, quality of proposed
personnel, past performance, and management plan. This definition is intended neither to limit nor to dictate qualitative
measures a recipient may employ, except that they must support the purposes of the Federal public transportation
program.
FTA requires SLO Transit to base its determination of which proposal represents the “best value” on an analysis of the tradeoff of
qualitative technical factors and price or cost factors.
In the event that two or more proposals are considered by the Evaluation Committee to be basically equal in their technical merit, the
evaluated cost or price becomes more important; in such a case, cost or price may ultimately be the deciding factor. Accordingly, the
Evaluation Committee may not necessarily make a recommendation to award to the CONTRACTOR with the highest technical ranking
nor make a recommendation to award to the CONTRACTOR with the lowest Price Proposal, if doing so would not be in the overall best
interest of the City of San Luis Obispo’s public transit program.
Proposals submitted in response to this RFP will be evaluated and scored by the Evaluation Committee established by the CITY, in
accordance with the criteria outlined in related section
The primary desire of the CITY for this procurement is to ensure an award will be made based on the highest quality of service that
best matches the CITY’s requirements using the Federal Transit Administration’s (FTA approved Third Party Contracting Guidance (FTA
C 4220.1F) “Best Value” methodology. Per FTA’s Third Party Contracting Guidance, Best Practices Procurement Manual, “Best Value” is
defined as follows:
“Best Value” is a selection process in which proposals contain both price and qualitative components, and award is based upon a
combination of price and qualitative considerations. Qualitative considerations may include technical design, technical approach,
quality of proposed personnel, and/or management plan. The award selection is based upon consideration of a combination of
technical and price factors to determine (or derive) the offer deemed most advantageous and of the greatest value to the procuring
agency.
The Evaluation Committee will make a recommendation to award to the CITY, based upon the Evaluation Committees’ determination
of the responsible Contractor whose proposal is most advantageous to the CITY.
OVERALL RELATIVE IMPORTANCE OF EVALUATION CRITERIA
The Technical Proposal is of greater importance than the Cost Proposal.
The following items constitute the evaluation criteria (and their respective weights), which the Proposal Evaluation team will use in
evaluating proposals submitted in response to this RFP.
Evaluation Criteria Weight
Percentage
Technical 40%
Interviews with Key Management Staff 30%
Past Performance – Reference Checks 20%
Financial Ability 10%
EVALUATION CRITERIA
Selected Evaluation Criteria within Content of Technical Proposal
Technical (40%)
Qualifications (20%) (Listed in order of importance)
o Experience with providing Public Transit Fixed Route Service of similar size and scope
o Experience with operating and maintaining a fleet of similar size
o Capacity to perform contract requirements
o Experience with current CITY owned equipment and ancillary vendors
Proposed Personnel (20%) (Listed in order of importance)
o Qualifications and Experience of proposed General Manager
o Qualifications and Experience of proposed Maintenance Manager
o Qualifications and Experience of proposed Operations Manager
o Recruiting, hiring, training, and retraining program for Drivers
o Organizational Chart detailing organizational structure and reporting relationships
Transition Plan (10%) (Listed in order of importance)
o Mobilization plan and schedule
o Facility move in plan
o Recruitment/ hiring plan
o Tool and equipment assessment
o Handling of Environmental requirements and permits for operation
Proposed Management and Operations Plan (20%) (Listed in order of importance)
o Proposed Approach and Methodology
o Proposed Road Supervision Approach
o CONTRACTOR’s experience with the FTA Uniform System of Accounts and with National Transit Database
reporting
o Proposed Fare Collection Plan including equipment to be used for collection of fares (farebox, fare registers,
etc.), and relevant fare collection experience.
o Proposed training program for maintenance personnel, vehicle operators, schedulers/dispatchers and
supervisors
o Proposed Customer Service Approach
o Proposed Safety, Security and Risk Management Plan
o Proposed Internal Communications Network, including methods of communicating instructions to
supervisors and vehicle operators and the approach to routing/dispatching functions.
Risks and Added Value Assessment (10%)
o Understanding of risks and mitigation
o Value added and innovation
Proposed Maintenance and Equipment Plan (20%) (Listed in order of importance)
o Proposed Vehicle Maintenance Plan
o Proposed Bus Wash Plan and Interior Cleaning Plan
o Approach to Road Call Management
o Experience with Fleet Management Software
o Safety Record
o Proposed Warranty Plan
o Proposed plan for intended utilization of the on‐board video system from an operational perspective (i.e.
operator training, improvement and reinforcement)
Cost (Tradeoff Evaluation)
The CONTRACTOR’S cost proposals will be evaluated alongside the Technical merit offered by each CONTRACTOR in a
tradeoff fashion as per Federal Transit Administration “best value selection methodology” as detailed within the FTA
Best Practices Procurement Manual. As required by the FTA Best Practices Procurement Manual, Chapter 4, Methods of
Solicitation and Selection, the Buyer declares the following: all evaluation criteria factors other than cost, when
combined, are significantly more important than cost alone.
In the event that two or more proposals are considered by the Evaluation Committee to be basically equal in their
technical merit, the evaluated cost or price becomes more important; in such a case, cost or price may ultimately be the
deciding factor. Accordingly, the Evaluation Committee may not necessarily make a recommendation to award to the
CONTRACTOR with the highest technical ranking nor make a recommendation to award to the CONTRACTOR with the
lowest Price Proposal, if doing so would not be in the overall best interest of the CITY’s public transit program.
Selected Evaluation Criteria within Past Performance
Past Performance – Reference Checks (20%) (Listed in order of importance)
o Applicability of Past Performance Reference
o Overall services provided by the CONTRACTOR
o Responsiveness of CONTRACTOR in addressing and correcting problems
o Management Staff’s ability to meet the expectations and needs of the transit agency
o CONTRACTOR’s Customer Service as provided by Bus Operator Staff
o Would you choose to renew a contract with this CONTRACTOR
Selected Evaluation Criteria within Interviews with Key Management Staff
Interviews with Key Management Staff (30%)
Section 1 – Proposed Key Management Staff (Listed in order of importance)
o General Manager’s responses to scenario questions
o Maintenance Manager’s responses to scenario questions
o Transportation Manager’s responses to scenario questions
o Qualifications and Experience of General Manager
o Qualifications and Experience of Maintenance Manager
o Qualifications and Experience of Operations Manager
Selected Evaluation Criteria within Financial Ability
Financial Ability (10%)
Financial Ability and Risk Ranking by third‐party independent accounting/auditing firm. The review shall include an
analysis of:
a) Cash and percentage of cash to total current assets and total assets of the Contractor
b) Quick and Current Ratio analysis
c) Net Sales Volume and Accounts Receivable Turnover
d) Sources which produced the prospective vendors operating capital
e) Availability and amount of short‐term working capital financing
f) Debt structure and leverage
g) Working Capital Measures (cash, equivalents and receivables less current liabilities
h) Working Capital Ratio to Total Annual Contract Revenue
The CONTRACTOR’S financial statements will be reviewed as noted above to determine the Contractor’s ability to
complete a contract of this value, financial risks associated with the Contractor, cash and credit line availability,
sources of operating capital, review of Dunn and Bradstreet reports, and a review of pending litigation. Additionally
other factors including but not limited to whether the financial statements and information provided were audited,
comments and notes included with the audit report or management letters, the auditing firm itself and potential
quality issues and variations from report to report and the translation of all financial information into U.S. currency
for comparison purposes may be considered.
In determining the Contractor’s compliance for sufficient working capital, the following formula will be used to
determine if the Contractor has sufficient working capital:
(Cash/Cash Equivalents) + (Accounts Receivable <90 Days – Accounts Payables) + (Stand‐by Letter of Credit) = 25% of annual
contract amount.
NOTIFICATION TO UNSUCCESSFUL CONTRACTORS
Unsuccessful CONTRACTORS shall be notified of the CITY’s Evaluation Committee’s recommendation of award to the successful
CONTRACTOR within ten (10) working days of said recommendation
SLO TRANSIT reserves the right to award the contract to other than the lowest cost proposal allowing for a more responsive
proposal that addresses all of the above criteria and best satisfies the needs of SLO TRANSIT.
H. Interview
Prospective CONTRACTORS should be prepared to attend a Selected Contractors interview, tentatively scheduled to be held on
March 30, 2016. Key management personnel must be available at the interview including, at a minimum, the proposed General
Manager, Maintenance Manager and a responsible senior management employee who is authorized to bind the firm. SLO
TRANSIT may choose, at its sole discretion, to not interview all or any proposers of this RFP.
I. Selection
The City of San Luis Obispo City Council receives a recommendation from Staff based on the results of the proposal evaluation;
personal interviews; reference checks; and, best and final offer negotiations. Such a recommendation is tentatively scheduled
for the May 3, 2016 meeting of the City of San Luis Obispo City Council. That meeting is scheduled for 6:00 p.m. at City Hall
Council Chamber Room located at 990 Palm Street, San Luis Obispo, CA, 93401.
SLO TRANSIT reserves the right to withdraw this RFP at any time without prior notice. SLO TRANSIT also makes no
representations that any agreement will be awarded to any proposer responding to this RFP. SLO TRANSIT expressly reserves
the right to reject any and all proposals or to waive any irregularity or informality in any proposal or in the RFP procedure and to
be the sole judge of the responsibility of any proposer and of the suitability of the materials and/or services to be rendered.
CONDITIONS AND INSTRUCTIONS FOR SUBMITTAL OF PROPOSALS
A. Adherence to Proposal Form
All proposals are to be prepared in conformity with these instructions and submitted on the forms provided. Attached are a
Draft Transit Operations Agreement (Part Two) and a detailed Scope of Work (Part Three) for this project. These contain specific
contractual and service conditions and the successful proposer, if any, will be expected to execute an agreement substantially
consistent to the agreement attached. Unacceptable conditions, limitations, provisions, or failure to respond to specific
instructions or information requested in the RFP may result in rejection of the proposal.
B. Required Submittal Information
Proposals must be received by no later than 3:00 p.m. (as determined by the City’s door locking mechanism) on March 9, 2016 at the
address below.
City of San Luis Obispo, SLO TRANSIT
919 Palm Street
San Luis Obispo, CA 93401
Attn: Transit Coordinator
If mail delivery is used, proposers should mail early enough to provide for arrival by the deadline. Proposers use mail or courier
service at their own risk. SLO TRANSIT will not be liable or responsible for any late delivery of proposals. Proposals received after
the date and time specified (e.g. 3:00:01 p.m.) will not be considered and will be returned to the proposer unopened.
Each submitting firm must submit at least one (1) electronic copy in CD or thumb drive form with Cost Proposal as separate file, one
(1) hard‐copy separately sealed print original document, one (1) hard‐copy separately sealed cost proposal and five (5) hard‐copy
duplicate copies of each proposal in a sealed package or envelope(s) marked "Transit Contract Proposal" and identifying the name
of the proposing firm. The following information must be included in each proposal:
1. Completed Proposal Questionnaire including a completed, signed and dated Proposal Cost Form (Attachments 1 and
2);
2. Completed, signed and dated proposal certifications (Attachment 4);
3. Written indication of receipt of all RFP addenda, if any, by date issued; and,
4. All proposals must be accompanied by a check for Two Thousand Dollars ($2,000.00), and said check must be certified
by a bank, and must be made payable to SLO TRANSIT. In lieu of such a check, a proposer may accompany his proposal
with a bond for said amount payable to SLO TRANSIT, which bond must be signed by the proposer and by two
Sureties, or an authorized surety company, all as provided by law. Such surety or check will be retained by SLO TRANSIT if
the successful proposer fails or refuses to enter into a contract awarded him. SLO TRANSIT checks or bonds shall be
returned to all proposers within two weeks of the execution of a contract with the selected proposer.
C. Use of Subcontractor
If the proposal consists of a "prime" contractor and one or more subcontractors, the proposer shall identify the subcontractors in
the areas of their responsibility; but SLO TRANSIT will enter into an agreement only with the prime contractor who shall be
responsible for all services required by the attached agreement.
D. Representations
In submitting a proposal, the proposing firm makes the following representations to SLO TRANSIT:
a. The firm is familiar with all requirements of the general conditions, specifications and instructions and that in submitting
a proposal the proposer affirms that they are sufficiently informed in all matters affecting the provision of the services
specified, that they have checked the proposal for errors and omissions; that the price stated in the proposal is correct
and as intended and is a complete and correct statement of the proposers price for providing the services described in
this RFP and as such services may have been modified in the proposal.
b. The firm is familiar with all matters affecting the performance of the work under this RFP, including all Federal, State, and
Local laws, ordinances and regulations.
c. The firm is in the business and is fully qualified and skilled in the field of public transit and is fully willing and able to
satisfy the requirements of the contract at the stated rates and any award of contract is in reliance on such
representations.
E. Pre‐Contractual Expenses
Pre‐contractual expenses are defined as expenses incurred by proposers and selected contractor in:
a. Preparing a proposal in response to this RFP;
b. Submitting a proposal to SLO TRANSIT;
c. Negotiations with SLO TRANSIT on any matter related to the proposal; and,
d. Other expenses incurred by contractor or proposer prior to the date of award of any agreement.
SLO TRANSIT shall not be liable for any pre‐contractual expenses incurred by any proposer or selected contractor. Proposers shall
not include any such expenses as part of the price proposed in response to this RFP. SLO TRANSIT shall be held harmless and free
from any and all liability, claims or expenses whatsoever incurred by or on behalf of any person or organization responding to this
RFP.
F. Effective Period of Proposal
All proposals received shall remain in effect for 90 days from the date the proposals are opened.
G. Withdrawal of Proposal
Proposals may be withdrawn either in person, email Transit Coordinator, Dee Lawson at DLawson@SLOCity.org or written via
request, at any time prior to the time fixed for the opening of proposals. No proposal will be returned after the date and time set
for the opening thereof.
H. RFP Addendum
Any changes to the RFP requirements will be made by posted addenda on the eBidboard website and shall be considered part of
the RFP. Upon issuance, such addenda shall be incorporated into the agreement documents, and shall prevail over inconsistent
provisions of earlier issued documentation. Contractors registered as planholders on eBidboard will receive email notification of
posted addenda. It will be the sole responsibility of bidding contractors to check the website for addendums.
I. Verbal Agreement or Conversation
No prior, current, or post award verbal conversations or agreement(s) with any officer, agent, or employee of SLO TRANSIT shall
affect or modify any terms or obligations of this RFP, or any contract resulting from this procurement.
J. Special Funding Considerations
Any contract resulting from this RFP will be funded primarily with funds available to SLO TRANSIT through the California
Transportation Development Act (TDA) and the Federal Transit Administration (FTA). The contract for this service is contingent
upon the provision of these funds to SLO TRANSIT. In the event that service is eliminated or reduced due to lack of funds, SLO
TRANSIT reserves the right to terminate or revise any contract. The successful contractor must comply with all Federal and
State requirements regarding funding and grants.
K. Exceptions and Alternatives
Prospective contractors may not take exception or make alterations to any requirement of the RFP. Exceptions can be cause for the
rejection of a proposal.
If alternatives or options are proposed, the prospective contractor must clearly identify such. SLO TRANSIT expressly reserves the
right in its sole discretion to consider such alternatives and to award a contract based thereon if determined to be in the best
interest of SLO TRANSIT.
Since SLO TRANSIT desires to enter into one contract to provide all of the intended services, only those proposals to provide all
service will be considered responsive.
L. Performance Bond/Security
A Performance Bond, or other surety approved by SLO TRANSIT in the amount of twenty five (25) percent of the first year
contract value will be required after a contract is awarded. SLO TRANSIT reserves the exclusive right, however, to rescind this
requirement at any time prior to or during the contract period. The Performance Bond or other approved surety shall be
received by SLO TRANSIT within fifteen (15) working days of approval of any contract “Notice to Proceed” which may be awarded
through this RFP process. At SLO TRANSIT’s sole discretion, the award of this contract may be rescinded absent such bond or other
approved surety.
M. Non‐Exclusivity of Contract
This contract is not exclusive. SLO TRANSIT has the right to hire others to perform the same or similar tasks.
N. Non‐Collusion Affidavit
By submitting a proposal, the prospective contractor represents and warrants that such a proposal is genuine and not a sham,
collusive or made in the interest or in behalf of any person or party not therein named and that the prospective contractor has
not directly or indirectly or solicited any other contractor to put in a sham bid, or any other person, firm or corporation to refrain
from presenting a proposal and that the prospective contractor has not in any manner sought by collusion to secure any
advantage.
If at any time it shall be found that the person, firm, or corporation to whom a contract has been awarded has, in presenting any
proposal or proposals, colluded with any other party or parties, then the agreement so awarded shall be null and void. The
proposer shall be liable to SLO TRANSIT for all loss or damage which SLO TRANSIT may suffer thereby and SLO TRANSIT may
advertise for a new agreement for the services contemplated herein.
O. Conflict of Interest
By submitting a proposal in response to this RFP, the prospective contractor warrants that he presently has no interest and
shall not acquire any interest, direct or indirect, which would conflict in any manner or degree with the performance of
services required under this agreement; that no appointed or elected official, member or other officer or employee of the
City of San Luis Obispo or State of California or of SLO TRANSIT is interested directly or indirectly, in any manner whatsoever in
or in the performance of the agreement or in the supplies, work or business to which it relates or in any portion of the
profits thereof; or has been or will be offered or given any tangible consideration in connection with this proposal and/or
agreement. Prospective contractor covenants that neither prospective contractor nor, to the best of the prospective
contractor's knowledge after diligent inquiry, any director, officer, owner or employee of the prospective contractor has any
interest nor shall they acquire any interest, directly or indirectly, which would conflict in any manner or degree with the
faithful performance of the agreement hereunder.
In the event that the prospective contractor has no prior knowledge of a conflict of interest as set forth above and
hereafter acquires information which indicates that there may be an actual or apparent violation of any of the above,
prospective contractor shall promptly bring such information to the attention of the Director of Public Works, prospective
contractor shall thereafter cooperate with CITY’s review and investigation of such information, and comply with any
instruction it receives from the Transit Manager in regard to remedying the situation.
P. Authorized Amendment
If this contract is not in compliance with Federal laws or State laws, or the laws change, or new requirements are
issued that effect funding for this contract, this contract shall be amended to comply with Federal and State laws. Both
parties shall execute any documents required to comply with Federal and State law.
Q. Applicable Law
This RFP and any resulting agreements shall be construed and governed in accordance with the laws of the State of California.
R. Lobbying
With the exception of contacting the Transit Coordinator, Dee Lawson, to ask questions regarding this RFP or participate in a site
visit, any party submitting a proposal shall not contact or lobby any SLO TRANSIT employee, or agent regarding the RFP. Any
party attempting to influence any part of the proposal, submittal or review process through ex parte contact of any SLO TRANSIT
official may have their proposal rejected.
In addition, pursuant to the Byrd Anti‐Lobbying Amendment, 31, U.S.C. 1352, as amended by the Lobbying Disclosure Act of 1995,
P.L. 104‐65 [to be codified at 2 U.S.C. § 1601, et seq.], contractors who apply or bid for an award of $100,000 or more shall file the
certification required by 49 CFR part 20, “New Restrictions on Lobbying” which is Form 2 in Attachment 4 to this RFP.
S. Facility Visits
There shall be no unauthorized site visits. There will be one pre‐proposal conference / site visit as noted in the schedule above, to be
held at the San Luis Obispo City Hall Council Chamber room, located at 990 Palm Street, San Luis Obispo, California 93401. From
there transportation will be provided, for those who desire it, for a site visit of the Transit Operations & Maintenance Facility located
at 29 Prado Road, San Luis Obispo, California 93401. Site visits are not required, but highly recommended.
T. Federal Proposal and Contract Certifications
The proposing firms will be required to complete and submit the following federally‐required forms included in Attachment 4.
Form 1. Certification of Lower Tier Participants Regarding Debarment, Suspension, and Other Ineligibility and
Voluntary Exclusion.
FTA requires third party contractors to submit this certificate to the grantee. In addition, any subcontractor doing work
valued at $25,000 or more is required to submit this certificate to SLO TRANSIT.
Form 2. Certification of Restrictions on Lobbying
FTA requires that each third party contractor submit this certification to the grantee. Any subcontractor doing work valued at
more than $100,000 is also required to submit a certification to the grantee.
Form 3. Disclosure of Lobbying Activities.
Any third party contractor or subcontractor whose participation exceeds $100,000 and who is involved in lobbying activities
must submit this statement.
Form 4. Drug‐Free Workplace Act Certification. Form 5. Non‐
Collusive Affidavit
Form 6. Eligible Bidder Certification
U. Worker’s Compensation Insurance Certification
The successful contractor shall be required to provide a “Worker’s Compensation Insurance Certification” before commencing
work.
V. Summary of Insurance & Indemnity Requirements
The specific insurance and indemnity requirements for any Agreement resulting from this solicitation are in Sections 7 and 9 of
the Draft Transit Operations Agreement. They are also provided below in their entirety for reference. A copy of these
requirements should be provided to any insurance broker or insurer of the prospective contractor to confirm compliance.
7. GENERAL AND VEHICLE INSURANCE
(a) Throughout the term of this Agreement, CONTRACTOR shall procure and maintain a comprehensive
general liability insurance policy providing no less than TEN MILLION DOLLARS ($10,000,000) per occurrence with a
total policy limit of no less thanTEN MILLION DOLLARS ($10,000,000) combined single limit bodily injury and property
damage coverage. Said policy shall include coverage for premises (specifically including dangerous condition of public
property as well as coverage for the facility and property provided by the CITY OF SAN LUIS OBISPO (CITY) for
CONTRACTOR’s use during the term of this contract, personal injury, and blanket contractual, but shall not include
coverage for vehicle liability and/or vehicle physical damage insurance (vehicle liability and vehicle damage insurance
shall be provided pursuant to Paragraph (b), below). CONTRACTOR shall name the CITY and each of its member
jurisdictions or other parties as required by CITY, including their officials, officers, employees and agents, as additional
insureds on said policy. CONTRACTOR shall cause such additional insureds to be added to its policy of insurance by way of
an endorsement which endorsement shall be a CG 20 10 11/85 or equivalent additional insured endorsement. (The
ADDITIONAL INSURED ENDORSEMENT) The ADDITIONAL INSURED ENDORSEMENT shall not be an omnibus
endorsement, but shall specifically and directly name each additional insured. Such ADDITIONAL INSURED
ENDORSEMENT will explicitly include coverage for the additional insureds for both ongoing and completed operations
so long as the liability of an additional insured arises out of the work of the named insured, or so long as an additional
insured’s liability arises out of the named insured’s performance of this Agreement. The ADDITIONAL INSURED
ENDORSEMENT shall not contain any provisions which limit or restrict coverage for the additional insureds beyond the
extent set forth above. Any insurance carrier providing insurance called for in this section shall be from a California
admitted carrier and have a minimum rating of A.M. Best Rated A, or better. Any self‐insured retention shall be declared
by CONTRACTOR and approved in writing by CITY. With respect to any self‐insured retention, the coverage provided for
CITY, its member jurisdictions, and other parties required by SLO TRANSIT shall be equal and identical to the
coverage of the CONTRACTOR. CONTRACTOR shall provide written documentation to CITY that establishes that as to
any self‐insured retention, the additional insured parties shall have coverage to the same extent as the CONTRACTOR.
CONTRACTOR shall provide CITY with the ADDITIONAL INSURED ENDORSEMENTS required by this paragraph within thirty
(30) days of the Notice of Contract Award and, upon request, a copy of the entire policy of insurance. Such policy or policies
of insurance shall provide that they may not be cancelled without at least 30 days written notice to SLO TRANSIT.
CONTRACTOR shall provide CITY a copy of the current policy of insurance and all endorsements, as well as
documentation for coverage under any self‐insured retention, within ten (10) days of receiving such a request from CITY.)
(b) CONTRACTOR shall provide CITY with vehicle liability insurance in the amount of TEN MILLION DOLLARS
($10,000,000) per occurrence with a total policy limit of TEN MILLION DOLLARS ($10,000,000) combined single limit for
bodily injury and property damage. Coverage will also include collision and comprehensive physical damage with a
deductible not to exceed TEN THOUSAND DOLLARS ($10,000). Any deductible will be the responsibility of CONTRACTOR.
CONTRACTOR shall name CITY and each of the member jurisdictions, or other parties as required by SLO TRANSIT, including
their officers, employees and agents, as additional insured on said policy and shall furnish CITY with evidence of insurance within
30 days of the notice of contract award. Such policy or policies shall provide that they may not be cancelled without at least
thirty (30) days written notice to CITY. CONTRACTOR shall provide CITY a copy of the current policy of insurance and all
endorsements within ten (10) days of receiving such a request from CITY.
(c) In case of damage, destruction or loss of any vehicle or equipment provided by CITY under the terms of this
agreement, CITY agrees that the liability of CONTRACTOR for said damage or destruction shall be limited to the fair market
value of the vehicle or equipment at the time of loss.
(d) During this agreement, CONTRACTOR shall maintain an appropriate Fidelity Bond or other security acceptable
to CITY providing protection up to the amount of FIFTY THOUSAND DOLLARS ($50,000.00) with respect to any one
occurrence of theft or other dishonest conduct by CONTRACTOR'S employees, officers or agents of CITY funds,
equipment or inventory other than vehicles.
In lieu of a Fidelity Bond, CONTRACTOR may provide SLO TRANSIT with an irrevocable and absolute Letter of Credit in the form
set out in Exhibit D attached hereto and incorporated herein.
SLO TRANSIT shall be entitled to draw upon the Letter of Credit to compensate it for all losses it sustains occasioned
by the theft or other misconduct of CONTRACTOR’s employees, officers or agents. CITY losses shall include its investigative
expenses, including the costs of its experts and attorneys, in addition to the value of the funds, equipment or property in
question. At the earliest practicable time, and not later than thirty (30) days after discovery by CITY of the loss, CITY
shall give CONTRACTOR written notice of such discovery. CONTRACTOR shall have thirty (30) days to directly reimburse
such loss to CITY. With appropriate notice, CONTRACTOR shall be provided a reasonable time to investigate the loss.
CONTRACTOR’s responsibility to reimburse CITY for the loss shall be to the full extent of such loss and shall not be limited to
FIFTY THOUSAND DOLLARS. CONTRACTOR reserves the right to dispute the value of the loss. In the event that CONTRACTOR
has not reimbursed the loss within said thirty (30) days, CITY may draw against the Letter of Credit to recover its loss and, as
stated above, if the Letter of Credit is insufficient to fully compensate CITY, CONTRACTOR shall remain obligated to
compensate CITY to the full extent of its loss.
When a loss is alleged to have been caused the theft, fraud or other dishonesty of any one or more of CONTRACTOR’s
employees, officers, or agents, but CITY is unable to designate the specific person causing such loss, CITY shall have the benefit
of the Letter of Credit provided that the evidence submitted reasonably establishes that the loss was in fact due to the fraud
or dishonesty of one or more such persons.
Presentation of the Letter of Credit shall be required either electronically or not more than fifty (50) miles from San Luis
Obispo, California.
Notice shall be delivered in accordance with Section 25 of this Agreement.
Not less than thirty (30) days after CITY has drawn against the letter of credit, CONTRACTOR shall deposit funds sufficient
to restore the letter of credit to the original amount thereof.
In lieu of a Fidelity Bond or Letter of Credit, CONTRACTOR may provide CITY with a cash deposit of FIFTY THOUSAND
DOLLARS which shall be held without payment of interest by CITY and CITY shall be entitled to draw upon the deposit in
the same manner and for the same purposes as regarding the above described Letter of Credit. Not less than thirty (30)
Days after CITY has drawn against the cash deposit, CONTRACTOR shall restore the cash deposit to the original amount
thereof. The cash deposit shall be held by CITY during the term of the Agreement. Within thirty (30) days of termination
or expiration of the Agreement, CITY shall return the cash deposit to CONTRACTOR, less any amount used by CITY
pursuant to this Agreement.
(e) Should, at any time, any of the insurance policies required by this Agreement be unsatisfactory to CITY, at
its sole discretion, CONTRACTOR shall promptly obtain a new policy, submit the same to CITY. Upon failure of
CONTRACTOR to furnish, deliver or maintain any insurance and endorsements as required by this Agreement, at the
election of CITY, this Agreement may be immediately terminated as provided herein. Failure of CONTRACTOR to
obtain and maintain any required insurance shall not relieve CONTRACTOR of any liability under this Agreement (and
CONTRACTOR may be answerable to CITY for damages or any other remedy on account of such breach) nor shall the
insurance requirements be construed to conflict with or otherwise limit the obligations of CONTRACTOR concerning
indemnification.
(f) All insurance provided by CONTRACTOR shall be primary and any insurance or self‐ insurance maintained by
CITY shall be excess of CONTRACTOR's insurance and shall not contribute to it.
(g) CONTRACTOR’s failure to provide the insurance required by this section, or CONTRACTOR’s submission of
insurance policies, endorsements and other documentation (whether or not such documentation is “accepted” by CITY)
shall not waive or satisfy the CONTRACTOR’s obligation to provide CITY with the insurance required by this Agreement if
it has failed to do so. Should CONTRACTOR fail to provide insurance in the form and amount specified by this
Agreement, CONTRACTOR shall be directly liable to CITY to provide it with both a defense and indemnity for any losses
which CITY incurs to the extent such losses would have been covered by insurance as is specified in this Agreement.
Notwithstanding the above, CONTRACTOR shall not be required to indemnify CITY from loss or liability to the extent such
loss or liability arises from the sole negligence or willful misconduct of CITY, its agents, directors and employees, at such
time that such sole negligence or willful misconduct has been finally determined by a court of competent jurisdiction.
(h) It shall be a requirement under this Agreement that any available insurance proceeds broader than or in
excess of the specified minimum insurance coverage requirements as set forth above and/or limits shall be available to
the additional insured. Furthermore, the requirements for coverage and limits shall be (1) the minimum coverage and limits
specified in this Agreement; or (2) the broader coverage and limits of coverage of any insurance policy or proceeds
available to the named insured, whichever is greater. The defense and indemnifications of this Agreement are
undertaken in addition to, and shall not in any way be limited by, the insurance obligations contained in this Agreement. All
deductibles and self‐insured retentions (SIR) must be disclosed to CITY for approval and shall not reduce the limits of the
liability. Policies containing any SIR provision shall provide, or be endorsed to provide, that the SIR may be satisfied by
either the named insured or CITY. CITY reserves the right to obtain a full certified copy of any insurance policy and
endorsement coverage under this Agreement. Failure to exercise this right shall not constitute a waiver of the right to
exercise it later.
9. INDEMNIFICATION
To the fullest extend allowed by law, CONTRACTOR shall indemnify and hold CITY(and City of San Luis Obispo)
and its representative officials, officers, directors, employees and agents free and harmless from and against any and all
claims, suits, liens, demands, damages, injuries, liabilities, losses and expenses of any kind, including reasonable fees of
attorneys and expert witnesses, to the extent they arise out of or are in any way connected with the performance
of this Agreement by CITY, its agents, directors or employees, or by CONTRACTOR, its agents, directors or employees,
whether such claims, liens, demands, damages, losses or expenses are based upon a contract or upon a claim for
personal injury, death or property damage or upon any other legal or equitable theory whatsoever.
CONTRACTOR agrees, at its own expense and upon written request by CITY, to defend any claim, suit, action or demand
brought against CITY on any injury, loss or liability, actual or alleged, covered herein. Notwithstanding this defense
obligation, CONTRACTOR shall not be required to indemnify CITY from loss or liability to the extent such loss or liability arises
from the sole proven negligence or willful misconduct of CITY, its agents, directors and employees, at such time that
such sole negligence or willful misconduct has been finally determined by a court of competent jurisdiction. CONTRACTOR
shall provide CITY with a defense until such determination has been made (i.e. until a court of competent jurisdiction
has determined that the loss or liability arises from the sole negligence or willful misconduct of CITY, CONTRACTOR shall
provide a defense as to such loss or liability). CONTRACTOR’s indemnity obligations survive termination of this Agreement.
ATTACHMENT 1
SLO TRANSIT PROPOSAL QUESTIONNAIRE
Submitted proposals must respond to each of the following questions in the order presented. Proposals that do not address
each question may be considered non‐responsive and rejected. Responses must be submitted on paper separate from this
questionnaire. Where a tabular format for an answer is specified, the proposer must provide a response for each column and
row heading and may use the term "Not Applicable" where appropriate. Proposers should note that the Scope of Work contains
minimum requirements for some areas which proposer is required to address in this questionnaire. Submittals not addressing
such minimum requirements may be considered non‐responsive and rejected.
A. Experience and Qualifications
1. Provide a statement of your firm's organizational structure, experience, history, legal status (i.e., partnership,
corporation, etc.), capabilities, financial solvency, list of owners and officers, and management philosophy.
2. List any recent relevant experience that your firm has providing and/or managing publicly funded fixed route,
demand‐response and commuter services. For each system, list dates of service, annual vehicle service hours,
number of revenue vehicles, number of annual passengers, and the name and telephone number of responsible
individuals who can verify service. Attach additional descriptive material, if necessary; however, the following
information must be included at a minimum. Reference checks will be made from the list provided.
System Number of
Name & Dates of Type of Annual Revenue Annual Contact Phone Address Service
Service VSH's Vehicles Passengers Name Number
3. Submit any certifications, as appropriate, that the proposing firm or any subcontractor is a Disadvantaged Business
Enterprise (DBE).
4. Attach financial statements (last year‐end income statement and balance sheet and most current interim income
statement) in the following descending order of preference:
(a.) Statements audited by a certified public accountant (CPA) or government auditing agency or 10K Report.
(b.) CPA‐reviewed statements
(Information on the firm's financial status will be withheld from public review if submitted under separate cover
with a request for confidentiality unless a court of competent jurisdiction orders disclosure.)
5. Are there past, current or pending financial/legal issues that might jeopardize your firm's ability to provide services
per the requirements of the attached agreement at the prices quoted by you for the term? (Answer "yes" or "no". If the
answer is "yes", give details.)
6. Has your firm applied for credit protection under any bankruptcy proceedings over the past five years? (Answer
"yes" or "no". If the answer is "yes", give details.)
7. Has any public transit operator, since July 1, 2010, terminated a contract with your firm prior to the contract's intended
expiration date? Your response must state yes or no. If the answer is yes, the following information must be provided
for each contract termination.
(a.) Transit operator name and address
(b.) Name and telephone number of the primary contract administrator for said transit operator. (c.)
Explanatory information.
8. Indicate additional resources possessed by your firm which would be available (with or without cost) for SLO TRANSIT to
draw upon should the use of such resources be considered by SLO TRANSIT to be of benefit to the system.
B. Personnel
1. Submit the names, qualifications and availability for the candidates for General Manager, Operations Manager,
Maintenance Manager and any other responsible senior management employees. Indicate the name and
qualifications of the individual proposed to conduct training and safety activities. Generally describe the other
personnel who will participate in the performance of this contract, such as years of experience, skill and availability.
Names of management personnel being proposed shall be kept confidential if requested.
2. Describe how the proposed operation would be organized. An organization chart must be attached indicating all job
classifications in the organization and the number of employees (split between full‐ time and part‐time) which would be
used in each job classification. Provide a brief description of the duties of each position. Provide any information on the
firm's personnel or management approach that would assist in determining the quality of the proposed organizational
approach.
3. For each job classification shown in the organization chart submitted above, list the proposed wage scale include both
training and starting wages, if different. Include any budgeted step increases, cost of living adjustments and/or wage
scale increases and the time period between such increases. In addition, use the following format to show the average
wage scale used to develop the proposal budget.
Average Hourly Wage Classification
Job Number of
Positions
Total Labor
Hours
Year #1 Year #2 Year #3 Year #4
4. Please describe the proposed fringe benefit package in detail including a description of each benefit to be provided
including, but not limited to the availability and value of such potential items as vacation; sick leave; holidays; and,
health coverage such as medical, dental, vision and disability. This description must include the dollar value of such
benefits; the employee cost or percentage share of those costs; the positions to which they apply; minimum employee
eligibility requirements; whether it is employee‐only or full dependent coverage; the specific coverage description; and,
how long an employee must wait to begin receiving the benefit. The above list of possible benefits is for illustration
purposes only and is not intended to prescribe the type or value of the benefits to be provided to any or all project
employees. This level of detail, however, is essential for the fair and complete evaluation of the proposals received.
5. What is your firm's intention regarding the use of the current contractor's employees subject to the provisions of
California Labor Code Sections 1070‐1074?
In accordance with applicable State Labor Codes, SLO TRANSIT shall give a 10 percent preference to any bidder who
agrees to retain the employees of the prior contractor or subcontractor for a period of not less than 90 days. Information
including the current number of employees, wages, benefit levels, and job classifications of employees performing
services under the existing contract shall be made available upon request to any entity that the awarding SLO
TRANSIT has identified as a bona fide bidder.
To receive this preference, the successful contractor or subcontractor shall make a written offer of employment to
each employee to be rehired. That offer shall state the time within which the employee must accept that offer, but
in no case less than 10 days. Nothing in this section requires the successor contractor or subcontractor to pay the
same wages or offer the same benefits provided by the prior contractor or subcontractor.
C. Operational Approach
1. Provide an overview of your start‐up approach and transition plan from the existing contractor to the new contractor
and attach an implementation schedule outlining the steps to be taken up to the point of the beginning of the operation
of the service. This transition plan must demonstrate that the proposer has thoroughly considered all that needs to be
done to transition to the new contract with minimal service disruption and minimal assistance from SLO TRANSIT staff.
The startup plan is to assume that the contract is awarded on May 3, 2016 and that the first day of service under the
new contract will be July 1, 2016.
2. In three pages or less, outline the proposed driver training and safety program for new drivers and the retraining
program for veteran drivers. Include an outline of the topics covered; the time devoted to each; number of classroom
hours; number of behind‐the‐wheel hours with trainers; number of driving hours in regular service with a trainer or
instructor; and, the amount of time devoted to customer relations and sensitivity training.
3. Submit a brief description of the training program for dispatchers and telephone receptionists including an outline
of topics covered and time devoted to each topic. The description must address customer relations and sensitivity training
in addition to other topics that might be covered.
4. Submit a description of the scheduling, dispatching and public information process proposed for SLO TRANSIT’s
services. Describe the proposed public information hours and the minimum staffing levels to be maintained during this
period.
5. Using one page or less, describe your proposed method of dispatching. Include a description of any relevant experience
with any program being proposed such as a computer reservation, computer assisted or fully automated dispatching
system.
6. Describe your firm's proposed program to accommodate driver "no shows", absenteeism, vacations and turnover of
employees. What assurance does SLO TRANSIT have that drivers will always be available as needed?
7. Describe how your firm would monitor the quality of the service provided under this contract.
8. Describe the proposed Management Information System that will be used to report operational and financial data
including the necessary fixed route under the National Transit Database system as required in the "Scope of Work".
D. Maintenance, Safety and Insurance
1. Describe your firm's proposed vehicle maintenance services and repair program including inspection schedules, staffing
levels (by classification), and repair capabilities, cleaning and washing schedules.
2. Describe in detail your firm's proposed Preventive Maintenance and Inspection (PMI) program for all buses, trollies,
general purpose vehicles, generators and fork‐lift components and equipment used in transit service. Attach examples
of the proposed documents to be used in the PMI program. Description of PMI program should include both mileage
and time intervals.
3. Has your firm, or a system managed by principals from your firm, received an "unsatisfactory" rating from a law
enforcement or other regulatory agency during the past three (3) years for maintenance, records or facility deficiencies
or public fixed route? If the answer is "yes", state specifically what happened, the circumstances, what remedial
measures were taken to correct the problem and any other pertinent details.
4. Has your firm, or a public transit system managed by principals from your firm, been cited, fined, or ordered to stop
operations at any time over the past seven (7) years from any regulatory agency for improper maintenance, CHP
inspection failure or for accidents caused by improper maintenance. If the answer is "yes", state specifically what
happened, the circumstances, what remedial measures were taken to correct the problem and any other pertinent
details.
5. Provide 3 comparable (size of operation) examples and List the number of total vehicle miles between preventable
collision accidents for systems operated by your firm during each of the past three consecutive years.
6. Are there any recent, current or pending litigation involving public transit services operated by your firm due to
accidents involving death or serious injury? ("Recent" shall be defined as any judgment entered or settlement reached
within the past three years which resulted in a dismissal of a lawsuit.) If the answer is "yes", give details, to the extent
allowed, including court and number of each case.
7. Provide a detailed statement indicating the proposed insurance program by type, dollar amount, deductible levels
and the method of cost calculation being careful to note the unique insurance provisions of the attached Draft Transit
Operations Agreement or as outlined in this RFP.
E. Miscellaneous Requirements
1. Provide the proposed cost per vehicle service hour for extra services, as defined in the draft agreement, for each year of
the proposed agreement.
2. Describe the amount and method of calculation for early payment discounts if any are being offered. Proposers should
note the standard invoice and payment schedule contained in the draft agreement in responding to this question.
3. Please list and price any other items you propose to offer as an option in addition to the items required by this RFP,
the Draft Agreement and the Scope of Work.
4. Briefly summarize why you consider your firm to be the best qualified to perform this contract indicating any new
or creative ideas or details not mentioned earlier that would provide SLO TRANSIT with a high quality, safe, efficient and
responsive transit operation.
5. Complete and submit Attachment 3 entitled Proposal Cost Form
6. Complete and submit the required proposal and contractor certifications found in Attachment 4.
7. Provide the name of the firm's contact person, address, telephone number, facsimile (FAX) number and e‐mail address.
ASSURANCE OF ABILITY TO PERFORM: SLO TRANSIT may require parties submitting proposals to supply additional
information concerning such parties' ability to perform under this contract. Failure to supply any such additional information
upon timely request shall be cause to reject the proposal.
ATTACHMENT 2
SLO TRANSIT
CURRENT LABOR AND BENEFIT INFORMATION
(Projected as of December 1, 2015)
NUMBER OF
EMPLOYEES
HOURLY WAGE PT FT*
UNION
DRIVERS:
Training Wage $10.00
0 – 12 Months $13.42 3
13 – 24 Months $14.32 5
25 – 36 Months $15.33 1 3
37 – 48 Months $16.15 2 1
49 – 60 Months $16.85 1 2
Over 60 Months $17.43 4 8
NON‐UNION
DISPATCHER:
$15.29 1
15.41 2
17.59 1
17.64 1
ROAD SUPERVISOR: $17.00 1
CLERK OFFICE: $16.65 1
TECHNICIAN II: $22.90 1
SERVICE EMPLOYEE: $12.00 3
$12.80 1
*Full Time = 40+ hours/week
BENEFITS (Available to Union Employees):
The following leave categories are available on an annual, nonaccrual basis:
Seven (7) paid holidays
Three (3) sick days
One (1) personal day
Vacation
One (1) week after one (1) year of employment
Two (2) weeks after two (2) years of employment
Three (3) weeks after five (5) years of employment
Four (4) weeks after ten (10) years of employment
Medical Insurance
The Company will make available group medical insurance to each full‐time and part‐time employee on the first of the month
following 30 days of employment. The Company will pay 78% of the premium for the plan level selected under the Company’s
PPO medical plan, or 70% of the premium toward the plan level selected under the EPO plan offered by the Company. The
Company makes no guarantee that two plans will be available on or after October 1, 2012. Rate adjustments are anticipated
each October 1 of the Agreement.
Dental Insurance
The Company will make available group dental insurance to each full‐time and part‐time, employee on the first of the month
following 30 days of employment. The Company will pay 20% of the premium for the plan level selected under the Company’s
PPO dental plan only. Employees may elect to participate in the HMO Dental plan with no Company contribution. The
Company makes no guarantee that two plans will be available on or after October 1, 2012. Rate adjustments are anticipated
each October 1 of the Agreement.
Life Insurance
The Company will provide $10,000 life insurance and $10,000 accidental death and dismemberment insurance to each full‐time
and part‐time employee who has completed his or her probationary period, and will pay 100% of the cost of such coverage.
Employees may elect to purchase higher amounts of coverage through the Company at the employee’s cost, according to the
premium amounts and increments offered by the Company. In addition, the Company will provide $25,000 in coverage at no
cost to the employee, if the employee is fatally injured in a motor vehicle accident while wearing a seat belt.
Uniform Apparel and Supplies
The Company shall designate and approve, according to the Company’s policy, all appropriate uniform apparel and supplies
that shall be worn whenever an employee is on duty. Upon successful completion of the training period, the Company shall
provide at no cost to the employee five shirts, five pants, one tie, one light weather jacket, and a safety vest. Uniforms that are
worn out in the normal course of employment will be repaired or replaced at no cost to the employee.
The Company will provide each driver with a footwear allowance of up to $50.00 every 12 months to cover the cost of footwear
required by the client. The footwear allowance will only be paid to new hire employees after 6 months of employment. The
Company will only provide the footwear allowance after the employee submits the receipt to management and management
approves the style of footwear purchased. The employee will be responsible to pay any cost above the $50.00 allowance.
BENEFITS (Available to Non‐Union Employees):
Non Union employees have the same medical and uniform benefit as Union employees.
Mechanics receive $50.00 per year for Shoe allowance.
Mechanics receive $0.15 per hour pay increase for each ASE.
ATTACHMENT 3
SLO TRANSIT PROPOSAL COST FORM
Budget Elements Year
One
Year
Two
Year
Three
Year
Four
Office Expenses:
Site Manager Wages $_______ $_______ $_______ $ _______
Site Manager Benefits _______ _______ _______ _______
Operations Supervisor Wages _______ _______ _______
Operations Supervisor Benefits _______ _______ _______
Non‐Revenue Vehicles
Insurance:
_______ _______ _______
Materials and Supplies _______ _______ _______ _______
Telecommunications _______ _______ _______ _______
Other (Identify): _______ _______ _______ _______
_________________________ _______ _______ _______ _______
_________________________ _______ _______ _______ _______
_________________________ _______ _______ _______ _______
Subtotal $_______ $_______ $_______ $ _______
Operating Expenses: $_______ $_______ $_______ $ _______
Trainer Wages _______ _______ _______ _______
Trainer Benefits _______ _______ _______ _______
Driver Wages _______ _______ _______ _______
Driver Benefits _______ _______ _______ _______
Physical/Drug Tests _______ _______ _______ _______
Materials & Supplies _______ _______ _______ _______
Uniforms _______ _______ _______ _______
Other (Identify): _______ _______ _______ _______
_________________________ _______ _______ _______ _______
_________________________ _______ _______ _______ _______
_________________________ _______ _______ _______ _______
Subtotal $_______ $_______ $_______ $ _______
Maintenance Expenses:
Maintenance Manager Wages $_______ $_______ $_______ $ _______
Maintenance Manager Benefits _______ _______ _______
Mechanic Wages _______ _______ _______ _______
Mechanic Benefits _______ _______ _______ _______
Other Maintenance Labor _______ _______ _______ _______
Other Maintenance Benefits _______ _______ _______
Maintenance parts & Supplies _______ _______ _______
Cleaning Supplies _______ _______ _______ _______
Lubricants & Fluids _______ _______ _______ _______
Materials & Supplies _______ _______ _______ _______
Other (Identify): _______ _______ _______ _______
_________________________ _______ _______ _______ _______
_________________________ _______ _______ _______ _______
_________________________ _______ _______ _______ _______
Subtotal $_______ $_______ $_______ $ _______
The above budget breakdown and the other attached materials represent an offer to do work as described in this proposal. It is
understood that this offer shall remain in effect for 90 days from the date set for opening proposals unless withdrawn pursuant to
the conditions of the subject RFP.
Name of Proposing Firm:
Signature: ____________________________ Date: __________________________
Person Authorized to Bind Proposing Firm
Signer’s Name: ____________________________
Title: ____________________________
Other Expenses:
Start Up Costs
Performance Bond
Corporate Overhead & Support
Management Fee
Other (Identify)
_________________________
_________________________
_________________________
Subtotal $_______ $_______ $_______ $ _______
Operating & Maintenance Expense $_______ $_______ $_______ $ _______
Revenue Vehicle Insurance Expense $_______ $_______ $_______ $ _______
Monthly Fee (Fixed Costs) $_______ $_______ $_______ $ _______
Vehicles Service Hour Rate (Variable Costs) $_______ $_______ $_______ $ _______
Insurance Rate per Revenue Vehicles $_______ $_______ $_______ $ _______
ATTACHMENT 4
SLO TRANSIT FEDERAL PROPOSAL & CONTRACT CERTIFICATIONS
1. Certification of Lower Tier Participants Regarding Disbarment, Suspension, and Other Ineligibility and Voluntary Exclusion
2. Certification of Restrictions on Lobbying
3. Disclosure of Lobbying Activities
[No form is provided and this disclosure statement is required only from contractors or subcontractors whose
participation exceeds $100,000 and who is involved in lobbying activities.]
4. Drug‐Free Workplace Act Certification
5. Non‐Collusive Affidavit
6. Eligible Bidder Certification
7. Worker’s Compensation Insurance Certification
FORM 1
SLO TRANSIT
CERTIFICATION OF LOWER TIER PARTICIPANTS REGARDING DEBARMENT, SUSPENSION, AND OTHER
INELIGIBILITY AND VOLUNTARY EXCLUSION
This certification is required by the regulations implementing Executive Order 12549, Debarment and Suspension, 29 CFR
Part 98, Section 98.510, Participants’ responsibilities. The regulations were published as Part VII of the May 26, 1988
Federal Register (pages 19160‐19211).
(BEFORE COMPLETING THIS CERTIFICATION, READ THE FOLLOWING INSTRUCTIONS WHICH ARE AN INTEGRAL
PART OF THE CERTIFICATION)
(1) The prospective recipient of Federal assistance funds certifies, by submission of this proposal, that neither it nor
its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from participation in this transaction by any Federal department or agency.
(2) Where the prospective recipient of Federal assistance funds is unable to certify to any of the statements in this
certification, such prospective participant shall attach an explanation to this proposal.
Name and Title of Authorized Representative
Signature
Date
SLO TRANSIT INSTRUCTIONS FOR FORM 1
1. By signing and submitting this proposal, the prospective recipient of Federal assistance funds is providing the
certification as set out below.
2. The certification in this class is a material representation of fact upon which reliance was placed when this transaction
was entered into. If it is later determined that the prospective recipient of Federal assistance funds knowingly rendered
an erroneous certification, in addition to other remedies available to the Federal Government, the Department of Labor
(DOL) may pursue available remedies, including suspension and/or debarment.
3. The prospective recipient of Federal assistance funds shall provide immediate written notice to the person to whom the
proposal is submitted if at any time the prospective recipient of Federal assistance funds learns that its certification was
erroneous when submitted or has become erroneous by reason of changed circumstances.
4. The terms “covered transaction”, “debarred”, “suspended”, “ineligible”, “lower tier covered transaction”, “participant”,
“person”, “primary covered transaction”, “principal”, “proposal” and “voluntarily excluded”, as used in this clause, have
the meanings set out in Definitions and Coverage sections of rules implementing Executive Order 12549. You may
contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations.
5. The prospective recipient of Federal assistance funds agrees by submitting this proposal that, should the proposed
covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person
who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction,
unless authorized by the DOL.
6. The prospective recipient of Federal assistance funds further agrees by submitting this proposal that it will include the
clause titled “Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion – Lower Tier Covered
Transactions,” without modification, in all lower tier covered transactions and in all solicitations for lower tier covered
transactions.
7. A participant in a covered transaction may rely upon a certification of prospective participant in a lower tier covered
transaction that is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it
knows that the certification is erroneous. A participant may decide the method and frequency by which it determines
the eligibility of its principals. Each participant may, but is not required to check the List of Parties Excluded from
Procurement of Non‐procurement Programs.
8. Nothing contained in the foregoing shall be construed to require establishment of a system of records
in order to render in good faith the certification required by this clause. The knowledge and information of a participant
is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business
dealings.
9. Except for transactions authorized under paragraph 5 of these instructions, if a participant in a covered transaction
knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or
voluntarily excluded from participation in this transaction, in addition to the other remedies available to the Federal
Government, the DOL may pursue available remedies, including suspension and/or debarment.
FORM 2
SLO TRANSIT CERTIFICATION REGARDING
LOBBYING
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for
influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of
Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of
any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for making lobbying
contacts to an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the
undersigned shall complete and submit Standard Form‐‐LLL, "Disclosure Form to Report Lobbying," in accordance with its
instructions [as amended by "Government wide Guidance for New Restrictions on Lobbying," 61 Fed. Reg. 1413 (1/19/96).
Note: Language in paragraph (2) herein has been modified in accordance with Section 10 of the Lobbying Disclosure Act of
1995 (P.L. 104‐65, to be codified at 2 U.S.C. 1601, et seq .)]
(3) The undersigned shall require that the language of this certification be included in the award documents for all sub‐awards
at all tiers (including subcontracts, sub‐grants, and contracts under grants, loans, and cooperative agreements) and that all
sub‐recipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered
into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31, U.S.C. A 1352
(as amended by the Lobbying Disclosure Act of 1995). Any person who fails to file the required certification shall be subject to a
civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
[Note: Pursuant to 31 U.S.C. A 1352(c)(1)‐(2)(A), any person who makes a prohibited expenditure or fails to file or amend a
required certification or disclosure form shall be subject to a civil penalty of not less than $10,000 and not more than $100,000
for each such expenditure or failure.]
The Contractor, ______________________, certifies or affirms the truthfulness and accuracy of each statement of its
certification and disclosure, if any. In addition, the Bidder understands and agrees that the provisions of 31 U.S.C. A 3801, et
seq., apply to this certification and disclosure, if any.
Signature of Contractor’s Authorized Official:
Name and Title of Contractor’s Authorized Official: Date:
FORM 3
SLO TRANSIT
DISCLOSURE OF LOBBYING ACTIVITIES
INSTRUCTIONS FOR COMPLETION OF SF‐LLL, DISCLOSURE OF LOBBYING | Cover
INSTRUCTIONS FOR COMPLETION OF SF‐LLL, DISCLOSURE OF LOBBYING
ACTIVITIES
This disclosure form shall be completed by the reporting entity, whether subawardee or prime Federal
recipient, at the initiation or receipt of a covered Federal action, or a material change to a previous filing,
pursuant to title 31 U.S.C. section 1352. The filing of a form is required for each payment or agreement to
make payment to any lobbying entity for influencing or attempting to influence an officer or employee of
any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of
Congress in connection with a covered Federal action. Complete all items that apply for both the initial filing
and material change report. Refer to the implementing guidance published by the Office of
Management and Budget for additional information.
1. Identify the type of covered Federal action for which lobbying activity is and/or has been secured
to influence the outcome of a covered Federal action.
2. Identify the status of the covered Federal action.
3. Identify the appropriate classification of this report. If this is a follow up report caused by a
material change to the information previously reported, enter the year and quarter in which the
change occurred. Enter the date of the last previously submitted report by this reporting entity
for this covered Federal action.
4. Enter the full name, address, city, State and zip code of the reporting entity. Include Congressional
District, if known. Check the appropriate classification of the reporting entity that designates if it
is, or expects to be, a prime or subaward recipient. Identify the tier of the subawardee, e.g., the
first subawardee of the prime is the 1st tier. Subawards include but are not limited to
subcontracts, subgrants and contract awards under grants.
5. If the organization filing the report in item 4 checks "Subawardee," then enter the full name,
address, city, State and zip code of the prime Federal recipient. Include Congressional District,
if known.
6. Enter the name of the Federal agency making the award or loan commitment. Include at least one
organizational level below agency name, if known. For example, Department of Transportation,
United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (item 1). If known,
enter the full Catalog of Federal Domestic Assistance (CFDA) number for grants, cooperative
agreements, loans, and loan commitments.
slotransit.org
ACTIVITIES | Page 1
8. Enter the most appropriate Federal identifying number available for the Federal action
identified in Item 1 (e.g., Request for Proposal (RFP) number; Invitation for Bid (IFB) number;
grant announcement number; the contract, grant, or loan award number; the
application/proposal control number assigned by the Federal agency). Include prefixes, e.g.,
"RFP‐DE‐90‐001."
9. For a covered Federal action where there has been an award or loan commitment by the
Federal agency, enter the Federal amount of the award/loan commitment for the prime entity
identified in item 4 or 5.
10. (a) Enter the full name, address, city, Stata and zip code of the lobbying registrant under the
Lobbying Disclosure Act of 1995 engaged by the reporting entity identified in item 4 to
influence the covered Federal action.
(b) Enter the full names of the individual(s) performing services, and include full address if
different from 10 (a). Enter Last Name, First Name, and Middle initial (Ml).
11. The certifying official shall sign and date the form, print his/her name, title, and telephone
number.
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FORM 4
SLO TRANSIT
DRUG‐FREE WORKPLACE CERTIFICATION
COMPANY/ORGANIZATION NAME:
The contractor named above hereby certifies compliance with Government Code Section 8355 in matters
relating to providing a drug‐free workplace. The above named contractor will:
1. Publish a statement notifying employees that unlawful manufacture, distribution, dispensation,
possession, or use of a controlled substance is prohibited and specifying actions to be taken
against employees for violations, as required by Government Code Section 8355 (a).
2. Establish a Drug‐Free Awareness Program as required by Government Code Section 8355 (a)(1)(B),
to inform employees about all the following:
(a) The dangers of drug abuse in the workplace,
(b) The person’s or organization’s policy of maintaining a drug‐free workplace,
(c) Any available counseling, rehabilitation and employee assistance programs, and
(d) Penalties that may be imposed upon employees for drug abuse violations.
3. Provide as required by Government Code Section 8355 (a)(1)(C), that every employee who works
on the proposed contract:
(a) Will receive a copy of the company’s drug‐free policy statement, and
(b) Will agree to abide by the terms of the company’s statement as a condition of
employment on the contract.
CERTIFICATION
I, the official named below, hereby swear that I am duly authorized legally to bind the contractor to the
above described certification. I am fully aware that this certification, executed on the date and in the
county below, is made under penalty of perjury under the laws of the State of California.
OFFICIAL’S NAME:
DATE EXECUTED:
EXECUTED IN THE COUNTY OF:
CONTRACTOR SIGNATURE:
TITLE: FEDERAL I.D. NUMBER
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FORM 5
SLO TRANSIT
NON‐COLLUSIVE AFFIDAVIT
STATE OF
COUNTY OF
Being first duly sworn, deposes and says:
That he is _____________________________ of the firm of _____________(Firm Name)________
the party making the foregoing Bid, that such Bid is genuine and not collusive or sham; that said bidder has not
colluded, conspired, connived, or agreed, directly or indirectly, with any bidder or person, to put in a sham Bid or
to refrain from bidding, and has not in any manner, directly or indirectly, sought by agreement or collusion,
or communication or conference, with any person, to fix the Bid price of affiant or of any other proposer, or
to fix any overhead, profit or cost element of said Bid price, or of that of any other proposer, or to secure any
advantage against SLO TRANSIT or any person interested in the proposed contract; and that all statements in
said Bid are true.
That neither any officer, director or employee of SLO TRANSIT is in any manner interested, directly or indirectly, in
the Bid to which this Non‐Collusive Affidavit is attached, nor in the Contract which may be made pursuant to said
Bid, nor in any expected profits which may arise therefrom.
Dated: ______________________________
Name of Bidder
Official Address:
___________________________________ By
___________________________________ Title
Subscribed and sworn to before me this ___________ day of _________________________, 2016.
By
Notary Public
My Commission Expires:
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FORM 6
SLO TRANSIT ELIGIBLE BIDDER
CERTIFICATION
This contract is a covered transaction for purposes of 49 CFR Part 29. As such, the contractor is required to
verify that none of the contractor, its principals, as defined at 49 CFR 29.995, or affiliates, as defined at 49 CFR
29.905, are excluded or disqualified as defined at 49 CFR 29.940 and 29.945.
The contractor is required to comply with 49 CFR 29, Subpart C and must include the requirement to
comply with 49 CFR 29, Subpart C in any lower tier covered transaction it enters into.
By signing and submitting its bid or proposal, the bidder or proposer hereby certifies that they are not on the
Comptroller General of the United States of America list of ineligible bidders.
The certification in this clause is a material representation of fact relied upon by SLO TRANSIT. If is later
determined that the bidder or proposer knowingly rendered an erroneous certification, in addition to remedies
available to SLO TRANSIT, the Federal Government may pursue available remedies, including but not limited to
suspension and/or debarment. The bidder or proposer agrees to comply with the requirements of 49 CFR 29,
Subpart C while this offer is valid and throughout the period of any contract that may arise from this offer. The
bidder or proposer further agrees to include a provision requiring such compliance in its lower tier covered
transactions.
Date
Name of Bidder/Proposer
By
Title
By
Title
Official Address
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FORM 7
SLO TRANSIT WORKER’S COMPENSATION
INSURANCE CERTIFICATION
The Contractor shall secure the payment of Workmen’s Compensation to its employees in accordance
with the provisions of Section 3700 of the California Labor Code and shall furnish SLO TRANSIT with a
certificate evidencing such coverage together with verification thereof as follows:
“I am aware of the provisions of Section 3700 of the Labor Code which require every employer to be
insured against liability for Workmen’s Compensation or to undertake self‐insurance in accordance with the
provisions of that code, and I will comply with such provisions before commencing the performance of the
work of this Contract.”
Signed (Contractor) Date
Print Name and Title
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Part Two: Operations and Maintenance Agreement (Draft)
SLO TRANSIT, City of San Luis Obispo
TRANSIT OPERATIONS AGREEMENT
BETWEEN SLO TRANSIT AND CONTRACTOR
PART TWO: OPERATIONS AND MAINTENANCE AGREEMENT (DRAFT) ............................................................ 6
1. Purpose of Agreement ......................................................................................................................................... 9
2. Term of Agreement .............................................................................................................................................. 9
3. Scope of Work ................................................................................................................................................... 10
4. Maximum Obligation ......................................................................................................................................... 10
5. Price Formula ..................................................................................................................................................... 10
6. Extra Services. .................................................................................................................................................... 11
7. General and Vehicles Insurance .......................................................................................................................... 11
8. Worker’s Compensation ..................................................................................................................................... 14
9. Indemnification ................................................................................................................................................. 14
10. Performance Bond ............................................................................................................................................. 15
11. Invoices ............................................................................................................................................................. 15
12. Payment ............................................................................................................................................................ 16
13. Operating Revenues ........................................................................................................................................... 16
14. Control .............................................................................................................................................................. 16
15. Contract Assignment .......................................................................................................................................... 16
16. Dispute Resolution ............................................................................................................................................. 16
17. Resolution of Federal Procurement Issues .......................................................................................................... 17
18. Stop Work .......................................................................................................................................................... 17
19. Termination for Default ..................................................................................................................................... 17
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20. Termination for Convenience ............................................................................................................................. 18
21. Remedies on Breach (Waiver of Remedies) ........................................................................................................ 19
22. Rights Upon Termination Or Expiration And Waiver Of Claims ............................................................................ 19
23. Changes ............................................................................................................................................................. 19
24. Modification of Agreement ................................................................................................................................ 20
25. Notices .............................................................................................................................................................. 20
26. Proprietary Rights .............................................................................................................................................. 20
27. Force Majeure .................................................................................................................................................... 20
28. Information and Documents .............................................................................................................................. 21
29. Emergency Procedures ....................................................................................................................................... 21
30. Access to Records and Reports (Audit and Inspection) ........................................................................................ 21
31. Transfer of Title to Equipment ............................................................................................................................ 21
32. Transportation Data Reporting ........................................................................................................................... 22
33. Permits and Licenses .......................................................................................................................................... 22
34. Non‐Discrimination in Employment and Service ................................................................................................. 22
35. Labor Provisions ................................................................................................................................................. 23
36. Transit Employee Protective Agreements ........................................................................................................... 24
37. Access Requirements for Persons with Disabilities .............................................................................................. 24
38. Civil Rights ......................................................................................................................................................... 25
39. Disadvantaged Business Enterprise .................................................................................................................... 26
40. Drug and Alcohol Testing ................................................................................................................................... 26
41. Charter Service Operations ................................................................................................................................ 26
42. School Bus Operations ....................................................................................................................................... 27
43. Miscellaneous Provisions ................................................................................................................................... 27
44. Lobbying ............................................................................................................................................................ 29
45. Compliance with Federal, State, and Local Laws ................................................................................................. 30
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46. Program Fraud and False or Fraudulent Statements Or Related Acts ................................................................... 30
47. Incorporation of Federal Transit Administration (FTA) Terms .............................................................................. 31
48. Privacy Act ......................................................................................................................................................... 31
49. Independent Contractor ..................................................................................................................................... 31
50. Transition to Future Operator ............................................................................................................................ 32
51. Severability ........................................................................................................................................................ 32
52. Precedence of Contract Documents .................................................................................................................... 32
53. Additional Terms ............................................................................................................................................... 32
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Part Two: Operations and Maintenance Agreement (Draft)
SLO TRANSIT, City of San Luis Obispo
This AGREEMENT is made this _______ day of ________, 2016, by and between the CITY OF SAN LUIS OBISPO a
municipal corporation and charter city, hereinafter referred to as “CITY” and __________________, hereinafter referred
to as “CONTRACTOR.”
WITNESSED:
WHEREAS, on ________________, 2015, the City Council authorized the release of a Request for Proposals (RFP)
for the operation and maintenance of specified transportation services; and,
WHEREAS, CONTRACTOR submitted a proposal dated _________________, 2016 in response to the said RFP to
provide such services in the method and manner and for the costs set forth in the proposal, subsequent
clarifications and the "Best and Final Offer" dated , 2016; and,
WHEREAS, CITY has determined that CONTRACTOR has the management and technical personnel,
expertise and other useful assets of sufficient quantity and quality to provide CITY’s transportation services;
and,
WHEREAS, the subject RFP is attached to this agreement as Exhibit B and CONTRACTOR's proposal
including the “Best and Final Offer” is attached as Exhibit C and both are by this reference made a part of this
agreement;
NOW, THEREFORE, for good and valuable consideration, the parties do agree as follows:
1. Purpose of Agreement
CITY hereby contracts with CONTRACTOR to operate and maintain specified transportation services upon the
terms and conditions hereinafter set forth.
Term of Agreement
a. Term. Subject to the terms and conditions of this agreement, the term of this agreement shall be from
July 1, 2016 through and including June 30, 2020 with three (3) one‐year contract extension options as
indicated in Section 2.c.
b. Month‐to‐Month Extensions. Upon completion of the term of this agreement, including any option
term described below, CITY may, at its sole discretion, extend the term of this agreement on a month‐
to‐month basis up to a maximum of six (6) months. CITY shall notify CONTRACTOR of such extensions at
least thirty (30) days prior to the termination date of this agreement. The compensation rates in effect
during the last monthly period of the full term of this agreement or any option terms as applicable shall
remain in effect during any such extensions.
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c. Option Terms. CITY, at its sole discretion, may extend this agreement for up to three option terms of
one year each for a maximum contract term, including the initial term, of four years (through June 30,
2020). If the CITY decides to consider exercising option term years, the price formulas for the extension
years shall be negotiated. If the negotiation price formula are not advantageous to the CITY, the CITY
can have the contract go to back to RFP.
Scope of Work
CONTRACTOR shall provide the transportation services set forth in Exhibit A entitled "Scope of Work" attached
and by this reference made a part of this agreement. Such services shall continue to be provided by CONTRACTOR
until the "Scope of Work" is amended pursuant to the terms and conditions of this agreement.
Maximum Obligation
CITY agrees to pay CONTRACTOR in consideration for its services as described herein.
The maximum cost to be paid by CITY to CONTRACTOR shall not exceed $___________ in Year One;
$____________in Year Two; and, $____________ in Year Three based on the services specified in Exhibit A.
Price Formula
CITY agrees to pay CONTRACTOR for performance of the services set forth in this agreement as follows:
a. Payment of a fixed hourly rate per vehicle service hour of $____________ in Year One;
$____________ in Year Two; $____________ in Year Four. A vehicle service hour is defined as on
vehicle providing passenger service for one hour during the service hours specified herein. A vehicle
service hour shall be deemed to have commenced when a vehicle leaves CITY’s Transit
Center (located at 990 Palm Street) to provide the services required herein and shall
not include any out‐of‐service vehicle time used for vehicle operator breaks or lunches. A
vehicle service hour shall terminate when a vehicle returns to CITY Transit Center prior to any
cleaning, servicing or fueling of the vehicle. The hourly rate shall include vehicle operator
wages, fringe benefits, indirect labor and all consumable material costs that can be tracked by
vehicle service hour such as vehicle maintenance parts and supplies including oil.
b. Payment of a fixed monthly rate of $____________ in Year One; $____________ in Year Two;
$____________ in Year Three; and $____________ in Year Four to compensate CONTRACTOR for all
work to be performed under this agreement as defined in Exhibit A, except that which is included
under Paragraph 5(a) and Paragraph 7 of this agreement including, but not limited to: vehicle
operator non‐service wages; management, controller and maintenance employee wages and said
employees fringe benefits and indirect labor costs; bus washing and cleaning supplies; uniforms;
report reproduction; office supplies; project telephones; all other related operational costs; and the
contract management fee.
c. Payment of a fixed monthly rate of $____________ in Year One; $____________ in Year Two;
$____________ in Year Three; and $____________ in Year Four for the cost incurred in providing all
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vehicle and general liability insurance required under this agreement as such insurance is defined
in this agreement. This amount shall be in excess of the fixed monthly rate as defined herein. CITY
reserves the right, however, to alternatively secure all or part of the specified insurance coverage
through other means.
d. Compensation for those items and services provided by CITY and which are specified in Exhibit A
shall not be included in the hourly or monthly rates as defined above. Such items and services
include, but are not limited to diesel fuel and gasoline; tires; radios including connection fees and
service agreements; city owned vehicles; licenses for radios and vehicles; routine maintenance of
radios; major facility furnishings; telephone system, building security, office copy machine; all major
vehicle components which are engines, transmissions, differentials, and design retrofits; and,
office, garage and parking facilities.
Additionally, CITY shall provide all marketing, tickets, passes, brochures, and related collateral
service materials.
Extra Services
Special promotional and community services shall be considered extra services and will be provided only with the
authorization of CITY and the mutual consent of the CONTRACTOR. Such services shall be defined as those non‐
permanent service hours operated outside of the services identified in Exhibit A. Extra services shall be
considered a change to this agreement as defined herein and shall be in excess of the maximum price defined in
Paragraph 4. The costs for extra services will be determined at a rate per vehicle service hours of $____________
in Year One; $____________ in Year Two; $____________ in Year Three; and $____________ in Year Four and
billed separately from the services specified in Exhibit A.
General and Vehicles Insurance
a. Throughout the term of this Agreement, CONTRACTOR shall procure and maintain a
comprehensive general liability insurance policy providing no less than TEN MILLION DOLLARS
($10,000,000) per occurrence with a total policy limit of no less than TEN MILLION DOLLARS
($10,000,000) combined single limit bodily injury and property damage coverage. Said policy
shall include coverage for premises (specifically including dangerous condition of public property
as well as coverage for the facility and property provided by CITY for CONTRACTOR’s use during the
term of this contract), personal injury, and blanket contractual, but shall not include coverage for
vehicle liability and/or vehicle physical damage insurance (vehicle liability and vehicle damage
insurance shall be provided pursuant to Paragraph (b), below). CONTRACTOR shall name CITY
and each of its member jurisdictions or other parties as required by CITY, including their
officers, employees and agents, as additional insureds on said policy. CONTRACTOR shall cause such
additional insureds to be added to its policy of insurance by way of an endorsement which
endorsement shall be a CG 20 10 11/85 or equivalent additional insured endorsement. (The
ADDITIONAL INSURED ENDORSEMENT) The ADDITIONAL INSURED ENDORSEMENT shall not be
an omnibus endorsement, but shall specifically and directly name each additional insured. Such
ADDITIONAL INSURED ENDORSEMENT will explicitly include coverage for the additional
insureds for both ongoing and completed operations so long as the liability of an additional
insured arises out of the work of the named insured, or so long as an additional insured’s liability
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arises out of the named insured’s performance of this Agreement. The ADDITIONAL INSURED
ENDORSEMENT shall not contain any provisions which limit or restrict coverage for the
additional insureds beyond the extent set forth above. Any insurance carrier providing insurance
called for in this section shall be from a California admitted carrier and have a minimum rating of A.M.
Best Rated A, or better. Any self‐insured retention shall be declared by CONTRACTOR and
approved in writing by CITY. With respect to any self‐insured retention, the coverage
provided for CITY, its member jurisdictions, and other parties required by CITY shall be equal
and identical to the coverage of the CONTRACTOR. CONTRACTOR shall provide written
documentation to CITY that establishes that as to any self‐insured retention, the additional
insured parties shall have coverage to the same extent as the CONTRACTOR. CONTRACTOR shall
provide CITY with the ADDITIONAL INSURED ENDORSEMENTS required by this paragraph within
thirty (30) days of the Notice of Contract Award and, upon request, a copy of the entire policy of
insurance. Such policy or policies of insurance shall provide that they may not be cancelled
without at least 30 days written notice to CITY. CONTRACTOR shall provide CITY a copy of
the current policy of insurance and all endorsements, as well as documentation for coverage
under any self‐insured retention, within ten (10) days of receiving such a request from CITY).
b. CONTRACTOR shall provide CITY with vehicle liability insurance in the amount of TEN MILLION
DOLLARS ($10,000,000) per occurrence with a total policy limit of TEN MILLION DOLLARS
($10,000,000) combined single limit for bodily injury and property damage. Coverage will also
include collision and comprehensive physical damage with a deductible not to exceed TEN
THOUSAND DOLLARS ($10,000). Any deductible will be the responsibility of CONTRACTOR.
CONTRACTOR shall name CITY and each of the member jurisdictions, or other parties as required
by CITY, including their officers, employees and agents, as additional insured on said policy and shall
furnish CITY with evidence of insurance within 30 days of the notice of contract award. Such policy
or policies shall provide that they may not be cancelled without at least thirty (30) days written
notice to CITY. CONTRACTOR shall provide CITY a copy of the current policy of insurance and all
endorsements within ten (10) days of receiving such a request from CITY.
c. In case of damage, destruction or loss of any vehicle or equipment provided by CITY under
the terms of this agreement, CITY agrees that the liability of CONTRACTOR for said damage or
destruction shall be limited to the fair market value of the vehicle or equipment at the time of loss.
d. During this agreement, CONTRACTOR shall maintain an appropriate Fidelity Bond or other
security acceptable to CITY providing protection up to the amount of FIFTY THOUSAND
DOLLARS ($50,000.00) with respect to any one occurrence of theft or other dishonest conduct by
CONTRACTOR'S employees, officers or agents of CITY funds, equipment or inventory other than
vehicles.
In lieu of a Fidelity Bond, CONTRACTOR may provide CITY with an irrevocable and absolute Letter of
Credit in the form set out in Exhibit D attached hereto and incorporated herein.
CITY shall be entitled to draw upon the Letter of Credit to compensate it for all losses it sustains
occasioned by the theft or other misconduct of CONTRACTOR’s employees, officers or agents.
CITY’s losses shall include its investigative expenses, including the costs of its experts and attorneys, in
addition to the value of the funds, equipment or property in question. At the earliest practicable
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time, and not later than thirty (30) days after discovery by CITY of the loss, CITY shall give
CONTRACTOR written notice of such discovery. CONTRACTOR shall have thirty (30) days to
directly reimburse such loss to CITY. With appropriate notice, CONTRACTOR shall be provided a
reasonable time to investigate the loss. CONTRACTOR’s responsibility to reimburse CITY for the
loss shall be to the full extent of such loss and shall not be limited to TWENTY‐FIVE THOUSAND
DOLLARS. CONTRACTOR reserves the right to dispute the value of the loss. In the event that
CONTRACTOR has not reimbursed the loss within said thirty (30) days, CITY may draw against the
Letter of Credit to recover its loss and, as stated above, if the Letter of Credit is insufficient to
fully compensate CITY, CONTRACTOR shall remain obligated to compensate CITY to the full extent of
its loss.
When a loss is alleged to have been caused the theft, fraud or other dishonesty of any one or
more of CONTRACTOR’s employees, officers, or agents, but CITY is unable to designate the specific
person causing such loss, CITY shall have the benefit of the Letter of Credit provided that the
evidence submitted reasonably establishes that the loss was in fact due to the fraud or dishonesty of
one or more such persons.
Presentation of the Letter of Credit shall be required either electronically or not more than fifty (50)
miles from San Luis Obispo, California.
Notice shall be delivered in accordance with Section 25 of this Agreement.
Not less than thirty (30) days after CITY has drawn against the letter of credit, CONTRACTOR shall
deposit funds sufficient to restore the letter of credit to the original amount thereof.
In lieu of a Fidelity Bond or Letter of Credit, CONTRACTOR may provide CITY with a cash
deposit of FIFTY THOUSAND DOLLARS which shall be held without payment of interest by
CITY and CITY shall be entitled to draw upon the deposit in the same manner and for the same
purposes as regarding the above described Letter of Credit. Not less than thirty (30) days after
CITY has drawn against the cash deposit, CONTRACTOR shall restore the cash deposit to the
original amount thereof. The cash deposit shall be held by CITY during the term of the
Agreement. Within thirty (30) days of termination or expiration of the Agreement, CITY
shall return the cash deposit to CONTRACTOR, less any amount used by CITY
pursuant to this Agreement.
e. Should, at any time, any of the insurance policies required by this Agreement be
unsatisfactory to CITY, at its sole discretion, CONTRACTOR shall promptly obtain a new policy,
submit the same to CITY. Upon failure of CONTRACTOR to furnish, deliver or maintain any
insurance and endorsements as required by this Agreement, at the election of CITY, this
Agreement may be immediately terminated as provided herein. Failure of CONTRACTOR to
obtain and maintain any required insurance shall not relieve CONTRACTOR of any liability
under this Agreement (and CONTRACTOR may be answerable to CITY for damages or any other
remedy on account of such breach) nor shall the insurance requirements be construed to conflict
with or otherwise limit the obligations of CONTRACTOR concerning indemnification.
f. All insurance provided by CONTRACTOR shall be primary and any insurance or self‐insurance
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maintained by CITY and its member jurisdictions shall be excess of CONTRACTOR's insurance and
shall not contribute to it.
g. CONTRACTOR’s failure to provide the insurance required by this section, or CONTRACTOR’s
submission of insurance policies, endorsements and other documentation (whether or not such
documentation is “accepted” by CITY) shall not waive or satisfy the CONTRACTOR’s obligation
to provide CITY with the insurance required by this Agreement if it has failed to do so. Should
CONTRACTOR fail to provide insurance in the form and amount specified by this Agreement,
CONTRACTOR shall be directly liable to CITY to provide it with both a defense and indemnity for
any losses which CITY incurs to the extent such losses would have been covered by insurance as
is specified in this Agreement. Notwithstanding the above, CONTRACTOR shall not be required
to indemnify CITY from loss or liability to the extent such loss or liability arises from the
sole negligence or willful misconduct of CITY, its agents, directors and employees, at such time
that such sole negligence or willful misconduct has been finally determined by a court of
competent jurisdiction.
h. It shall be a requirement under this Agreement that any available insurance proceeds broader
than or in excess of the specified minimum insurance coverage requirements as set forth
above and/or limits shall be available to the additional insured. Furthermore, the requirements
for coverage and limits shall be (1) the minimum coverage and limits specified in this
Agreement; or (2) the broader coverage and limits of coverage of any insurance policy or
proceeds available to the named insured, whichever is greater. The defense and indemnifications
of this Agreement are undertaken in addition to, and shall not in any way be limited by, the
insurance obligations contained in this Agreement. All deductibles and self‐ insured retentions
(SIR) must be disclosed to CITY for approval and shall not reduce the limits of the liability. Policies
containing any SIR provision shall provide, or be endorsed to provide, that the SIR may be
satisfied by either the named insured or CITY. CITY reserves the right to obtain a full certified
copy of any insurance policy and endorsement coverage under this Agreement. Failure to
exercise this right shall not constitute a waiver of the right to exercise it later.
Worker’s Compensation
CONTRACTOR certifies that it is aware of the provisions of the Labor Code of the State of California which require
every employer to be insured against liability for Worker's Compensation or to undertake self‐insurance in
accordance with the provisions of that Code, and it certifies that it will comply with such provisions and furnish
CITY with a Certificate of Insurance before commencing the performance of this agreement. Furthermore,
CONTRACTOR shall indemnify CITY, its officers and employees, for any claims in law or equity occasioned by
failure of CONTRACTOR to comply with this provision or which arise out of any job related injury, including third
party claims against CITY by CONTRACTOR’S or subcontractor’s employees. The indemnification provisions of this
paragraph shall survive the termination of this agreement or any extensions thereof.
Indemnification
To the fullest extent allowed by law, CONTRACTOR shall indemnify and hold CITY (and CITY’s member
jurisdictions) and its representative officers, directors, employees and agents free and harmless from and against
any and all claims, suits, liens, demands, damages, injuries, liabilities, losses and expenses of any kind, including
reasonable fees of attorneys and expert witnesses, to the extent they arise out of or are in any way connected
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with the performance of this Agreement by CITY, its agents, directors or employees, or by CONTRACTOR, its
agents, directors or employees, whether such claims, liens, demands, damages, losses or expenses are based
upon a contract or upon a claim for personal injury, death or property damage or upon any other legal or
equitable theory whatsoever.
CONTRACTOR agrees, at its own expense and upon written request by CITY, to defend any claim, suit, action or
demand brought against CITY on any injury, loss or liability, actual or alleged, covered herein. Notwithstanding
this defense obligation, CONTRACTOR shall not be required to indemnify CITY from loss or liability to the extent
such loss or liability arises from the sole negligence or willful misconduct of CITY, its agents, directors and
employees, at such time that such sole negligence or willful misconduct has been finally determined by a court of
competent jurisdiction. CONTRACTOR shall provide CITY with a defense until such determination has been made
(i.e. until a court of competent jurisdiction has determined that the loss or liability arises from the sole negligence
or willful misconduct of CITY, CONTRACTOR shall provide a defense as to such loss or liability). CONTRACTOR’s
indemnity obligations survive termination of this Agreement.
Performance Bond
The faithful performance by CONTRACTOR of each and every term, condition, and provision of this agreement is
expressly made a condition precedent for the payment of any sums agreed herein to be paid to CONTRACTOR by
CITY. To insure performance, CONTRACTOR shall post with CITY a bond or other acceptable security in the
amount of TWENTY‐FIVE PERCENT (25%) of the first year contract price. Such bond or security shall be subject to
the approval of CITY's Attorney and Finance Director and shall be executed by CONTRACTOR and a surety
company licensed to do business as such in the State of California. The condition of the bond shall be that the
CONTRACTOR shall fully and faithfully perform all conditions and covenants of this agreement or the face amount
of such bond shall be forfeited to CITY. The bond may be a renewable one‐year bond, and shall be renewed
annually before its expiration date; provided, however, that such bond must remain in full force and effect from
and after the date CITY makes any demands for payment on the bond until CITY releases such claim. Provision of
such bond or its equivalent is a material covenant of this agreement and CITY shall not approve any security
which is not unconditionally payable to CITY upon CITY demand. CITY reserves the right to rescind the
requirement for a performance bond at any time.
Invoices
a. All hourly costs shall be invoiced to CITY monthly following the service month provided. Said invoices
shall specify the dates of service and the number of vehicle service hours claimed. Hourly costs
shall be directly traceable by dispatcher and/or driver trip sheets and/or employee time cards, copies of
which will be submitted to CITY monthly with each invoice.
b. The monthly fixed rate and insurance rate shall be invoiced monthly following the service month
provided. All reports and submissions required under this agreement shall be accurately completed
and submitted to CITY prior to payment of said monthly rate invoices.
c. Any extra services provided under this agreement shall be invoiced separately following the
provision of such services. Copies of all appropriate passenger and service logs shall be attached to
each extra service invoice prior to payment.
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Payment
All payments by CITY to CONTRACTOR shall be made in arrears. Payment shall be made by CITY no more than
thirty (30) days from receipt of an invoice. Payment of invoices will be made on a monthly basis. If CITY disputes
any item on an invoice for a reasonable cause, CITY may deduct that disputed item from the payment, but shall
not delay payment for the undisputed portions. The amounts and reasons for such deletions shall be documented
to CONTRACTOR within fifteen (15) working days of the receipt of the invoice by CITY. Payments shall be by
voucher or check payable to and mailed first‐class to:
[INSERT CONTRACTOR NAME & MAILING ADDRESS]
Operating Revenues
All operating revenues collected by CONTRACTOR are the property of CITY. Operating revenues include, but are
not limited to, all fares and the proceeds from the sale of tickets and passes. Operating revenues shall be counted
and kept separately under appropriate security. Within one working day from collection, unless otherwise agreed
upon, CONTRACTOR shall deposit fares at a banking institution as directed by CITY. Reports on the revenues
collected and deposited shall be provided to CITY on a timely basis. CITY shall be provided with a written
description of CONTRACTOR'S procedures regarding the collection, counting and controlling of fare revenues.
These procedures are subject to CITY's audit and approval.
Control
d. All services to be rendered by CONTRACTOR under this agreement shall be subject to the control
of CITY. CONTRACTOR shall advise CITY of matters of importance and make recommendations
when appropriate; however, final CITY shall rest with CITY.
e. CITY shall not interfere with the management of CONTRACTOR'S normal internal business affairs
and shall not attempt to directly discipline or terminate CONTRACTOR employees. CITY may advise
CONTRACTOR of the performance of any employee having a negative effect on the service being
provided.
Contract Assignment
This agreement shall not be sold, assigned, transferred, conveyed or encumbered by CONTRACTOR
without the prior written consent of CITY which consent may be withheld in CITY’s sole and absolute discretion.
Any assignment, transfer, conveyance or encumbrance of this agreement without CITY’s prior written approval
shall be null and void. CONTRACTOR shall not sell or otherwise transfer its interest in this agreement without
prior written notification to CITY. Upon receiving such notification from CONTRACTOR, CITY may, at its sole
discretion, decide to exercise its right to terminate this agreement. Subject to this provision, the agreement shall
be binding upon the heirs, executors, administrators, successors and assigns of the respective parties.
Dispute Resolution
a. Disputes arising in the performance of this agreement shall be decided in writing by the Transit
Manager. This decision shall be final and conclusive unless within ten (10) days from the date of receipt
of its copy, CONTRACTOR mails or otherwise furnishes a written appeal to the Transit Manager. In
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connection with any such appeal, CONTRACTOR shall be afforded an opportunity to be heard and to
offer evidence in support of its position. The decision of the Transit Manager shall be binding upon the
CONTRACTOR and the CONTRACTOR shall abide be the decision.
b. Unless otherwise directed by CITY, CONTRACTOR shall continue performance under this agreement while
matters in dispute are being resolved.
c. Should either party to this agreement suffer injury or damage to person or property because of any act or
omission of the party or of any of his employees, agents or others for whose acts he is legally liable, a
claim for damages therefore shall be made in writing to such other party within a reasonable time after
the first observance of such injury of damage.
d. Unless this agreement provides otherwise, all claims, counterclaims, disputes and other matters in
question between CITY and CONTRACTOR arising out of or relating to this agreement or its breach will
be decided by arbitration if the parties mutually agree, or in a court of competent jurisdiction
within the State of California.
e. The duties and obligations imposed by this agreement and the rights and remedies available there
under shall be in addition to and not a limitation of any duties, obligations, rights and remedies
otherwise imposed or available by law. No action or failure to act by CITY or CONTRACTOR shall
constitute a waiver of any right or duty afforded any of them under this agreement, nor shall any
such action or failure to act constitute an approval of or acquiescence in any breach there under, except
as may be specifically agreed in writing.
Resolution of Federal Procurement Issues
The Federal Procurement Regulations shall be used where applicable to define, resolve, and settle procurement
issues. Unless otherwise directed by CITY, CONTRACTOR shall continue performance under this agreement while
matters in dispute are being resolved.
Stop Work
CITY may stop work on CITY's transportation system upon forty‐eight (48) hours written notice to CONTRACTOR.
CITY shall be liable for all relevant costs incurred prior to the stop‐work period and for restart, if any. When
exercising this provision, CITY shall be obligated for the costs of severance for personnel assigned to CITY's
transportation system in accordance with the published policy and procedures of CONTRACTOR, a copy of which
shall be provided to CITY upon request. Additionally, the cost associated with operations and facilities close down,
shall be the obligation of CITY. CONTRACTOR shall make all reasonable efforts to minimize costs to CITY.
Termination for Default
a. All the terms, conditions, and covenants of this agreement are considered material and in the event
CONTRACTOR breaches or defaults in the performance of any such terms, conditions, or covenants
which are to be kept, done or performed by it, CITY shall give CONTRACTOR ten days written notice
either by certified mail or by personal service, describing such breach or default, and if CONTRACTOR
fails, neglects or refuses for a period or more than ten days thereafter to remedy, or cure such
breach or default, then CITY without further notice, may terminate this agreement. In the event of
termination of this agreement as hereinabove specified, CITY shall have the right to take immediate
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possession of all equipment and facilities provided by CITY to CONTRACTOR and of the facilities
and equipment supplied by CONTRACTOR under the provisions of this agreement. In the event CITY
does take possession of CONTRACTOR‐supplied facilities and equipment, CONTRACTOR shall be
reimbursed by CITY for the actual cost of the temporary use of said facilities and equipment. If it is
later determined by CITY that CONTRACTOR had an excusable reason for not performing, such as a
strike, fire, or flood, events which are not the fault of or are beyond the control of CONTRACTOR,
CITY, after setting up a new delivery of performance schedule, may allow CONTRACTOR to continue
work, or treat the termination as a termination for convenience.
b. Bankruptcy: Either (a) the appointment of a receiver to take full possession of all or substantially
all of the assets of CONTRACTOR or (b) a general assignment by CONTRACTOR for the benefit of
creditors, or (c) any action taken by or suffered by CONTRACTOR under any insolvency or
bankruptcy act shall constitute a breach of the agreement by CONTRACTOR and CITY shall have
the option to terminate this agreement. The parties specifically agree that the selection of
CONTRACTOR is based on factors that render contractor especially suited to perform this
agreement, such that the identity of contractor is central to the obligations in this contract.
Accordingly, this contract is similar to a personal services contract and non‐assignable under 11 USC
365 (c).
Termination for Convenience
The performance of work under this agreement may be terminated by CITY in accordance with this clause in
whole, or from time to time in part, whenever the Transit Manager shall determine that such termination is in the
best interest of CITY. Any such termination shall be effected by delivery to CONTRACTOR of a notice of
termination specifying the extent to which performance of work under the agreement is terminated, and the
date upon which such termination becomes effective. After receipt of a notice of termination, and except as
otherwise directed by the Transit Manager, CONTRACTOR shall:
a. Stop work under the agreement on the date and to the extent specified in the notice of
termination;
b. Place no further orders or subcontracts for materials, services, or facilities, except as may be
necessary for completion of such portion of the work under the agreement as is not terminated;
c. Terminate all orders and subcontracts to the extent that they relate to the performance of work
terminated by the notice of termination; assign to CITY in the manner, at the times, and to the
extent directed by the Transit Manager, all of the right, title, and interest of CONTRACTOR under
the orders and subcontracts so terminated, in which case CITY shall have the right, in its discretion,
to settle or pay and or all claims arising out of the termination of such orders and subcontracts;
settle all outstanding liabilities and all claims arising out of such termination of orders and
subcontracts, with the approval or ratification of the Transit Manager, to the extent he may require,
which approval or ratification shall be final for all the purposes of this clause; transfer title to CITY
and deliver in the manner, at the times, and to the extent, if any, directed by Transit Manager the
fabricated or unfabricated parts, work in process, completed work, supplies, and other material
produced as part of, or acquired in connection with the performance of, the work. terminated, and
the completed or partially completed plans, drawings, information and other property which, if the
agreement had been completed, would have been required to be furnished to CITY; use its best
efforts to sell, in the manner, at the times, to the extent, and at the price(s) directed or authorized
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by the Transit Manager, any property of the types referred to above, provided, however, that
CONTRACTOR shall not be required to extend credit to any purchaser, and may acquire any such
property under the conditions prescribed by and at a price(s) approved by the Transit Manager,
and provided further, that the proceeds of any such transfer or disposition shall be applied in
reduction of any payments to be made by CITY to CONTRACTOR under this agreement or shall
otherwise be credited to the price or cost of the work covered by this Contract or paid in such
other manner as the Transit Manager may direct; complete performance of such part of the work
as shall not have been terminated by the notice of termination; and take such action as may be
necessary, or as the Transit Manager may direct, for the protection or preservation of the property
related to this agreement which is in the possession of CONTRACTOR and in which CITY has or may
acquire an interest.
d. CONTRACTOR shall be paid its costs, including contract close‐out costs, and profit on work
performed up to the time of termination. CONTRACTOR shall promptly submit its termination
claim to CITY to be paid CONTRACTOR.
Remedies on Breach (Waiver of Remedies)
The duties and obligations imposed by the agreement and the rights and remedies available hereunder shall be in
addition to and not a limitation of any duties, obligations, rights and remedies otherwise imposed or available by
law. No action or failure to act by CITY or CONTRACTOR shall constitute a waiver of any right or duty afforded any
of them under the agreement, nor shall any such action or failure to act constitute an approval of or acquiescence
in any breach hereunder, except as may be specifically agreed in writing. In the event that CITY elects to waive its
remedies for any breach by CONTRACTOR of any covenant, term or condition of this agreement, such waiver shall
not limit CITY’s remedies for any succeeding breach of that or of any other term, covenant or condition of this
agreement. It is agreed that in the event of failure by CONTRACTOR to perform the services required by this
agreement, in addition to all other remedies, penalties and damages provided by law, CITY may provide such
services, and deduct the cost of doing so from the amounts due or to become due to the CONTRACTOR. The costs
to be deducted shall be the actual costs to CITY to provide such services.
Rights Upon Termination Or Expiration And Waiver Of Claims
Upon expiration or earlier termination of this agreement, CITY shall have the right to provide the services by
means of its own employees or pursuant to contract with other carrier(s) or otherwise. CONTRACTOR agrees to
forever waive any claim, of any sort or nature, against CITY based upon CITY's operation, or contracting for the
operation, of the service, or any portion of it. CONTRACTOR shall also waive any right that it otherwise might have
to claim entitlement to benefits afforded to private mass transportation companies under Section 3(e) of the
Federal Transit Act of 1964 (49 USC Sec. 1602(e)), as it now exists or hereafter may be amended. CONTRACTOR
also hereby forever waives any claims of unfair competition that it otherwise might assert, any rights that
otherwise might accrue to it under the above‐ mentioned provisions or under any other similar or comparable
provisions of the law. Having entered into this agreement shall not be the sole reason whereby the CONTRACTOR
shall be inhibited, penalized, or disqualified from submitting proposals for subsequent transportation,
management, and operation programs under the jurisdiction of CITY.
Changes
CITY, without invalidating this agreement may order additions to or deletions from the work to be performed.
Such changes shall be specified to CONTRACTOR in writing. If justified, the "Maximum Obligation" will be adjusted
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accordingly. New provisions must be mutually agreeable to both CITY and CONTRACTOR. A shift of vehicle service
hours between services within the maximum value or an increase or decrease of up to ten percent within the
current span of service would not constitute a change as defined in this agreement, but any such shift or change
shall only occur at the direction of CITY.
Modification of Agreement
This writing constitutes the entire agreement between the parties relative to the subject matter of this
agreement and no modification hereof shall be effective unless and until such modification is evidenced by a
writing signed by both parties to this agreement. There are no understandings, agreements or conditions with
respect to the subject matter of this agreement except those contained in this writing.
Notices
All notices required to be given with respect to this agreement shall be in writing and mailed first class,
postage prepaid to the persons named below or at such addresses as the parties may file with each other
for such purpose.
If to CONTRACTOR
Copy To:
If to CITY: Transit Manager
City of San Luis Obispo, SLO TRANSIT
919 Palm Street
San Luis Obispo, CA 93401
Proprietary Rights
All inventions, improvements, discoveries, proprietary rights, copyrights and patents made by CONTRACTOR
under this agreement shall be made available to CITY with no royalties, charges, or other costs, but shall be
owned by CONTRACTOR. All manuals prepared by CONTRACTOR for use by CONTRACTOR in other locales shall be
made available to CITY at no charge but shall be owned by CONTRACTOR and shall not be disclosed, or released
by CITY without prior written consent of CONTRACTOR. Reports and manuals prepared by CONTRACTOR under
this agreement for specific use in CITY's system shall become the property of CITY. CONTRACTOR, however, shall
have the right to print and issue copies of these reports. CONTRACTOR may make presentations and releases
relating to the project. Papers and other formal publications shall be approved by CITY prior to release.
Force Majeure
CONTRACTOR shall not be held responsible for losses, failure to perform, or excess costs caused by events
beyond the control of CONTRACTOR. Such events may include, but are not restricted to, the following: fire,
epidemics, earthquake, flood, or other natural disaster; acts of the government; riots, strikes, war or other civil
disorders; or fuel shortages. In every case, CONTRACTOR shall resume performance at the earliest possible date
following the cessation of such unforeseen causes or events. CONTRACTOR shall be entitled to no compensation
for any service, the performance of which is excused pursuant to this paragraph.
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Information and Documents
All information, data, reports, records, maps, survey results as are existing, available, and necessary for carrying
out the work under this agreement, shall be furnished to CONTRACTOR without charge by CITY, and CITY shall
cooperate in every way possible in the carrying out of the work without undue delay.
Emergency Procedures
In the event of a major emergency such as an earthquake, flood, or man‐made catastrophe, CONTRACTOR
shall make transportation and communication resources available to the degree possible for emergency
assistance. If the normal line of direct CITY from CITY is intact, CONTRACTOR shall follow instruction of CITY. If
the normal line of direct CITY is broken, and for the period it is broken, CONTRACTOR shall make best use of
transportation resources following to the degree possible the direction of an organization such as the San Luis
Obispo Office of Emergency Services, the police, Red Cross, or National Guard, which appears to have assumed
responsibility within CITY's service area. Emergency uses of transportation may include evacuation, transportation
of injured, and movement of people to food and shelter. CONTRACTOR shall be reimbursed in accordance with
the normal "Price Formula" and "Payment" or, if the normal method does not cover the types of emergency
services involved, then on the basis of fair, equitable and prompt reimbursement of CONTRACTOR'S actual
costs. Reimbursement for such major emergency services shall be over and above the "Maximum Obligation" of
this contract. Immediately when the emergency condition ceases, CONTRACTOR shall reinstate normal
transportation services.
Access to Records and Reports (Audit and Inspection)
a. In accordance with 49 C.F.R. 18.36(i), CONTRACTOR shall permit CITY, the FTA Administrator, the
Comptroller General of the United States, the California State Controller, and the Sacramento
Area Council of Governments or any of their authorized representatives access to any to books,
documents, papers and records of CONTRACTOR which are directly pertinent to this contract for
the purposes of making audits, examinations, excerpts and transcriptions. Further, CONTRACTOR
agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to
copy excerpts and transcriptions as reasonably needed.
b. CONTRACTOR agrees to maintain all books, records, accounts and reports required under this
contract for a period of not less than three years after the date of termination or expiration of
this contract, except in the event of litigation or settlement of claims arising from the
performance of this contract, in which case CONTRACTOR agrees to maintain same until 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).
Transfer of Title to Equipment
All equipment, parts and supplies purchased by CONTRACTOR under this agreement, either as a direct charge
expense or within the defined scope of services, shall become the property of CITY upon either the payment
of the direct charge invoice or the expiration or termination of this agreement for any reason unless otherwise
specified in writing. The applicable depreciation schedule and residual value, if any, of such items shall be
established prior to the execution of this agreement. CONTRACTOR shall maintain a perpetual inventory of all
such equipment and supplies purchased under this and any prior agreement, to be submitted for review on or
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before August 31 of each year. CONTRACTOR shall be responsible for the replacement of any equipment,
parts and supplies purchased or provided, either by CITY or CONTRACTOR, under this agreement that is lost
or unreasonably destroyed while under the control of CONTRACTOR.
Transportation Data Reporting
CONTRACTOR shall report operating and financial data to CITY in accordance with the California Public Utilities
Code, Chapter 4, Section 99243, and California Administrative Code Title 21, Chapter 3, Subchapter 2, as required
under California Transportation Development Act, and with Level "R" of the Uniform Financial Accounting and
Reporting Elements as required by the National Transit Database System and the Federal Transit Act of 1964 as both
are amended from time to time.
Permits and Licenses
At its sole cost and expense, CONTRACTOR shall obtain any and all permits, licenses, certificates, or entitlement
to operate as are now or hereafter required by any agency, specifically including, but not limited to, those
that may be required by the California Public Utilities Commission, the California Highway Patrol, the
Department of Motor Vehicles and local jurisdictions, to enable CONTRACTOR to perform this agreement.
Copies of all such entitlements shall be provided to CITY when received by CONTRACTOR. In the event that
any aspect of this agreement requires prior approval by the PUC, the CONTRACTOR shall submit necessary
application forms. Both parties shall appear as necessary and cooperate in the commission approval process.
CITY reserves the right to oppose, support or be neutral on any such request and on the PUC's ruling thereon.
CONTRACTOR covenants to obtain all such approvals before commencing operations, and to conform to the
PUC ruling thereon, at its sole cost and expense.
Non‐Discrimination in Employment and Service
a. In connection with the execution of this agreement, CONTRACTOR shall not discriminate against any
employee or applicant for employment because of race, religion, color, sex, age or national origin.
CONTRACTOR shall take affirmative action to ensure that applicants are employed, and that employees
are treated during employment without regard to their race, color, religion, sex, age, or national origin
or ancestry. Such action shall include, but not be limited to, the following: employment, upgrading,
demotion or transfer, recruitment or recruitment advertising, layoff or terminations; rates of pay or
other forms of compensation; and, selection for training, including apprenticeship. CONTRACTOR
must submit a properly executed and current Employer Information Report (EEO‐1) upon request of
CITY. CONTRACTOR further agrees to insert a similar provision in all subcontracts, except subcontracts
for standard commercial supplies or raw materials.
b. CONTRACTOR shall also comply with the requirements of Title VI of the Civil Rights Act of 1964 (P.L. 88‐
352) and with all applicable regulations, statutes, laws, etc., promulgated pursuant to the civil rights
acts of the state and federal government now in existence or hereafter enacted. Further,
CONTRACTOR shall also comply with the provisions of Section 1735 of the California Labor Code.
c. CONTRACTOR shall not discriminate, nor allow any of its officers, employees, or agents to
discriminate against any passenger or patron because of race, color, sex, age, or national origin or
ancestry.
d. CONTRACTOR shall promptly notify CITY of any discrimination complaints. CONTRACTOR shall, at its
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sole cost and expense, conform to any final orders issued by any State or Federal agency with
jurisdiction to correct the CONTRACTOR'S discrimination in employment and/or service and shall fully
save harmless and indemnify CITY in this regard.
Labor Provisions
In accordance with 40 U.S.C. 329 and 29 CFR Part 5, CONTRACTOR hereby certifies compliance with the following
provisions related to the employment of mechanics and laborers under the Contract Work Hours and Safety
Standards Act.
a. Overtime Requirements. No contractor or subcontractor contracting for any part of the contract work
which may require or involve the employment of laborers or mechanics shall require or permit any such
laborer or mechanic in any work week in which he or she is employed on such work to work in excess of
eight hours in any calendar day or in excess of forty hours in such work week unless such laborer or
mechanic receives compensation at a rate not less than one and one‐half times the basic rate of pay for all
hours worked in excess of eight hours in any calendar day or in excess of forty hours in such work week.
b. Violation; Liability for Unpaid Wages; Liquidated Damages. In the event of any violation of the clause set
forth in subparagraph (b)(1) of 29 CFR Section 5.5, contractor and any subcontractor responsible therefor
shall be liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the
United States for liquidated damages. Such liquidated damages shall be computed with respect to each
individual laborer or mechanic, including watchmen or guards, employed in violation of the clause set forth
in subparagraph (b)(1) of 29 CFR Section 515 in the sum of $10 for each calendar day on which such
individual was required or permitted to work in excess of eight hours or in excess of the standard work
week of forty hours without payment of the overtime wages required by the clause set forth in
subparagraph (b)(1) of 29 CFR Section 5.5.
c. Withholding for Unpaid Wages and Liquidated Damages. CITY shall upon its own action or upon written
request of authorized representative of the Department of Labor withhold or cause to be withheld, from
any monies payable on account of work performed by the contractor or subcontractor under any such
contract or any other Federal contract with the same prime contractor, or any other federally assisted
contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime
contractor, such sums as may be determined to be necessary to satisfy any liabilities of such contractor or
subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in
subparagraph (b)(2) of 29 CFR Section 5.5.
d. Non‐Construction Grants. Contractor or subcontractor shall maintain payrolls and basic payroll records
during the course of the work and shall preserve them for a period of three years from the completion of
the contract for all laborers and mechanics, including guards and watchmen, of each such employee, social
security number, correct classifications, hourly rates of wages paid, daily and weekly number of hours
worked, deductions made, and actual wages paid. Further, the recipient shall require the contracting
Officer to insert in any such contract a clause providing that the records to be maintained under this
paragraph shall be made available by contractor or subcontractor for inspection, copying, or transcription
by authorized representatives of Department of Transportation (“DOT”) and the Department of Labor and
the Contractor or subcontractor will permit such representatives to interview employees during working
hours on the job.
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e. Subcontracts. Contractor or subcontractor shall insert in any subcontracts the clauses set forth in
subparagraph (a) through (e) of this paragraph and also a clause requiring the subcontractors to include
these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by
any subcontractor or lower tier subcontractor with the clauses set forth in subparagraphs (a) through (e) of
this paragraph.
f. CONTRACTOR and any subcontractor shall comply with 40 U.S.C. 3701.
Transit Employee Protective Agreements
a. General Transit Employee Protective Requirements – To the extent that the Federal Transit
Administration (FTA) determines that transit operations are involved, CONTRACTOR agrees to carry out
the transit operations work on the underlying contract in compliance with terms and conditions
determined by the U.S. Secretary of Labor to be fair and equitable to protect the interests of employees
employed under this contract and to meet the employee protective requirements of 49 U.S.C. A 5333(b),
and U.S. DOL guidelines at 29 C.F.R.‐Part 215, and any amendments thereto. These terms and conditions
are identified in the letter of certification from the U.S. DOL to FTA applicable to the FTA Recipient’s
project from which Federal assistance is provided to support work on the underlying contract.
CONTRACTOR agrees to carry out that work in compliance with the conditions stated in that U.S. DOL
letter. The requirements of this subsection (1), however, do not apply to any contract financed with
Federal assistance provided by FTA either for projects for elderly individuals and individuals with
disabilities authorized by 49 U.S.C. § 5310(a)(2), or for projects for nonurbanized areas authorized by 49
U.S.C. § 5311. Alternative provisions for these projects are set forth in subsections (b) and (c) of this clause.
b. Transit Employee Protective Requirements for Projects Authorized by 49 U.S.C.§ 5310(a)(2) for Elderly
Individuals and Individuals with Disabilities – If the contract involves transit operations financed in whole
or in part with Federal assistance authorized by 49 U.S.C. § 5310(a)(2), and if the U.S. Secretary of
Transportation has determined or determines in the future that the employee protective requirements of
49 U.S.C. § 5333(b) are necessary or appropriate for the state and the public body subrecipient for which
work is performed on the underlying contract, CONTRACTOR agrees to carry out the Project in compliance
with the terms and conditions determined by the U.S. Secretary of Labor to meet the requirements of 49
U.S.C. § 5333(b), U.S. DOL guidelines at 29 C.F.R. Part 215, and any amendments thereto. These terms and
conditions are identified in the U.S. DOL’s letter of certification to FTA, the date of which is set forth Grant
Amendment or Cooperative Agreement with the state. CONTRACTOR agrees to perform transit operations
in connection with the underlying contract in compliance with the conditions stated in that U.S. DOL letter.
c. Transit Employee Protective Requirements for Projects Authorized by 49 U.S.C.§ 5311 in Nonurbanized
Areas – If the contract involves transit operations financed in whole or in part with Federal assistance
authorized by 49 U.S.C. § 5311, CONTRACTOR agrees to comply with the terms and conditions of the
Special Warranty for the Nonurbanized Area Program agreed to by the U.S. Secretaries of Transportation
and Labor, dated May 31, 1979, and the procedures implemented by U.S. DOL or any revision thereto.
d. CONTRACTOR also agrees to include any applicable requirements in each subcontract involving transit
operations financed in whole or part with Federal assistance provided by FTA.
Access Requirements for Persons with Disabilities
CONTRACTOR agrees to comply with all applicable requirements of the Americans with Disabilities Act of 1990
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(ADA), 42 U.S.C. §§ 12101 et seq., Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794; 49
U.S.C. § 5301(d); and all regulations promulgated to implement the ADA and Section 504 of the Rehabilitation
Act of 1973, as amended, as may be applicable to CONTRACTOR.
Civil Rights
During the performance of this contract, CONTRACTOR, for itself, its assignees and successors in interest, agrees
as follows:
a. Nondiscrimination. In accordance with Title VI of the Civil Rights Act, as amended, 42 U.S.C. § 2000d,
section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6102, section 202 of the
Americans with Disabilities Act of 1990, 42 U.S.C. § 12132, and Federal transit law at 49 U.S.C. § 5332,
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, CONTRACTOR agrees to
comply with applicable Federal implementing regulations and other implementing requirements FTA may
issue.
b. Equal Employment Opportunity. The following equal employment opportunity requirements apply to the
underlying contract:
c. 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, CONTRACTOR agrees to comply with all
applicable equal employment opportunity requirements of U.S. Department of Labor (U.S. DOL)
regulations, “Office of Federal Contract Compliance Programs, Equal Employment Opportunity,
Department of Labor,” 41 C.F.R. Parts 60 et seq., (which implement Executive Order No. 11246, “Equal
Employment Opportunity,” as amended by Executive Order No. 11375, “Amending Executive Order 11246
Relating to Equal Employment Opportunity,” 42 U.S.C. § 2000e note), and with any applicable Federal
statutes, executive orders, regulations, and Federal policies that may in the future affect construction
activities undertaken in the course of the Project. 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, CONTRACTOR agrees to comply with any implementing requirements FTA may
issue.
d. Age – In accordance with section 4 of the Age Discrimination in Employment Act of 1967, as amended, 29
U.S.C. § 623 and Federal transit law at 49 U.S.C. § 5332, CONTRACTOR agrees to refrain from
discrimination against present and prospective employees for reason of age. In addition, CONTRACTOR
agrees to comply with any implementing requirements FTA may issue.
e. Disabilities – In accordance with section 102 of the Americans with Disabilities Act, as amended, 42 U.S.C.
§ 12112, CONTRACTOR agrees that it will comply with the requirements of the U.S. Equal Employment
Opportunity Commission, “Regulations to Implement the Equal Employment Provisions of the Americans
with Disabilities Act,” 29 C.F.R. Part 1630, pertaining to employment of persons with disabilities. In
addition, CONTRACTOR agrees to comply with any implementing requirements FTA may issue.
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f. Subcontracts. CONTRACTOR agrees to include these requirements in each subcontract financed in whole
or in part with Federal assistance provided by FTA, modified only if necessary to identify the affected
parties.
g. Employer Information Report. CONTRACTOR must submit a properly executed and current Employer
Information Report (EEO‐1) upon request of CITY
Disadvantaged Business Enterprise
e. It is the policy of the U.S. Department of Transportation that Disadvantaged Business Enterprises (DBE)
as defined in 49 CFR Part 26, shall have the maximum opportunity to participate in the performance of
contracts financed in whole or in part with federal funds under this agreement. Consequently, the
DBE requirements of 49 CFR Part 26 applies to this agreement.
f. CONTRACTOR agrees to ensure that Disadvantaged Business Enterprises (DBE) as defined in 49 CFR Part
26 have the maximum opportunity to participate in the performance of contracts and subcontracts
financed in whole or in part with federal funds provided under this agreement. In this regard,
CONTRACTOR and subcontractors shall take all necessary and reasonable steps in accordance with 49
CFR Part 26 to ensure that Disadvantaged Business Enterprises have the maximum opportunity to
compete for and perform contracts. CONTRACTOR and its subcontractors shall not discriminate on the
basis of race, creed, national origin, age or sex in the award and performance of federal‐assisted
contracts.
g. CONTRACTOR shall cooperate fully with CITY in meeting any of CITY's commitments and goals with
regard to the maximum utilization of disadvantaged business enterprises. CONTRACTOR shall keep
records of DBE participation in all activities carried out pursuant to this agreement, and shall report
to CITY all such participation and efforts made to encourage DBE participation as required by CITY.
See Appendix H – DBE Goal for the current established goal.
h. CONTRACTOR shall incorporate the provisions of this paragraph in all applicable subcontracts.
Drug and Alcohol Testing
CONTRACTOR agrees to establish and implement a drug and alcohol testing program that complies with 49 CFR
Part 655, produce any documentation necessary to establish its compliance with Part 655, and permit any
authorized representative of the United States Department of Transportation or its operating
administrations, the State Oversight Agency of California, or CITY, to inspect the facilities and records
associated with the implementation of the drug and alcohol testing program as required under 49 CFR Part
655 and review the testing process. CONTRACTOR agrees further to certify annually its compliance with Part
655 and to submit the Management Information System (MIS) reports by March 1 of each year to CITY. To
certify compliance, CONTRACTOR shall use the “Substance Abuse Certifications” in the “Annual List of
Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements,” which is
published annually in the Federal Register.
Charter Service Operations
The CONTRACTOR agrees to comply with 49 U.S.C. 5323(d) and 49 CFR Part 604, and any amendments thereto
that may be issued, which provides that recipients and subrecipients of FTA assistance are prohibited from
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providing charter service using federally funded equipment or facilities if there is at least one private charter
operator willing and able to provide the service, except under one of the exceptions at 49 CFR 604.9. Any
charter service provided under one of the exceptions must be "incidental," i.e., it must not interfere with or
detract from the provision of mass transportation.
School Bus Operations
CONTRACTOR agrees that neither it nor any subcontractor performing work in connection with this
agreement will engage in school bus operations for the transportation of students or school
personnel exclusively in competition with private school bus operators, except as permitted by 49 U.S.C.
§ 5323(f) and FTA regulations , “School Bus Operations,” 49 C.F.R. Part 605, and any amendments
thereto that may be issued. Any applicable school bus agreement required by these regulations is
incorporated by reference and made part of this agreement.
Miscellaneous Provisions
a. Energy Conservation. 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.
b. Interest of Members of or Delegates to Congress. In accordance with 18 USC, Section 431, no member
of, or delegate to, the Congress of the United States shall be admitted to any share or part of this
agreement or to any benefit arising therefrom.
c. Conflict of Interest. No employee, officer, director or agent of CITY shall participate in the selection,
award or administration of this agreement if a conflict of interest, real or apparent, would be
involved. Such a conflict would arise when the employee, officer or agent, or any member of his
immediate family, or an organization which employs, or is about to employ same, has a financial or
other interest in the firm selected for award. No employee, officer, or agent of CITY shall have any
interest, direct or indirect, in this contract or the proceeds thereof during his tenure or for one year
thereafter.
d. Clean Water Act. CONTRACTOR agrees to comply with all applicable standards, orders or regulations
issues pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et seq.
CONTRACTOR agrees to report each violation to CITY and understands and agrees that CITY will, in
turn, report each violation as required to assure notification to FTA and the appropriate EPA Regional
Office. CONTRACTOR also agrees to include these requirements in each subcontract exceeding
$100,000 financed in whole or in part with Federal assistance provided by FTA.
e. Clean Air Act. 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. CONTRACTOR agrees to
report each violation to CITY and understands and agrees that CITY will, in turn, report each violation
as required to assure notification to FTA and the appropriate EPA Regional Office. CONTRACTOR
also agrees to include this requirement in each subcontract exceeding $100,000 financed in whole or in
part with Federal assistance provided by FTA.
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f. Debarred Bidders. This agreement is a covered transaction for purposes of 49 CFR Part 29. As such,
CONTRACTOR has verified by signed certification that none of its principals, as defined at 49 CRR
29.995, or affiliates, as defined by 49 CFR 29.905, are excluded or disqualified at 49 CFR 29.940
and 29.945. CONTRACTOR is required to comply with 49 CFR 29, Subpart C and must include the
requirement to comply with 49CFR 29, Subpart C in any lower tier covered transaction it enters into.
g. Conflict of Transportation Interests. The CONTRACTOR shall not divert any revenues, passengers,
or other business from CITY's project to any taxi or other transportation operation of CONTRACTOR
without the written approval of CITY.
h. Conflicting Use. The CONTRACTOR shall not use any vehicle, equipment, personnel or other facilities
which are dedicated to CITY for performing services under this agreement for any use whatsoever
other than provided for in this agreement without the prior approval of CITY.
i. Fair Employment and Housing Act. CONTRACTOR shall comply with the requirements of the California
Fair Employment and Housing Act,
j. Working Conditions. It shall be a condition of this agreement, and shall be made a condition of each
subcontract entered into pursuant to this agreement, that the CONTRACTOR or the subcontractor shall
not require any laborer or mechanic employed in connection with the performance of this agreement to
work under working conditions which are unsanitary, hazardous or dangerous to his health or safety,
as determined under the California Occupational Safety and Health Act of 1973 (Chapter 993, Statutes of
1973).
k. Federal Changes. CONTRACTOR shall at all times comply with all applicable FTA regulations, policies,
procedures and directives, including without limitation those listed directly or by reference in the
Master Agreement between CITY and FTA, as they may be amended or promulgated from time to time
during the term of this contract. CONTRACTOR’S failure to so comply shall constitute a material
breach of this contract.
l. No Obligation by the Federal Government.
1. CITY and CONTRACTOR acknowledge and agree that, notwithstanding any concurrence by the
Federal Government in or approval of the solicitation or award of the underlying contract, absent
the express written consent by the Federal Government, the Federal Government is not a party to
this contract and shall not be subject to any obligations or liabilities to CITY, CONTRACTOR, or any
other party (whether or not a party to that contract) pertaining to any matter resulting from the
underlying contract.
2. CONTRACTOR agrees to include the above clause in each subcontract financed in whole 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.
m. Fly America Requirements. CONTRACTOR agrees to comply with 49 U.S.C. 40118 (the “Fly America” Act)
in accordance with the General Services Administration’s regulations at 41 CFR Part 301‐10, which
provide that recipients and subrecipients of Federal funds and their contractors are required to use
U.S. Flag air carriers for U.S. Government‐financed international air travel and transportation of their
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personal effects or property, to the extent such service is available, unless travel by foreign air carrier
is a matter of necessity, as defined by the Fly America Act. The Contractor shall submit, if a foreign air
carrier was used, an appropriate certification or memorandum adequately explaining why service by
a U.S. flag air carrier was not available or why it was necessary to use a foreign air carrier and shall,
in any event, provide a certificate of compliance with the Fly America requirements. The Contractor
agrees to include the requirements of this section in all subcontracts that may involve international air
transportation.
n. Recycled Products. CONTRACTOR agrees to comply with all of the requirements of Section 6002
of the Resource Conservation and Recovery Act (RCRA), as amended (42 U.S.C. 6962), including but
not limited to the regulatory provisions of 40 CFR Part 247, and Executive Order 12873, as they apply
to the procurement of the items designated in Subpart B of 40 CFR Part 247. CONTRACTOR agrees to
include these requirements in every subcontract.
o. Taxes/Licenses. CONTRACTOR shall be responsible for paying any and all Federal, State, and Local
taxes. CONTRACTOR shall also be responsible for securing and paying for any and all business
licenses and taxes that may be required for the operation of services within the scope of this
agreement.
p. Failure to Act. No action or failure to act by either party shall be a waiver of a right or duty afforded
under this agreement, nor shall such action or failure to act constitute a breach of this agreement,
except as specifically agreed to in writing.
q. Conflict of Interests. CONTRACTOR shall not divert any revenues, passengers, or other business from
CITY to any taxi or other transportation operation.
r. Waiver and Non‐Waiver. A waiver by one party of a right to a remedy for breach of this contract
by the other party shall not be deemed to waive the right to a remedy for a subsequent breach by the
other party. Both parties, having had the opportunity to consult an attorney regarding the provisions
of this agreement, agree to waive the principle of contract interpretation that an ambiguity will be
construed against the party that drafted the ambiguous provision.
s. Time is of the Essence. Time is of the essence in this agreement. CONTRACTOR’S failure to deliver
goods/services on time shall be a material breach of this contract. If CONTRACTOR fails to deliver
goods/services on time, CITY, at its discretion, may procure those goods/services from another
source. If the price paid by CITY for goods/services procured from another source under this paragraph
is higher than the price under this agreement, CONTRACTOR shall pay CITY the difference between
those prices. CITY may deduct that difference from any amount CITY owes CONTRACTOR.
t. Intelligent Transportation System (ITS). For all ITS property and services, the Contractor agrees to
comply with all applicable standards, orders or regulations issued pursuant to the National ITS
Architecture and Standards to the extent required by 23 U.S.C. Section 517(d) and 23 CFR part 655 and
940.
Lobbying
CONTRACTOR shall comply with 31 U.S.C. 1352, which provides in part that no appropriated funds
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may be expended by the recipient of a Federal contract, grant, loan, or cooperative agreement to pay
any person for influencing or attempting to influence an officer or employee of any agency, a Member of
Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection
with any of the following covered Federal actions: the awarding of any Federal contract, the making
of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant,
loan, or cooperative agreement. CONTRACTORS who apply or bid for an award of $100,000 or more
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 recipient.”
Compliance with Federal, State, and Local Laws
CONTRACTOR warrants and covenants that it shall fully and completely comply with all applicable Federal,
State, and Local laws and ordinances, and all lawful orders, rules and regulations issued by any CITY
with jurisdiction in all aspects of its performance of this agreement. CONTRACTOR shall hold CITY
harmless from any claims or charges by reason of the CONTRACTOR's or any subcontractor's failure to
comply with the applicable laws or any regulations adopted pursuant thereto and shall reimburse CITY
for any fines, damages or expenses of any kind incurred by it by reason of said failure. This paragraph
shall survive the termination of this agreement or any extensions thereof.
Program Fraud and False or Fraudulent Statements Or Related Acts
a. CONTRACTOR acknowledges that the provisions of the Program Fraud Civic Remedies Act of 1986, as
amended, 31 U.S.C. §§ 3801 et seq. and U.S. DOT regulations, “Program Fraud Civil Remedies”, 49
C.F.R. Part 31, apply to its actions pertaining to this agreement. Upon execution of the underlying
contract, 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, 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
CONTRACTOR to the extent the Federal Government deems appropriate.
b. 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 CITY 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)(l) on CONTRACTOR, to the extent the Federal
Government deems appropriate.
c. CONTRACTOR agrees to include the above two clauses in each subcontract financed in whole or in part
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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.
Incorporation of Federal Transit Administration (FTA) Terms
The preceding provisions include, in part, certain Standard Terms and Conditions required by DOT, whether or
not expressly set forth in the preceding contract provisions. All contractual provisions required by DOT, as set
forth in FTA Circular 4220.1E 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 Agreement. CONTRACTOR shall not perform any act, fail to perform any act, or
refuse to comply with any CITY requests, which would cause CITY to be in violation of the FTA terms and
conditions.
Privacy Act
The following requirements apply to the CONTRACTOR and its employees that administer any system of records on
behalf of the Federal Government under any contract involving Federal Privacy Act requirements. CONTRACTOR
agrees to comply with, and assures the compliance of its employees with, the information restrictions and other
applicable requirements of the Privacy Act of 1974, 5 U.S.C. § 552a. Among other things, CONTRACTOR agrees to
obtain the express consent of the Federal Government before the CONTRACTOR or its employees operate a system
of records on behalf of the Federal Government. CONTRACTOR understands that the requirements of the Privacy Act,
including the civil and criminal penalties for violation of that Act, apply to those individuals involved, and that failure
to comply with the terms of the Privacy Act may result in termination of the underlying contract. CONTRACTOR also
agrees to include these requirements in each subcontract to administer any system of records on behalf of the
Federal Government financed in whole or in part with Federal assistance provided by FTA.
Independent Contractor
a. Neither of the parties hereunder shall be deemed to be the agent, employee, partner, or joint venture
of the other. CONTRACTOR is and should be an independent contractor performing services under this
agreement for the consideration herein set forth.
b. CONTRACTOR'S employees shall at all times be and remain the sole employees of CONTRACTOR, and
CONTRACTOR shall be solely responsible for payment of all employees' wages and benefits.
CONTRACTOR, without any cost or expenses to CITY, shall faithfully comply with the requirements of
all applicable State and Federal enactments with respect to employer's liability, worker's
compensation, unemployment insurance and other forms of Social Security, and also with respect
to withholding of income tax at its source from wages of said employee and shall indemnify and hold
harmless CITY from and against any and all liability, damages, claims, costs and expenses of whatever
nature arising from alleged violation of such enactments or from any claims of subrogation provided
for in such enactment or otherwise.
c. This agreement does not constitute a contract of employment between CITY and CONTRACTOR or any
agents, officers or employees of CONTRACTOR. After the expiration or termination of this agreement,
CONTRACTOR'S successor shall be permitted to hire any CONTRACTOR employees previously employed
on this program. At that time, in hiring a CONTRACTOR employee or a former CONTRACTOR
employee, CITY shall ensure and require that such employment process fairly treat former CONTRACTOR
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employees as members of the general public with no discrimination, no waiver of job advertising, no
consideration of employee's seniority with CONTRACTOR and no other privilege different from that
accorded to members of the general public.
Transition to Future Operator
Up to and for a minimum of thirty (30) days following the effective date of termination or expiration of this
agreement, CONTRACTOR shall provide to either CITY or any future operator selected by CITY,
CONTRACTOR'S full cooperation in the transition to the successor operator. This shall include, at a
minimum, consultation regarding labor and management issues (including a delineation of wages and
benefits by employee category), access to non‐confidential personnel files and maintenance records.
CONTRACTOR shall provide its best professional effort to assure a smooth transition from CONTRACTOR'S
services to those provided by the new operator and shall cooperate fully with CITY and the new operator to this
end.
Severability
If any provision of this agreement is held invalid or unconstitutional by any court of competent
jurisdiction, such decision shall have no effect on the validity of the remaining provisions of this agreement
and such remaining provisions shall continue to remain in full force and effect.
Precedence of Contract Documents
The total agreement between the parties consists of the documents specified in this paragraph. In the event of
a conflict or ambiguity arising between said documents, or any term or condition therein, the document having
precedence shall be determined as follows:
a. Any supplemental agreements executed after the date of this agreement.
b. This agreement and attachments thereto, including Exhibit A (Scope of Work).
c. Exhibits B (RFP) and C (CONTRACTOR’S proposal including any “Best & Final Offer”) to this agreement.
Additional Terms
In the case of dispute the prevailing party in any action between the parties to this agreement, brought to
enforce the terms of this agreement, may recover from the other party its reasonable costs and attorneys’ fees
in connection with such an action.
The validity in whole or in part of any provision of this agreement shall not affect the validity of other provisions.
CITY's failure to insist in any one or more instances upon the performance of any term or terms of this agreement
shall not be construed as a waiver or relinquishment of CITY's right to such performance or to future
performance of such a term or terms, and CONTRACTOR'S obligations in respect thereto shall continue in full
force and effect. Time shall be of the essence. Changes hereto shall not be binding upon CITY except when
specifically confirmed in writing by CITY.
IN WITNESS WHEREOF, the parties hereto have caused this agreement to be executed by and through their
respective officers thereunto duly authorized on the date written below their signatures.
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CITY [CONTACTOR]
By: By:
Title: Title:
Attest:
By: By:
Title: Title:
Approved as to Form:
By:
Title:
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Part Three: Scope of Work
(AKA Exhibit A)
SLO TRANSIT, City of San Luis Obispo
PART THREE: SCOPE OF WORK ..................................................................................................................... 34
1. GENERAL INFORMATION .................................................................................................................................... 36
2. ROLE OF THE CITY .............................................................................................................................................. 36
A. Contract Administration ................................................................................................................................................ 36
B. Policies & Procedures .................................................................................................................................................... 36
C. Point of Contact ............................................................................................................................................................ 36
D. Routes & Schedules ....................................................................................................................................................... 36
E. Funding Management ................................................................................................................................................... 37
F. Vehicles, Equipment & Facilities ................................................................................................................................... 37
G. Marketing, Advertising & Public Communications ........................................................................................................ 38
H. Schedules, Passes, Tickets, Transfers and Service Brochures ........................................................................................ 38
I. Monitoring and Auditing ............................................................................................................................................... 38
J. Purchase of Fuel ............................................................................................................................................................ 38
K. Compensation ............................................................................................................................................................... 39
L. Federal Clauses .............................................................................................................................................................. 39
3. ROLE OF THE CONTRACTOR ................................................................................................................................ 40
A. Policies & Procedures .................................................................................................................................................... 40
B. Operations: Routes & Schedules ................................................................................................................................... 40
C. Funding Management ................................................................................................................................................... 40
D. Maintenance & Cleaning: Vehicles, Equipment, Facilities and Street Furnishings ...................................................... 41
E. Facility Maintenance Program ...................................................................................................................................... 42
F. Marketing ...................................................................................................................................................................... 43
G. Point(s) of Contact ......................................................................................................................................................... 43
H. Staffing .......................................................................................................................................................................... 43
I. Failing to Employ Required Management ‐ Penalty ...................................................................................................... 45
J. Other Positions .............................................................................................................................................................. 45
K. Union Relations ............................................................................................................................................................. 47
L. Drug Testing .................................................................................................................................................................. 47
M. Customer Service .......................................................................................................................................................... 48
N. Training.......................................................................................................................................................................... 48
O. Training Equipment ....................................................................................................................................................... 48
P. Uniforms ........................................................................................................................................................................ 48
Q. Time Keeping ................................................................................................................................................................. 49
R. System Safety ................................................................................................................................................................ 49
S. Insurance ....................................................................................................................................................................... 49
T. Preventive Maintenance and Inspection ...................................................................................................................... 49
U. Vehicle Repair ............................................................................................................................................................... 50
V. Overhaul and Replacement (Major Components) ........................................................................................................ 50
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W. Maintenance Records .................................................................................................................................................... 51
X. Parts Inventory .............................................................................................................................................................. 51
Y. Farebox Revenue Collection and Accounting ................................................................................................................ 51
Z. Operational Contingencies ............................................................................................................................................ 52
AA. Declared Emergencies ................................................................................................................................................... 52
BB. Disadvantaged Business Enterprises Goal ..................................................................................................................... 52
CC. Reporting ....................................................................................................................................................................... 52
DD. Financial Records ........................................................................................................................................................... 52
EE. Operating Reports ......................................................................................................................................................... 53
FF. Accident and Incident Reporting ................................................................................................................................... 53
GG. Compensation ............................................................................................................................................................... 54
HH. Surveys .......................................................................................................................................................................... 54
II. Penalties & Incentives (Liquidated Damages) ............................................................................................................... 54
JJ. Environmentally Friendly / Recycling Program ............................................................................................................. 55
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Part Three: Scope of Work
(AKA Exhibit A)
SLO TRANSIT, City of San Luis Obispo
1. GENERAL INFORMATION
This Scope‐of‐Work contains technical specifications concerning work to be performed by the independent
CONTRACTOR upon entering into a written agreement with the CITY. Proposing Contractors are instructed to
review the requirements outlined herein, and to prepare proposals which respond, as indicated in the Request
for Proposals, referencing the Scope‐of‐Work as appropriate.
This section describes the role of both the CITY and the CONTRACTOR, how they interrelate in this contract.
This section also defines the expectations for the CONTRACTOR in the area of transit operation, maintenance
and other performance requirements along with the penalties and incentives for not meeting such criteria.
ROLE OF THE CITY
The CITY is responsible for the general administration of the public transit system as it is developed to meet the
community needs and which demonstrate a stewardship of limited public resources, as outlined herein.
A. Contract Administration
The CITY is responsible for the administration of this contract, establishing clarifications, amendments and
addendums as well as issuing penalties (liquidated damages) and incentives as established per the contract.
Appendix G – Penalties & Incentives for a list of Penalties (Liquidated Damages) and Incentives.
B. Policies & Procedures
The CITY will establish policies, procedures and ordinances which do not conflict with Federal, State, Local laws
and statues, nor the CONTRACTOR’s documented safety practices.
C. Point of Contact
The CITY will provide a Transit Manager, or their designee, as the primary point of contact for issues related to
administering the public transit system and its related contract. Unless otherwise noted, the option of a Transit
Manager’s Designee is synonymous with use of “Transit Manager.”
D. Routes & Schedules
CITY shall be responsible for all planning and scheduling activities relative to routes, public schedules, service areas,
days and hours of operations, bus stop locations, location of street furnishings, preparation of planning
documents and other such activities relative to overall system administration. The CONTRACTOR will provide
assistance, as requested by the City, in the development of these. Additionally, at times, the CITY may need to
develop new routes and schedules or make adjustments to existing service to reflect new developments,
changing road conditions, for improved operational functionality, to meet changing rider needs and/or reflective
of budget changes. The CITY will inform the CONTRACTOR of these changes in advance.
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Short Range Transit Plan
As required, the City from time to time conducts a comprehensive analysis of its public transit system
known as a Short Range Transit Plan (SRTP). These plans usually recommend significant operational
changes. The current SRTP update is underway and is scheduled for adoption in spring of 2016. The
contractor will cooperate with CITY in implementation of these changes. In addition, the SRTP is
updated approximately every five (5) years and will be updated at least once during the upcoming
Contract period, if all extensions are executed.
Significant Service Changes
If service changes result in a greater than or equal to 15% change (up or down) in service hours, this
shall be cause for the CITY and the CONTRACTOR to renegotiation of the contract, if necessary.
E. Funding Management
The CITY is responsible for the funding associated with administering the public transit system and the reporting
to vested local, regional, state and federal agencies. The City will be responsible for budgets, grant applications
and accounting. However, the CITY will rely on the CONTRACTOR to provide support data associated with such
reporting and fund management.
F. Vehicles, Equipment & Facilities
The CITY shall provide fixed‐route vehicles (buses), and at its discretion, ancillary support vehicles. The CITY will
also provide system support equipment, such as: fare boxes, communication radios, an AVL system, computer
server, vehicle cameras, router/modems, limited computers, facility access control system, etc. As well, the CITY
will provide an Operation and Maintenance facility, public Transit Center, street furnishings (e.g. bus stops) and
some equipment (e.g. vehicle lifts) which the CITY has deemed prudent to provide. The provision for equipment
does not include mechanic tools which the CONTRACTOR is responsible for providing either directly or by
making employees provide on their own.
The CITY retains the right to perform spot‐checks on any of these without prior notice. The CITY must be
provided access to the facilities and vehicles 24 hours a day, 365 days a year. The CITY retains the right to
acquire additional, replace existing, substitute existing or retire existing vehicles/equipment entirely without
replacement; according its own external and internal regulations, budgets or as it deems necessary.
Vehicles
The CITY currently provides a fleet of twenty (20) vehicles. These include seventeen (17) diesel fixed‐
route buses ranging from 30‐40’ in length, one (1) diesel 30’ Trolley, one (1) 28’ gasoline cut‐away
vehicle, one (1) accessible minivan and one (1) shop truck with utility bed. The CONTRACTOR shall be
responsible for the upkeep of all vehicles to the satisfaction of the Transit Manager. For a complete list
of currently available fixed‐route and ancillary support vehicles please refer to Appendix B. These
vehicles will be leased out to the CONTRACTOR in the amount of $1 per vehicle per year and to be paid
prior to the start of every fiscal year (July 1st).
Equipment
Where it has been deemed prudent, the CITY has provided some equipment, such as vehicle lifts,
generator and a forklift. The CONTRACTOR shall assume all liability for said equipment and responsibility
upon the date of Contract agreement. There is no cost associated with the use of CITY owned
equipment but the CONTRACTOR is responsible for their regular maintenance upkeep and other needs
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to keep equipment in service. In addition, the CONTRACTOR is responsible for replacement if damaged
beyond repair at the determination of the Transit manager. For a complete list of CITY provided
equipment please refer to Appendix D – City Provided Equipment
Facilities
The City provides a public Transit Center, located adjacent to City Hall at 990 Palm Street and a Bus
Maintenance and Operations Center located at 29 Prado Road. The CONTRACTOR shall be responsible
for the upkeep of the Operations and Maintenance facility and of any spills that occur at the public
Transit Center to the satisfaction of the Transit Manager. For a complete list and description of available
transit facilities please refer to Appendix E. These facilities will be leased out to the CONTRACTOR in the
amount of $1 per year and to be paid prior to the start of every fiscal year (July 1st).
Street Furnishings
SLO TRANSIT, or its designee, shall purchase, install, maintain and replace all street furnishings provided
for the benefit of the public using the SLO TRANSIT system. Such furnishings shall include, but not be
limited to, bus stop signs, posts, schedule holders, benches and shelters. Some upkeep is expected from
the CONTRACTOR, as designated by the Transit Manager.
G. Marketing, Advertising & Public Communications
The CITY shall prepare, place, schedule and pay for all advertising and promotional materials designed to
inform the public of SLO TRANSIT service updates and to promote ridership increase. Specifically, the City is
responsible for the development of advertisement, marketing, promotional materials/events, design/production
of collateral service materials, management of social media, as well as the development of press releases and
public communication which convey pertinent information to the public. However the CITY may rely on the
CONTRACTOR to support such communication efforts with their staff’s participation and compliance with
established marketing programs.
H. Schedules, Passes, Tickets, Transfers and Service Brochures
CITY shall prepare, print and provide all required schedules, passes, tickets, transfers, service brochures and
like materials. CONTRACTOR shall distribute and disseminate such materials as appropriate in accordance with
the provisions of this agreement and any directions supplemental thereto as provided by SLO TRANSIT.
I. Monitoring and Auditing
The CITY shall have the right to have authorized personnel to board, at no cost to CITY, all buses utilized by
CONTRACTOR in the performance of service for the purpose of monitoring service. In addition, the CITY
reserves the right to monitor services in person or by making use of video surveillance and by audit all records
in connection with providing the public transit service, using hired personnel, without prior notification to the
CONTRACTOR.
J. Purchase of Fuel
The CITY shall review and approve the bid process the CONTRACTOR has used to identify an appropriate fueling
location on a quarterly basis. CONTRACTOR shall provide measures to ensure fuel usage is only for use related
to providing the public transit system and not for personal use.
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K. Compensation
The CITY shall compensate the CONTRACTOR for work performed that is in conformity with this contract no later
than 30 days after monthly invoices which are due on the 10th calendar day following the month in closing are
deemed complete, unless expenses are being challenged by the CITY. The CITY holds the right to challenge
expenses that appear to be outside the scope of work, are in excess or dispute, or have not been legitimized by
the monthly invoice submittal.
L. Federal Clauses
As recipient of Federal funds, the CITY abides by all applicable Federal Clauses the Master Agreement and all
pertinent Circulars related to Transit operations and by extension, so will the CONTRACTOR. See Appendix F –
Federal Clauses for a complete list of Federal Clauses.
For Federal Transit Administration Agreements authorized by
49 U.S.C. chapter 53, as amended, Title 23, United States Code (Highways),
the Moving Ahead for Progress in the 21st Century Act (MAP‐21),
the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA‐LU),
as amended by the SAFETEA‐LU Technical Corrections Act of 2008, or other Federal laws that FTA
administers.
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ROLE OF THE CONTRACTOR
The CONTRACTOR is responsible for abiding by the CITY’s criteria for operations of the public transit system as
established herein this document.
A. Policies & Procedures
The CONTRACTOR shall abide by CITY established policy, procedures and ordinances that do not contradict
Federal, State, and Local laws and statutes. The CONTRACTOR shall abide by CONTRACTOR’s documented safety
practices and procedures as approved by the City, and ensure that all their employees are made aware of these
and that corrective action(s) is taken if/when they are not in compliance. The CONTRACTOR may establish its
own additional internal policies and procedures to ensure a safe and efficient operation and as additional
stewards of the public transit system.
B. Operations: Routes & Schedules
Abide by established Routes & Schedules, as set by the CITY, as well as provide feedback before, during and post
implementation in order to achieve a workable transit model which best meets community needs and yet
reflects the transit system’s reasonable capabilities. See Appendix A – Route Schedule & Stats for a complete
description of Routes & Schedules
Service Change Assistance
At times, routes and schedules may need to be adjusted to reflect CITY growth, road conditions,
operational functionality, changing rider needs or changes to the transit budget. The CITY will make
every effort to inform the CONTRACTOR of these changes. CONTRACTOR will provide personnel to
assist in service change activities including, but not limited to, the following: new bus stop evaluations,
identifying bus stop location changes, runtime evaluation, bus stop schedule information changes,
painting red curb, rider alerts, passenger notifications, schedule deliveries, and other field work
assistance necessary to implement route/schedule changes.
Short Range Transit Plan
As required, the City from time to time conducts a comprehensive analysis of its public transit system
known as a Short Range Transit Plan (SRTP). These plans usually recommend significant operational
changes. The current SRTP update is underway and is scheduled for adoption in spring of 2016. The
CONTRACTOR will cooperate with CITY in implementation of these changes. In addition, the SRTP is
updated approximately every five (5) years and will be updated at least once during the upcoming
Contract period.
Significant Service Changes
If service changes result in a greater than or equal to 15% change (up or down) in service hours, this
shall be cause for the CITY and the CONTRACTOR to request of renegotiation the contract, if necessary.
C. Funding Management
The CITY is responsible for the funding associated with administering the public transit system; however the
CONTRACTOR is required to keep detailed records of expenditures and revenues (such as farebox) that assist in
the development of budgets and vested organization reporting. The CITY retains ownership of such data and
records. The CONTRACTOR shall adopt and practice methods of operation that demonstrate a good stewardship
of limited public funds.
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D. Maintenance & Cleaning: Vehicles, Equipment, Facilities and Street Furnishings
The CONTRACTOR shall be responsible for the maintenance of CITY provided vehicles, equipment and facilities,
as established by manufacturer’s manuals. A penalty may be assessed if it is deemed that the CONTRACTOR
failed to do so, and as such, is responsible for the premature ruin of a vehicle, equipment and or facility. The
penalty will reflect the cost to replace or fix the damaged asset that has occurred, as determined by the Transit
Manager.
Facility – Interior Cleaning
CONTRACTOR shall be solely responsible for janitorial services to the building and grounds of the
Operations & Maintenance Facility, either directly or by subcontracting. Facility cleaning will be done on
a weekly basis and include, but not be limited to the activities of: vacuuming, mopping, dusting, window
cleaning, emptying the trash, spot cleaning and restroom cleaning. Failure to provide adequate
cleanliness is subject to Liquidated Damages, as described in Appendix G, subject to the Transit
Manager’s discretion. If major repairs are required, CONTRACTOR shall notify the Transit Manager in
writing.
Facility – Exterior Cleaning
CONTRACTOR shall be solely responsible for cleaning and landscaping of the exterior of the Operations
& Maintenance Facility. Exterior facility cleaning will be done on a twice monthly basis and shall
include, but not be limited to: organizing, sweeping, weeding, pruning and picking up the trash around
the exterior of the entire facility, either by performing the tasks directly or by subcontracting. Spills
must be addressed immediately. Failure to provide adequate cleanliness is subject to Liquidated
Damages, as described in Appendix G, subject to the Transit Manager’s discretion. If major repairs are
required, CONTRACTOR shall notify the Transit Manager in writing.
Vehicles ‐ Interior Cleaning
The interior of all vehicles shall be kept free of litter and debris to the maximum practicable extent
throughout the operating day. Vehicles shall be swept, mopped, dusted and wiped daily. During the
daily interior cleaning process, all foreign matter such as gum, grease, dirt and graffiti shall be removed
from interior surfaces, including interior panels, windows, seats and upholstery.
All graffiti and dirt adhered to the seats, interior panels and windows must be removed within 24 hours.
Any damage to seat upholstery shall be repaired within twenty‐four (24) hours upon discovery. The
interiors of all vehicles shall be thoroughly cleaned at least twice per week, including all windows, seats,
floor, stanchions and grab rails. Ceilings and walls shall be thoroughly cleaned at least once per month,
or more often as necessary. Floors shall be waxed with a non‐slip wax at least once per month, or more
often as necessary. The interior glass for the destination sign shall be cleaned as necessary to maintain a
clean appearance and maximize visibility.
Vehicles ‐ Exterior Cleaning
CONTRACTOR shall remove all graffiti, dirt and/or other marks on the vehicle exterior within twenty‐
four (24) hours of discovery. Exteriors of all vehicles shall be washed as required to maintain a clean,
inviting appearance and in no event less than once per week unless otherwise indicated by the Transit
Manager, as in the case of drought conditions. Exterior washing shall include the vehicle body, all
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windows and wheels. Rubber or vinyl exterior components such as tires, bumper fascia, fender skirts
and door edge guards shall be cleaned and treated with a preservative at least once per month, or as
necessary to maintain an attractive appearance.
CONTRACTOR shall maintain an up‐to‐date record of all washings and cleanings. Said record shall be
made available to Transit Manager upon request. A vehicle may be removed from service by the Transit
Manager for unacceptable appearance, and CONTRACTOR shall be subject to penalties.
CONTRACTOR shall be subject to random spot checks where a CITY staff member checks a sample of
vehicles. CITY reserves the right to pull vehicles out of service if they do not meet the standards set
forth in this contract. This check will look for cleanliness problems, graffiti, W/C lift operation, seat
conditions, mechanical operations, mechanical conditions, and any other critical items CITY deems
important.
Hand Sanitizers
Where found on vehicles, hand sanitizer dispensers are made available for the benefit of the public.
The CONTRACTOR will maintain these in working order and assure that they are refilled as needed, but
may charge back to the CITY, at‐cost, the expense of refilling them by itemizing this cost in the monthly
invoice and by providing back‐up as proof of purchase.
Street Furnishings
SLO TRANSIT, or its designee, shall purchase, install, maintain and replace all street furnishings provided
for the benefit of the public using the SLO TRANSIT system. Some upkeep is expected from the
CONTRACTOR, as designated by the Transit Manager. This may require weed abatement, applying
safety tape to indicate its unavailability and debris/part recovery (e.g. broken glass and collecting
broken pieces)
The CONTRACTOR shall make an attempt to use sanitation/germ killing cleaning products but consideration
should also be given to environmentally friendly cleaning products. These products are subject to approval by
the Transit Manager.
Provided vehicles, equipment and facilities are only for the public transit system purpose. Vehicles, equipment
and facilities cannot be used for any other purposes without explicit consent from the Transit Manager.
E. Facility Maintenance Program
The CONTRACTOR shall create and submit for approval, by the Transit Manager, a Facility Maintenance Program
specifying a designation of work, the method, degree and frequency of work of its Facility Maintenance Program
to satisfy requirements of in Section D. At a minimum the facility must be maintained, secured, safely operated
and accessible. Failure to comply with the approved Preventative Maintenance Program is subject to Liquidated
Damages as described in Appendix G – Penalties & Incentives.
Spill Containment Plan & Clean Up
In addition to regular preventative maintenance and upkeep, the Contractor shall develop a Spill
Containment plan. This plan will address, to the satisfaction of the Transit Manager, how spills of
vehicles fluids will be mitigated, managed and addressed. The Contractor shall also have spill
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containment kit(s) with proper personal protective equipment, clean‐up equipment and materials to
address such spills should they occur. The Transit Manager is to be notified of all spills within 24 hours
of the event. Since incidental vehicle fluid leakage is typical in any transit operation, the Contractor shall
also once a year have bus bays at the Transit Center and Bus Yard steam cleaned to reduce the risk of
run‐off.
F. Marketing
The CONTRACTOR is responsible for abiding by and supporting CITY established advertising/marketing efforts.
This may include, but is not limited to: stocking of brochures, maps, guides, flyers, on‐vehicle ad placement and
removal (i.e. car cards), driver’s deliberate (as oppose to passive) participation in distribution of materials,
audibly informing the public on and off transit vehicles of running promotions, staffing public events, making
vehicles and drivers “show ready” for on camera appearances, etc. The CONTRACTOR may charge back an
employee’s time, at no more than their regular hourly rate (plus overtime rate if required), when they are used
away from typical fixed‐route operations. The CONTRACTOR cannot double charge the CITY if the promotion
runs parallel to their typical on‐duty obligations.
G. Point(s) of Contact
The CONTRACTOR must provide the CITY a current up‐to‐date list of point of contacts for key positions as
described herein in this document. These include at a minimum: One (1) Resident General Manager, One (1)
Maintenance Manager and One (1) Operations Manager. These are key personnel who will be expected to
provide primary contact with CITY staff and be responsible for management and supervision of CONTRACTOR’s
employees. The names and resumes of these specific individuals and all other CONTRACTOR’s Management
Staff shall be provided as part of the CONTRACTOR’s Proposal.
Additionally, the CONTRACTOR must provide the contact information (name, title, phone, email address, mailing
address) of related key individuals based in corporate and/or regional offices.
H. Staffing
The CONTRACTOR is responsible for all issues related to employment (i.e. recruitment, qualification verification,
training, retention, compensations, corrective actions, dismissal and all points in between) related to securing
and retaining qualified staffing needed for meeting operational needs of the public transit system, as established
by the CITY.
Where there is a known need, the CITY has established the minimum key positions and criteria that are required
to be met. These individuals will be expected to located at the CITY’s Transit Operations & Maintenance
facility located at 29 Prado Road, and shall perform no other work, thus, solely working on this Contract.
The key positions include the following with each needing approval by the City prior to use on the Contract:
Resident General Manager
The CONTRACTOR shall designate and provide the services of a full‐time Resident General Manager
(GM), subject to the review and approval of the Transit Manager. A Resident GM is defined as the local
area top‐level manager who operates directly out of the designated local facility and not remotely from
another location.
The GM must have a minimum of five (5) years of experience in the transportation operations field,
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including at least three (3) years of supervisory experience with management of drivers and transit
operations. Four years of college may be substituted for two years of transportation experience or for
one year of supervisory experience. The GM’s primary responsibility is to abide by the established
scope of work herein described in the contract and maintaining compliance with local, state and federal
laws and regulations (i.e., FTA, EPA, OSHA, DOT, ADA and EEOC). This includes ensuring necessary staff,
vehicles, equipment and facilities are in adequate availability and compatibility to established laws,
policies, procedures, schedules, routes, promotions and reporting requirements and are carried out in a
safe and professional manner as extended stewards of the public transit system. The GM will hold
regular meetings, as designated by the Transit Manager, to convey and discuss issues, trends and
happenings as they relate to the public transit system.
The GM cannot be replaced without the written consent of the Transit Manager unless their
replacement is due to proven unlawful actions. Where possible, notice of at least 30 calendar days
must be made to notify the Transit Manager of a requested change to the GM position. Where due to
unanticipated and unpreventable incidents that cause a designated GM to become unavailable, the
Transit Manager will be notified immediately. The position must not remain vacant for more than 30
days.
Operations Manager
CONTRACTOR shall provide the services of a capable Operations Manager, subject to approval of the
Transit Manager. The Operations Manager must have at a minimum four (4) years’ experience in the
industry and have a CDL license and the appropriate endorsements to provide revenue service on an
emergency basis. The Operations Manager is subordinate position to the GM and will assist the GM in
the oversight of employees of CONTRACTOR and monitor operational activities associated with this
contract. The Operations Supervisor must have sufficient skillsets to be capable of assuming the duties
of the GM on an interim basis at times the GM is unavailable due to sickness or vacation. Technical
expertise is considered as important as administrative abilities for this position.
The Operations Manager cannot be replaced without the written consent of the Transit Manager unless
their replacement is due to proven unlawful actions. If an acceptable replacement is not found within
ten (10) days after the Operations Supervisor has departed, CONTRACTOR shall assign a senior
management official, or other supervisor approved by the Transit Manager to serve as interim
Operations Manager until a suitable permanent replacement is found. CONTRACTOR shall undertake all
reasonable efforts in good faith to maintain quality and continuity in its selection of the Operations
Manager.
Maintenance Manager
CONTRACTOR shall provide the services of a capable Maintenance Manager, subject to approval of the
Transit Manager. The Maintenance Manager shall be directly responsible for maintaining the fleet, and
other maintenance work, as specified by law and described in this contract. The Maintenance Manager
should have at a minimum four (4) years’ experience in the industry, two (2) of those in a supervisory
capacity, CDL Operator’s license (with required endorsements) and have at a minimum four (4) ASE
mechanic certifications or similar. The four (4) minimum ASE certifications must include the following
ASE type of certifications: diesel/gasoline engines, drive train, brakes, suspension and steering,
electrical, preventive and heating and A/C. While some maintenance work can be outsourced, it is
expected that a vast majority will be conducted in house. Technical expertise is considered as important
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as administrative abilities for this position.
These individuals will be expected to work out of the CITY’s Transit Operations and Maintenance facility,
located at 29 Prado Road, and shall perform no other work, thus, solely work on this Contract.
CONTRACTOR shall assure CITY that none of these key positions, designated for this project, will be
replaced without the written consent of the Transit Manager. Should the services of any of these key
positons become no longer available to the CONTRACTOR, the resume and qualifications of the proposed
replacement shall be submitted to the Transit Manager for approval as soon as possible, but in no event,
later than ten (10) business days ‐ except in the case of the GM which is allowed 15 business days ‐ prior to the
departure of the incumbent, unless CONTRACTOR is not provided with such notice by the departing employee.
In such cases, the CONTRACTOR shall find a suitable replacement within fifteen (15) business days, with the
exception of the GM which has twenty (20) business days.
The proposed replacement candidates will be interviewed by the Transit Manager. The Transit Manager shall
have up to five (5) working days following receipt of these qualifications to respond to CONTRACTOR
concerning acceptance of the candidate for replacement. The Transit Manger retains the right to approve or
deny proposed replacements.
I. Failing to Employ Required Management ‐ Penalty
If an acceptable replacement is not found within the allotted time, CONTRACTOR shall be assessed a penalty as
indicated under Appendix G – Penalties & Incentives , including all fringe benefits for each calendar day of the
position not filled. This assessment will not be made commencing the thirty first (31) day following the failure
to employ a GM and on the sixteenth (16) day following failure to employ an Operations or Maintenance
Manager.
J. Other Positions
As opposed to the previous listed positions, the following positions are completely under the discretion of the
CONTRACTOR to employ and dismiss in accordance with applicable laws. However, as determined by the CITY,
the following positions must be established as they play a key role in the successful operations of this public
transit system.
Road Supervisor / Trainer(s)
CONTRACTOR shall provide full time Road Supervisor(s) to monitor drivers, passengers and vehicles
operating in revenue service. If the Road Supervisor also doubles as a “Driver Trainer,” the
CONTRACTOR shall ensure that at least a second Road Supervisor is available to respond to issues in the
field. The Road Supervisor position requires at least two years industry supervisory experience, have
valid CDL’s and endorsements.
The Road Supervisor(s) serve as first line supervisors and respond to issues and developments in the
field. Work shifts of Road Supervisors (in conjunction with the Operations Manager) shall sufficiently
cover revenue service hours. At a minimum, there must be one Road Supervisor available during all
Revenue Service Hours. At the discretion of the Transit Manager, Road Supervisor(s) may be asked to
support special projects, such as NTD sampling, surveys and other projects. CONTRACTOR shall develop,
implement and maintain formal procedures to be used by Road Supervisory personnel.
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Dispatcher(s)/Call Taker(s)
CONTRACTOR shall provide an adequate fixed number of persons to perform dispatching/call taking
functions during all operating hours. This position is viewed as safety‐sensitive and mission‐critical
position. Therefore, this position shall primarily focus on dispatching/call taking and not perform other
work that is not directly related to the dispatching/call taking function (e.g. HR, Payroll,
administrative/clerical tasks) except for perhaps minor duties (e.g. data‐entry work) as long as they do
not detract from effectively maintaining the safety, performance or customer service level of the public
transit system.
These persons shall be directly involved in maintaining the successful operation of the public transit
system. Work duties include, but are not limited to: ensuring all routes are fully covered (staffed),
making vehicle assignments in accordance with maintenance schedules/issues, assure public schedules
are maintained, coordinate driver breaks and swaps, exercising “catch‐up” or “shadow‐bus” procedures,
coordinate vehicle maintenance swaps, maintaining proper radio communication, help direct
contingency operational changes (e.g. detours), answer public inquiries over the phone and maintaining
the daily dispatch log. The dispatch log format and contents is subject to the approval of the Transit
Manager.
Dispatchers and call takers, as well as any other individuals who may from time to time be assigned to
working the telephone/information phone lines shall be trained in proper telephone etiquette.
Employees will be monitored for courtesy and tact; refresher training offered, as necessary. Duties will
include taking general public calls, inquiries and complaints.
Administrative/Clerical Staff
Separate from Dispatching, Administrative staff can be used for administrative/ clerical functions as they
relate to the CONTRACTOR and CITY work. This work may include: HR functions, payroll, accounting,
data‐entry, etc.
Mechanic(s)/Technician(s)
The CONTRACTOR will provide sufficient support mechanics/technicians as to maintain continuity of
operations but no less than one mechanic (not including the Maintenance Manager) per Nine (9)
vehicles. Upon acquisition of the nineteenth (19th) operable vehicle (discarding vehicles in contingency
fleets or to be retired) an additional mechanic/technician shall be brought on. At least one other
mechanic must also have a minimum of four (4) ASE certifications in the categories of: diesel/gasoline
engines, drive train, brakes, suspension & steering, electrical, preventive maintenance and heating &
A/C.
Utility(s)
Utility staff provides support to daily operations in the general realm of restocking, refueling, cleaning
and other support functions.
Drivers (a.k.a. Operators)
CONTRACTOR shall be entirely responsible for the employment, training, licensing, retention and
supervision of drivers as necessary to successfully maintain system operations. Such responsibilities
shall include, although not necessarily be limited to: driver recruitment, screening, selection, training,
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testing, payroll, supervision, union relations, evaluation, corrective actions, termination and all points in
between. CONTRACTOR shall use appropriate driver screening and selection criteria in order to employ
qualified drivers of CITY vehicles. These criteria will include, although not necessarily be limited to:
Department of Motor Vehicles license check,
Criminal record check, and
Drug and substance abuse testing in conformance with all United States Department of
Transportation regulations, State of California and City of San Luis Obispo requirements.
CONTRACTOR shall be responsible for all applicable labor assignments for revenue service drivers. The
composition of CONTRACTOR’s labor assignments shall reflect a balance between efficient labor
utilization and reasonable personnel practices supporting driver longevity retention.
Drivers shall be in uniform at all times while in service or otherwise on duty. The CONTRACTOR shall
provide driver uniforms for its employees. CONTRACTOR shall comply with applicable state and federal
employment laws at all times, including Section 1735 of the California Labor Code and Title VI of the
Civil Rights Act of 1964 (PL 88‐352). In times where the AVL system is not working, drivers will have to
audibly call out stops for the primary benefit of visually impaired passengers as specified by Americans
with Disability Act laws.
Drivers will, when requested by CITY, hand out notices to passengers or otherwise render assistance in
CITY’s monitoring and supervising operations. Driver will conduct surveys to collect passenger data as
specified by the CITY. Drivers will be required to honor special passes, collect tickets and issue and
collect transfers as directed by CITY. Drivers will not handle money, unless in aid of passengers with
disabilities. Drivers will record ridership counts by passenger category on manual and/or electronic
counters provided on the buses if deemed necessary by the CITY. Drivers will enforce CITY’s rules of
conduct with passengers.
Driver(s) Use for Non‐Revenue Service
From time to time the CITY participates at public events or promotional opportunities and requires the
assistance of the CONTRACTOR. In such cases, the CONTRACTOR may assign a driver who has
demonstrated excellent public relation skills. The CITY retains the right to accept or refuse the driver
selection. The CONTRACTOR may charge back an employee’s time, at no more than their regular
hourly rate, when they are used away from typical fixed‐route operations. The CONTRACTOR cannot
double charge the CITY if the promotion runs parallel to their typical on‐duty obligations.
K. Union Relations
The CONTRACTOR shall be responsible for all issues related to Union(s) vested in this contract. However, the
GM shall keep the CITY informed of issues that might or will affect the public transit system.
L. Drug Testing
Drug testing must be done in compliance with the United States Department of Transportation regulations.
This includes pre‐employment, post‐accident, random and probable cause testing. CONTRACTOR will submit a
copy of their drug testing policy and program to CITY prior to commencing work on the contract. CONTRACTOR
will also submit ongoing reports as required by CITY, the United States Department of Transportation, and the
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Federal Transit Administration. The CONTRACTOR will bear the cost of this program.
M. Customer Service
CITY shall provide telephone extensions for use by CONTRACTOR for providing telephone information and
receiving reservations for revenue service. Contractor shall maintain a courteous, professional and composed
demeanor during all interactions with the public. The existing telephone lines will be provided for revenue
services. CONTRACTOR shall provide trained personnel to receive incoming telephone calls. Telephones will be
answered during all hours there is a bus in revenue service to provide information as requested by customers
and other agencies. Adequate customer information staffing shall be provided during these times.
CONTRACTOR shall arrange work shifts which efficiently reflect the volume of incoming telephone calls.
When dealing with the public in person, the CONTRACTOR will be in clothing that identities them as
CONTRACTOR employees, if not in uniform. The CONTRACTOR will do what is reasonable to address customer
comments, concerns and complaints; demonstrating professionalism and tactfulness as extended stewards of
CITY resources. Issues that cannot be resolved may be escalated to the Transit Manager or their designee.
N. Training
All positions shall receive formal training at the sole expense of CONTRACTOR. CONTRACTOR shall
develop, implement and maintain a formal training and retraining program for all drivers in accordance with
Federal and State of California laws. The program must provide a minimum of 40 hours of training for new
employees, including classroom instruction, behind‐the‐wheel training, and in‐service training, under
supervision of a qualified instructor. The program must provide formal retraining measures, including
criteria for determining the success of retraining efforts.
CONTRACTOR shall not conduct behind‐the‐wheel training with vehicles provided by CITY while in revenue
service hours. “Cadeting,” however, is allowed in order for drivers to achieve proficiency as operators of
revenue fixed‐route vehicles. All drivers must complete CONTRACTOR formal training program as approved
by CITY and be licensed with a valid California Class 2 Operator’s License and endorsements, prior to entering
revenue service.
O. Training Equipment
CONTRACTOR shall provide all training equipment including, but not limited to, the following: TV, media
(DVD) player, video recorder and all other audio and visual equipment associated with driver and safety
training, unless otherwise already provided by the CITY.
P. Uniforms
The CONTRACTOR shall provide its employees who have contact with the public, uniforms, (polo shirts and
khakis) either directly or by providing an allowance, and establish a uniform code for proper decorum subject to
the approval of the Transit Manger. Changes to the uniform or uniform code must be approved or made by the
Transit Manger. Where both organizations find it advantageous, scheduled changes can be made to the
uniforms which are in‐line with promotional opportunities, such as: Hawaiian (or Guayabera shirt) weekends
which are allowed during “Summer Schedule months.” In such instances, drivers choosing to participate will
provide their own Hawaiian (or Guayabera) shirts that still meet proper decorum.
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Q. Time Keeping
At all times during operation of any bus in connection with these services, administrative staff and drivers shall
have available a time piece havin the ability to measure seconds and to be at the accuracy of plus (+) one (1)
minute per month and set each day in accordance with the CITY’s Automatic Vehicle Locations (AVL) system.
R. System Safety
The safe operation of the public transit is considered to be the highest priority of the CITY. CONTRACTOR shall
assume full responsibility for assuring the safety of passengers and indemnify the CITY of issues arising from
CONTRACTOR’s work. The CONTRACTOR shall also be responsible to ensure operations personnel and
CITY’s capital assets are maintained at the highest possible level throughout the duration of the
Agreement. CONTRACTOR shall comply with all applicable California Highway Patrol and OSHA
requirements.
Safety Program
CONTRACTOR shall develop, implement and maintain a formal organizational safety program.
CONTRACTOR shall assume full responsibility for assuring that the safety of passengers, operating
personnel and SLO TRANSIT vehicles and equipment are maintained at the highest possible level
throughout the term of this agreement. CONTRACTOR shall comply with all applicable California
Highway Patrol and OSHA requirements, and shall furnish SLO TRANSIT with copies of annual CHP
inspections and safety compliance reports including pull notices and any other related documents.
S. Insurance
CONTRACTOR shall procure and maintain in full force, insurance at the levels prescribed in Part 2 – Insurance
Requirements, of the Agreement. CONTRACTOR’s insurance policy shall cover CITY employees with
appropriate California DMV licenses to operate CITY owned equipment at the sole request of the Transit
Manager. CONTRACTOR shall charge CITY for the direct cost of insurance only. CITY’s designated employees
will be covered for liability insurance.
T. Preventive Maintenance and Inspection
CONTRACTOR shall perform all preventive maintenance work on all vehicles and equipment used in the
provision of the service associated with this agreement. CONTRACTOR shall adhere strictly to the preventive
maintenance schedules in accordance with industry standards. This schedule shall be considered by
CONTRACTOR to be the minimum requirement only, and shall not be regarded as reasonable cause for
deferred maintenance in specific instances where CONTRACTOR employees observe that maintenance is
needed in advance of schedule.
CONTRACTOR shall not defer maintenance for reasons of shortage of maintenance staff or operable buses, nor
shall service be curtailed for the purpose of performing maintenance without prior consent of SLO TRANSIT.
CONTRACTOR shall adjust the work schedules of its employees, as necessary to meet all scheduled services
and complete maintenance activities according to the established maintenance schedule. All maintenance
procedures must meet or exceed all manufacturer recommendations, CARB, OSHA, CHP and any other fleet
regulatory requirement.
Preventive Maintenance Program
The CONTRACTOR shall create and submit for approval, by the Transit Manager, a Preventive
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Maintenance Program specifying the method, degree of work and frequency of its Preventive
Maintenance Program. Failure to comply with the approved Preventive Maintenance Program is subject
to Liquidated Damages as described in Appendix G.
U. Vehicle Repair
All repairs to vehicles shall be performed either by or under the direction of CONTRACTOR unless otherwise
specified by SLO TRANSIT. Repairs shall include, although not be limited to, work to correct loss, damage, or
mitigation of wear and tear of vehicles, body repair and painting due to damage, replacement or repair of worn
or damaged seats and rebuilding or replacement of all vehicle components, systems or accessories except as
provided under this agreement. Repair work shall be conducted as soon as possible upon learning that such
work is required. CONTRACTOR shall repair problems noted during scheduled inspections on a timely basis.
CONTRACTOR shall assure CITY that required repairs shall not be deferred beyond a reasonable time.
CONTRACTOR shall document the time and nature of repair work completed.
Preventive maintenance and running repairs shall receive first priority in the application of CONTRACTOR'S
resources. Major repairs, such as major component rebuilds or replacement, shall be second priority and
performance of such work shall depend on the availability of resources. CONTRACTOR shall be expected to
consult with SLO TRANSIT immediately when available resources cannot cover all maintenance and repair
work. In such circumstances, work priorities shall be set by SLO TRANSIT and/or SLO TRANSIT may use other
vendors and suppliers to make major repairs should CONTRACTOR be unable for whatever reason to perform
this work. All expenditures by CONTRACTOR for major repairs in excess of this agreement must be pre‐
authorized by SLO TRANSIT and be procured through standard SLO TRANSIT purchasing procedures.
All parts, materials, lubricants, fluids, oils and service procedures used by CONTRACTOR on all SLO TRANSIT
vehicles and equipment shall meet or exceed Original Equipment Manufacturer (OEM) specifications and
requirements. All outside vendors, such as machine shops, component re‐builders or accident repair shops,
shall be fully authorized by the OEM to make repairs and utilize only parts, materials, lubricants, fluids, oils and
procedures that meet or exceed OEM specifications and requirements.
CONTRACTOR shall maintain records on all SLO TRANSIT vehicles including warranty work, preventive
maintenance, and repairs done on each unit. CONTRACTOR shall maintain and repair equipment in accordance
with manufacturer's instructions and warranty conditions as well as general practices of the transit
industry. Any insurance or warranty payment received by CONTRACTOR for loss or damage for which SLO
TRANSIT is financially responsible shall be assigned to SLO TRANSIT. CONTRACTOR shall be familiar with vehicle
and equipment warranties and shall comply with all warranty provisions in the conduct of its maintenance
functions. CONTRACTOR shall be responsible for any warranty deductibles that may accrue.
V. Overhaul and Replacement (Major Components)
CONTRACTOR shall be responsible for monitoring the condition and performance of vehicle engines,
transmissions, differentials and all parts in between so as to maximize their useful life and avoid costly
catastrophic failures. At a minimum, CONTRACTOR’S monitoring program shall consider miles accumulated;
fuel, oil, transmission fluid and differential oil consumption trends; loss of power; and erratic performance. A
comprehensive fluid analysis program, to be approved by SLO TRANSIT, is required.
If CONTRACTOR determines that an engine, transmission or differential unit needs to be overhauled or
replaced, CONTRACTOR shall notify SLO TRANSIT in writing detailing the reasons for such a determination. The
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Part Three: Scope of Work | Page 51
notice shall include detailed findings and a summary of any data that supports the conclusion. If SLO TRANSIT
determines that the need for such work resulted from poor maintenance, monitoring failure, neglect or abuse
by CONTRACTOR, SLO TRANSIT shall not be liable for the cost of such work. To the extent possible,
CONTRACTOR shall be responsible for the labor cost of removing and replacing the affected component and
assist in the solicitation and evaluation of outside vendors for the desired overhaul or replacement.
W. Maintenance Records
CONTRACTOR shall prepare, maintain, reduce to written or electronic form and make available to SLO TRANSIT,
records and data relative to vehicle, vehicle accessory and radio system maintenance. Maintenance records
shall be maintained on each vehicle indicating all warranty work, preventive maintenance, mileage, road calls,
fuel and oil consumption, downtime and repairs performed on each vehicle. All such records and reports shall
be prepared and maintained in such a manner so as to fulfill any applicable requirements of state or federal
statutes, as well as any needs of SLO TRANSIT to accurately enable it to evaluate CONTRACTOR'S maintenance
performance.
Records of all maintenance and inspections shall be made available to SLO TRANSIT, the California Highway
Patrol and other such regulatory agencies with jurisdiction when requested. SLO TRANSIT maintains the right
to inspect, examine and test, at any reasonable time, any equipment used in the performance of maintenance
work in order to ensure compliance with this agreement. Such inspection shall not relieve the CONTRACTOR of
the obligation to continually monitor the condition of all vehicles and to identify and correct all substandard or
unsafe conditions immediately upon discovery. CONTRACTOR shall transport any or all vehicles to any required
inspection facilities when requested. In the event that CONTRACTOR is instructed by SLO TRANSIT or any other
regulatory agency to remove any equipment from service due to mechanical reasons, CONTRACTOR shall make
any and all specified corrections and repairs to the equipment and resubmit the equipment for inspection and
testing before it is again placed in service. All maintenance records and reports shall be retained and
maintained for as long as each vehicle is owned and/or operated by SLO TRANSIT or until this agreement
expires or is terminated.
X. Parts Inventory
CONTRACTOR shall establish and maintain an ongoing spare parts inventory sufficient to minimize vehicle
down time and ensure that peak vehicle requirements are met. All parts and any equipment or vehicles
purchased in support of or under this agreement shall become the property of SLO TRANSIT and shall be
returned to SLO TRANSIT upon the completion or termination of this agreement for any reason.
Y. Farebox Revenue Collection and Accounting
All farebox revenues collected on vehicles operated in fixed route service are the property of the CITY.
CONTRACTOR shall make all reasonable efforts to collect fares on behalf of CITY. CITY shall provide a fare and
transfer policy and shall retain sole option to adjust such policy and fares. CITY shall provide electronic
registering fareboxes, farebox receiving vault, and farebox computer. CONTRACTOR shall provide bill counters
and coin counters.
CONTRACTOR shall develop a secure fare revenue processing process, subject to approval by Transit Manager,
to account for revenues collected on fixed route buses and deposit them into local bank account designated by
CITY for that purpose. CONTRACTOR shall not open vaults prior to 8.00 a.m. on the next operating day
following the day for which revenues were collected. CITY reserves the right to count revenues contained in
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Part Three: Scope of Work | Page 52
each farebox vault. CONTRACTOR shall faithfully deposit farebox revenue into CITY’s account not later than one
(1) banking day after the day for which revenues are collected.
CONTRACTOR shall be responsible for any and all lost revenue collected in fareboxes and shall pay the CITY the
lost revenue if the amount of collected fares is LESS than calculated fare revenue from the electronic and non‐
electronic fareboxes that is in excess of .5% difference between reported fares collected by GFI fareboxes and
deposited fares, as reconciled at the end of each month.
Z. Operational Contingencies
CONTRACTOR shall develop, implement, and maintain formal procedures to respond to emergencies and
routine problems. Such occurrences to be addressed include, although are not necessarily limited to: in‐
service vehicle failures, revenue vehicle buses operating more than fifteen (15) minutes behind published
schedule, lift failures on buses in service, passenger disturbances, passenger injuries and vehicle collisions.
Note that vehicle issues that present unsafe or non‐ADA compliance must be removed from revenue service.
AA. Declared Emergencies
In the event of a declared emergency, the CONTRACTOR shall deploy vehicles in a manner described by the
CITY. CITY shall only be obligated to provide compensation to the CONTRACTOR for service which significantly
exceeds the normal expense of operating the service during such period of declared emergency.
BB. Disadvantaged Business Enterprises Goal
SLO TRANSIT is a federal recipient of public funds and uses these funds for many of its contract opportunities.
As such, SLO TRANSIT is also committed to Federal Transit Administrations desire for minority and or women
owned businesses, known as Disadvantage Business Enterprises (or DBEs), to have equal access and opportunity
to contracts paid for with these public funds.
Therefore SLO TRANSIT has established a proportionate goal, to total funds received, for DBEs to have greater
opportunities to access via contract work. A monitoring program is also in place to help gauge the success of the
established goal program; whereby, the participation levels of certified DBEs and the funds spent with them are
tracked and reported to the federal government on a biannual basis.
Whereas the Operations & Maintenance contract reflects a use of Federal Funds the CITY encourages the
CONTRACTOR to adopt the CITY’s established DBE goal and assist the CITY in achieving said goal, support DBE
outreach efforts and report on DBE subcontracting to the CITY. See Appendix H – DBE Goal for the established
and current goal.
CC. Reporting
As part of providing a public transit system, reports are established to provide clear and transparent
information regarding the use of limited public funds. The CONTRACTOR will comply with the CITY’s reporting
requirements as established in Appendix I – Reporting Requirements.
DD. Financial Records
Financial and accounting records shall be prepared and maintained in a complete, detailed and accurate
manner, in accordance with generally accepted accounting principles, pursuant to the requirements of any
applicable state or federal statute or regulation regarding accounting and financial reporting for publicly
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Part Three: Scope of Work | Page 53
financed transit systems, including but not limited to, Level R or the Uniform Financial and Reporting Elements
as required under the National Transit Database System (Section 15) of the Federal Transit Act of 1964, and
Section 99243 of the California Public Utilities Code, as each of the foregoing are now in force or may hereafter
be amended. Such records shall fairly and clearly disclose all of CONTRACTOR'S costs incurred by virtue of its
operation of SLO TRANSIT, including but not limited to, pay and employee benefits, materials and supplies,
utilities, maintenance, contractual services, and all the related operating costs.
CONTRACTOR'S records shall be kept with sufficient detail to constitute an audit trail to verify that all costs
charged to SLO TRANSIT by virtue of this agreement are due to the operation of SLO TRANSIT's system only and
are not due to the operation of any other service by CONTRACTOR. Such records shall be provided to SLO
TRANSIT upon request for purposes of complying with Federal, State, and Local reporting requirements.
EE. Operating Reports
CONTRACTOR shall gather, maintain, prepare and submit to SLO TRANSIT such operating information, records
and reports as may reasonably be required to allow SLO TRANSIT to evaluate and analyze the type and quality
of the services provided pursuant to this agreement. Such information and records shall include, but not be
limited to, passenger boardings by service, route, day and fare category; vehicle service and revenue hours and
miles by service, day and route; required ADA information; farebox revenues received; vehicle mileage, fuel
consumption; accident, incident and road call information; service quality information including missed trips,
on‐time performance, wait times, service complaints and unfulfilled service requests; staffing and training
information; maintenance activity by vehicle including wheelchair lift, air conditioning and service availability
status.
A monthly activity report including the above and any other pertinent information shall be submitted to SLO
TRANSIT by the 10th day of the month following the reporting period. The report shall highlight any problems
encountered along with suggested solutions. The CONTRACTOR will comply with the CITY’s reporting
requirements as established in Appendix I – Reporting Requirements.
CONTRACTOR shall assist in conducting all required surveys, compiling data in the required format and
submitting reports to SLO TRANSIT for compliance with the National Transit Database System (Section 15) of
the Federal Transit Act for motor bus, commuter bus and demand response services.
FF. Accident and Incident Reporting
CONTRACTOR shall develop, implement and maintain formal procedures to respond to and report emergencies
and routine problems that from time to time occur in the course of providing transit service. Such occurrences
to be addressed include, but are not limited to, in‐service vehicle failures, in‐service lift failures, passenger
disturbances, passenger injuries and vehicle accidents.
CONTRACTOR shall notify CITY’s Transit Manager, or their designee in their absence, of any accident involving a
CITY vehicle immediately and under no circumstance longer than four (4) hours of its occurrence. In the case of
an injury accident or incident, verbal notification shall occur immediately or as soon as possible thereafter. A
complete written report of any accident or incident shall be delivered to the Transit Manager as soon as it is
practical to do so.
CONTRACTOR is requested, but not required, to cause all vehicle operators to report public safety incidents
observed by them to the on‐duty dispatcher, who, in turn, is to be requested by CONTRACTOR to refer all such
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Part Three: Scope of Work | Page 54
incident reports to the proper authorities. Such observed incidents shall include, but not be limited to, fires,
criminal acts, suspicious circumstances, public right‐of‐way obstructions, natural disasters, public intoxication
and the like. Beyond reporting such incidents, neither CONTRACTOR nor any of its employees shall have any
responsibility of any kind or character to act further with respect to them.
GG. Compensation
The CONTRACTOR is solely responsible for documenting work and expenditures in order to receive
compensation. Failure to provide proof can be causation for denial of compensation by the CITY. Backup
materials substantiating charges must be included in the monthly invoices. The CITY reserves the right to review
documentation and challenge charges.
Fuel Cost Reimbursement
The CITY will pay all fuel related costs for Revenue CITY owned vehicles. CITY owned support vehicles
are to be used exclusively for supervising and maintenance duties. The CITY will receive a monthly fuel
credit if these vehicles are used in non‐contractual related operations support. The Transit Manager will
be notified on each occasion that a CITY vehicle is used for this purpose and the circumstances. CITY
support vehicles will keep a trip log approved by the Transit Manager. CITY owned vehicles are not
allowed to travel out of the CITY of San Luis Obispo without authorization of the Transit Manager in
advance. The revenue vehicle mileage rate assumes all variable and consumable costs of the
CONTRACTOR.
Passed‐Through Purchases
At times, the procurement of goods or services may be expedited if the CONTRACTOR pursues them
directly. This is known in the industry as a pass‐through purchase. Unless identified by the CITY, the
CONTRACTOR shall provide no less than three quotes for purchases above $5,000. If not delegated to
the CONTRACTOR, the Transit Manager has the right to approve which quote will be used, at their
discretion. Back‐up materials substantiating such purchase must be provided in the monthly invoices.
HH.Surveys
SLO TRANSIT will design and CONTRACTOR will assist, to the extent practical, in the conduct of periodic surveys
during the term of this agreement. CONTRACTOR shall cooperate with SLO TRANSIT in any such activities by
making available needed equipment, facilities and personnel accordingly at no additional expense to SLO
TRANSIT. This shall include, but not be limited to the conducting of semi‐annual passenger boarding and
alighting surveys.
II. Penalties & Incentives (Liquidated Damages)
The CITY has established a set of standards which it expects its CONTRACTOR, at a minimum, to abide by.
Failure to meet such standard is cause for penalty. In other cases, if the CONTRACTOR exceeds a standard, the
CITY will reward the CONTRACTOR with an Incentive. Besides other already identified in this document (e.g.
failure to employ), the Penalties and Incentives are established in Appendix G – Penalties & Incentives.
Use of Incentives
The creation of incentives is to encourage and motivate a high level of performance, as the majority of
these Incentives depend on the performance of Drivers and local CONTRACTOR staff. The Incentives are
to be used for the direct benefit of local CONTRACTOR staff and not corporate. The CONTRACTOR may
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Part Three: Scope of Work | Page 55
establish its own additional local property employee incentives.
JJ. Environmentally Friendly / Recycling Program
Contract shall implement, maintain, and encourage a recycling program for their employees. CONTRACTOR will
implement measures to reduce paper trash as a requirement of the CITY. Revenues derived from such Recycling
Program must be used for the benefit of CONTRACTOR’s onsite staff employees.
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Part Four: Appendices | Page 56
Part Four: Appendices
SLO TRANSIT, City of San Luis Obispo
Table of Contents
Appendix A: Route Schedule and Stats ........................................................................................................................... 58
Table 1: Revenue Service Quick Stats .................................................................................................................................... 58
Table 2: Revenue Service Quick Stats (Continued) ................................................................................................................ 59
Table 3: Route 1 Schedule ..................................................................................................................................................... 60
Table 4: Route 2 Schedule ..................................................................................................................................................... 61
Table 5: Route 3 Schedule ..................................................................................................................................................... 62
Table 6: Route 4 A&B Schedule ............................................................................................................................................. 63
Table 7: Route 5 A&B Schedule ............................................................................................................................................. 64
Table 8: Route 6A Schedule ................................................................................................................................................... 65
Table 9: Route 6B Schedule ................................................................................................................................................... 66
Table 10: Route 6 A/B Schedule ............................................................................................................................................ 67
Table 11: Trolley Schedule ..................................................................................................................................................... 68
Table 12: Tripper Schedule .................................................................................................................................................... 69
Appendix B: Fleet Roster ................................................................................................................................................ 70
Appendix C: Short Range Transit Plan ............................................................................................................................ 71
Appendix D: City Provided Equipment ............................................................................................................................ 72
Appendix E: Transit Operations & Maintenance Facility ................................................................................................. 73
Appendix F: Federal Clauses ........................................................................................................................................... 74
1. Fly America Requirements................................................................................................................................................. 74
2. Buy America Requirements ............................................................................................................................................... 74
3. Charter Bus Requirements ................................................................................................................................................ 76
4. School Bus Requirements .................................................................................................................................................. 77
5. Cargo Preference Requirements ....................................................................................................................................... 77
6. Seismic Safety Requirements ............................................................................................................................................ 78
7. Energy Conservation Requirements .................................................................................................................................. 78
8. Clean Water Requirements ............................................................................................................................................... 78
9. Bus Testing ........................................................................................................................................................................ 79
10. Pre‐award and Post Delivery Audits Requirements ........................................................................................................ 80
11. Lobbying .......................................................................................................................................................................... 82
12. Access to Records and Reports ....................................................................................................................................... 84
13. Federal Changes .............................................................................................................................................................. 86
14. Bonding Requirements .................................................................................................................................................... 86
15. Clean Air .......................................................................................................................................................................... 89
16. Recycled Products ........................................................................................................................................................... 89
17. Davis‐Bacon and Copeland Anti‐Kickback Acts ................................................................................................................ 90
18. Contract Work Hours and Safety Standards Act .............................................................................................................. 96
19. [ RESERVED ] .................................................................................................................................................................... 97
20. No Government Obligation to Third Parties .................................................................................................................... 97
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21. Program Fraud and False or Fraudulent Statements and Related Acts .......................................................................... 97
22. Termination ..................................................................................................................................................................... 98
23. Government‐Wide Debarment and Suspension (Nonprocurement) ............................................................................ 101
24. Privacy Act ..................................................................................................................................................................... 102
25. Civil Rights Requirements .............................................................................................................................................. 103
26. Breaches and Dispute Resolution .................................................................................................................................. 104
27. Patent and Rights in Data .............................................................................................................................................. 105
28. Transit Employee Protective Agreements ..................................................................................................................... 108
29. Disadvantaged Business Enterprise (DBE) ..................................................................................................................... 110
30. [ RESERVED ] .................................................................................................................................................................. 111
31. Incorporation of Federal Transit Administration (FTA) Terms ...................................................................................... 111
32. Drug and Alcohol Testing ............................................................................................................................................... 112
Appendix G: Penalties & Incentives (Liquidated Damages) ........................................................................................... 115
Penalties: Issued Monthly (per occurrence) ........................................................................................................................ 115
Incentives: Issued Quarterly ..................................................................................................... Error! Bookmark not defined.
Table 1: Penalties & Incentives (Liquidated Damages) ....................................................................................................... 120
Appendix H: Disadvantaged Business Enterprises (DBE) Goal ....................................................................................... 122
Appendix I: Reporting Requirements ........................................................................................................................... 156
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Part Four: Appendices | Page 58
Appendix A: Route Schedule and Stats
Table 1: Revenue Service Quick Stats
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2
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n
d
a
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Sc
h
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d
u
l
e
(5
9
Da
y
s
)
:
Ro
u
t
e
2R
o
u
t
e
3R
o
u
t
e
4A
Ro
u
t
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5B
To
t
a
l
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n
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l
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v
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:
St
a
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m
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8:
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:
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8
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AM
En
d
Ti
m
e
5:
0
0
PM
5
:
3
7
PM
6
:
0
5
PM
6
:
1
7
PM
# of
Bu
s
e
s
11
1
1
Bu
s
Si
z
e
30
'
3
5
'
4
0
'
,
DD
4
0
'
,
DD
Lo
o
p
Du
r
a
.
35
3
2
5
5
5
7
Fr
e
q
u
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n
c
y
40
mi
n
4
0
mi
n
3
0
mi
n
3
0
mi
n
Re
v
.
Ho
u
r
s
8.
9
5
9
.
5
5
9
.
9
2
9
.
9
5
Re
v
.
Mi
l
e
s
96
1
1
3
.
2
1
3
2
1
4
5
To
t
a
l
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Mi
l
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pe
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:
4
8
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(La
b
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r
Da
y to
Mi
d
Ju
n
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)
Su
m
m
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Sc
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d
u
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(Mi
d
Ju
n
e
to
La
b
o
r
Da
y)
36
3
,
7
2
7
slotransit.org
Part Four: Appendices | Page 59
Table 2: Revenue Service Quick Stats (Continued)
Daily Scheduled REVENUE MILES Per Route Per Labor Day to Mid June Schedule*
Route 1Route 2Route 3Route 4ARoute 4BRoute 5ARoute 5BRoute 6ARoute 6B
Route
6A/B
Route 2
ev.
Route 3
ev.
Route
4A ev.
Route
6A/B ev.TrolleyTripper
Mon 121124.7142.5153.1144.8192.3188.586.690N/A2131.858.134.1N/A11.88
Tue 121124.7142.5153.1144.8192.3188.586.690N/A2131.858.134.1N/A11.88
Wed 121124.7142.5153.1144.8192.3188.586.690N/A2131.858.134.1N/A11.88
Thu 121124.7142.5153.1144.8192.3188.586.690N/A2131.858.134.13511.88
Fri 121124.7142.5153.1144.8192.3188.586.690N/A2131.858.134.13511.88
Sat N/A102.8113.2132N/AN/A145N/AN/A74N/AN/AN/AN/A35N/A
Sun N/A96113.2132N/AN/A145N/AN/AN/AN/AN/AN/AN/A35N/A
* Mileage is based on Arc GIS
Daily Scheduled REVENUE MILES Per Route Per Summer Schedule*
Route 1Route 2Route 3Route 4ARoute 4BRoute 5ARoute 5BRoute 6A/B
Mon 121124.7142.5153.1146.4178.8188.5
Tue 121124.7142.5153.1146.4178.8188.5
Wed 121124.7142.5153.1146.4178.8188.5
Thu 121124.7142.5153.1146.4178.8188.5
Fri 121124.7142.5153.1146.4178.8188.5
Sat N/A102.8113.2132N/AN/A14574
Sun N/A96113.2132N/AN/A145N/A
* Mileage is based on Arc GIS
Daily Scheduled REVENUE HOURS Per Route Per Labor Day to Mid June Schedule
Route 1Route 2Route 3Route 4ARoute 4BRoute 5ARoute 5BRoute 6ARoute 6B
Route
6A/B
Route 2
ev.
Route 3
ev.
Route
4A ev.
Route
6A/B ev.TrolleyTripper
Mon 1111.712.2211.3211.4714.0912.5710.7810.87N/A1.41.54.854.42N/A2.35
Tue 1111.712.2211.3211.4714.0912.5710.7810.87N/A1.41.54.854.42N/A2.35
Wed 1111.712.2211.3211.4714.0912.5710.7810.87N/A1.41.54.854.42N/A2.35
Thu 1111.712.2211.3211.4714.0912.5710.7810.87N/A1.41.54.854.4242.35
Fri 1111.712.2211.3211.4714.0912.5710.7810.87N/A1.41.54.854.4242.35
Sat N/A9.619.559.92N/AN/A9.95N/AN/A8.9N/AN/AN/AN/A4N/A
Sun N/A8.959.559.92N/AN/A9.95N/AN/AN/AN/AN/AN/AN/A0N/A
Daily Scheduled REVENUE HOURS Per Route Per Summer Schedule
Route 1Route 2Route 3Route 4ARoute 4BRoute 5ARoute 5BRoute 6A/B
Mon 1111.712.2211.3211.4714.0912.57N/A
Tue 1111.712.2211.3211.4714.0912.57N/A
Wed 1111.712.2211.3211.4714.0912.57N/A
Thu 1111.712.2211.3211.4714.0912.57N/A
Fri 1111.712.2211.3211.4714.0912.57N/A
Sat N/A9.619.559.92N/AN/A9.958.9
Sun N/A8.959.559.92N/AN/A9.95N/A
NOTES:No service on Thanksgiving and Chrismas Day
Winter Service (14 days during the week of Chrismas and New Years) is reflected in "Regular Weekday Schedule"
Daytime Service
Daytime ServiceEvening Service (Starts at 6pm)
Evening Service (Starts at 6pm)Daytime Service
Daytime Service
slotransit.org
Part Four: Appendices | Page 60
Table 3: Route 1 Schedule
#
of
Bu
s
e
s
DTC
Broad @
Caudill
Orcutt @
Laurel
Johnson
@ LizzieDTC
Foothill @
University
Pratrica @
Foothill
Foothill
@ Casa
Arival
DTC
A 7:15 AM7:25 AM7:31 AM7:40 AM7:47 AM7:53 AM7:58 AM8:02 AM8:09 AM
A8:15 AM8:25 AM8:31 AM8:40 AM8:47 AM8:53 AM8:58 AM9:02 AM9:09 AM
A9:15 AM9:25 AM9:31 AM9:40 AM9:47 AM9:53 AM9:58 AM10:02 AM10:09 AM
A10:15 AM10:25 AM10:31 AM10:40 AM10:47 AM10:53 AM10:58 AM11:02 AM11:09 AM
A11:15 AM11:25 AM11:31 AM11:40 AM11:47 AM11:53 AM11:58 AM12:02 PM12:09 PM
A12:15 PM12:25 PM12:31 PM12:40 PM12:47 PM12:53 PM12:58 PM1:02 PM1:09 PM
A1:15 PM1:25 PM1:31 PM1:40 PM1:47 PM1:53 PM1:58 PM2:02 PM2:09 PM
A2:15 PM2:25 PM2:31 PM2:40 PM2:47 PM2:53 PM2:58 PM3:02 PM3:09 PM
A3:15 PM3:25 PM3:31 PM3:40 PM3:47 PM3:53 PM3:58 PM4:02 PM4:09 PM
A4:15 PM4:25 PM4:31 PM4:40 PM4:47 PM4:53 PM4:58 PM5:02 PM5:09 PM
A5:15 PM5:25 PM5:31 PM5:40 PM5:47 PM5:53 PM5:58 PM6:02 PM6:09 PM
Route 1
slotransit.org
Part Four: Appendices | Page 61
Table 4: Route 2 Schedule
# of
Bu
s
e
s
DTC
(Depart)
Higuera
@ South
Prado
Day
Cente r
Higuera @
Suburban
Higuera
@ South
DTC
(Arrival)
6:03 AM6:10 AM6:20 AM
A6:25 AM6:33 AM6:37 AM6:43 AM6:50 AM7:00 AM
A7:05 AM7:13 AM7:17 AM7:23 AM7:30 AM7:40 AM
A7:45 AM7:53 AM7:57 AM8:03 AM8:10 AM8:20 AM
A8:25 AM8:33 AM8:37 AM8:43 AM8:50 AM9:00 AM
A9:05 AM9:13 AM9:17 AM9:23 AM9:30 AM9:40 AM
A9:45 AM9:53 AM9:57 AM10:03 AM10:10 AM10:20 AM
A10:25 AM10:33 AM10:37 AM10:43 AM10:50 AM11:00 AM
A11:05 AM11:13 AM11:17 AM11:23 AM11:30 AM11:40 AM
A11:45 AM11:53 AM11:57 AM12:03 PM12:10 PM12:20 PM
A12:45 PM12:53 PM12:57 PM1:03 PM1:10 PM1:20 PM
A1:05 PM1:13 PM1:17 PM1:23 PM1:30 PM1:40 PM
A1:45 PM1:53 PM1:57 PM2:03 PM2:10 PM2:20 PM
A2:25 PM2:33 PM2:37 PM2:43 PM2:50 PM3:00 PM
A3:05 PM3:13 PM3:17 PM3:23 PM3:30 PM3:40 PM
A3:45 PM3:53 PM3:57 PM4:03 PM4:10 PM4:20 PM
A4:25 PM4:33 PM4:37 PM4:43 PM4:50 PM5:00 PM
A5:05 PM5:13 PM5:17 PM5:23 PM5:30 PM5:40 PM
A6:50 PM6:56 PM ‐7:03 PM7:08 PM7:18 PM
A7:50 PM7:56 PM ‐8:03 PM8:08 PM8:18 PM
A8:50 PM8:56 PM ‐9:03 PM9:08 PM9:18 PM
Approximate Weekend Schedule
Route 2
slotransit.org
Part Four: Appendices | Page 62
Table 5: Route 3 Schedule
#
of
Bu
s
e
s
DTC
(Depart)
Johnson
@ Lizzie
Orcutt @
Laurel
Broad @
Marigold
Broad @
Santa
Barbara
DTC
(Arrival)
A6:04 AM6:10 AM6:17 AM
A6:25 AM6:31 AM6:37 AM6:44 AM6:50 AM6:57 AM
A7:05 AM7:11 AM7:17 AM7:24 AM7:30 AM7:37 AM
A7:45 AM7:51 AM7:57 AM8:04 AM8:10 AM8:17 AM
A8:25 AM8:31 AM8:37 AM8:44 AM8:50 AM8:57 AM
A9:05 AM9:11 AM9:17 AM9:24 AM9:30 AM9:37 AM
A9:45 AM9:51 AM9:57 AM10:04 AM10:10 AM10:17 AM
A10:25 AM10:31 AM10:37 AM10:44 AM10:50 AM10:57 AM
A11:05 AM11:11 AM11:17 AM11:24 AM11:30 AM11:37 AM
A11:45 AM11:51 AM11:57 AM12:04 PM12:10 PM12:17 PM
A12:45 PM12:51 PM12:57 PM1:04 PM1:10 PM1:17 PM
A1:05 PM1:11 PM1:17 PM1:24 PM1:30 PM1:37 PM
A1:45 PM1:51 PM1:57 PM2:04 PM2:10 PM2:17 PM
A2:25 PM2:31 PM2:37 PM2:44 PM2:50 PM2:57 PM
A3:05 PM3:11 PM3:17 PM3:24 PM3:30 PM3:37 PM
A3:45 PM3:51 PM3:57 PM4:04 PM4:10 PM4:17 PM
A4:25 PM4:31 PM4:37 PM4:44 PM4:50 PM4:57 PM
A5:05 PM5:11 PM5:17 PM5:24 PM5:30 PM5:37 PM
A5:45 PM5:51 PM5:57 PM6:04 PM6:10 PM6:17 PM
A6:18 PM6:22 PM6:28 PM6:34 PM6:39 PM6:45 PM
A7:18 PM7:22 PM7:28 PM7:34 PM7:39 PM7:45 PM
A8:18 PM8:22 PM8:28 PM8:34 PM8:39 PM8:45 PM
A9:18 PM9:22 PM9:28 PM9:34 PM9:39 PM9:45 PM
Approximate Weekend Schedule
Route 3
slotransit.org
Part Four: Appendices | Page 63
Table 6: Route 4 A&B Schedule
#
of
Bu
s
e
s
DTC
(Arrive)
South @
Parker
Promena
de
LOVR @
Irish Hills
LOVR @
Oceanaire
Descanso
@ LOVR
Ramona @
Palomar
Kennedy
Library
(Arrive)
Kennedy
Library
(Depart)
DTC
(Depart)
A6:34 AM6:38 AM6:44 AM6:53 AM6:55 AM7:05 AM
A7:10 AM7:17 AM7:22 AM7:28 AM7:34 AM ‐7:44 AM7:53 AM7:55 AM8:05 AM
B7:40 AM7:47 AM7:52 AM7:58 AM8:04 AM8:08 AM8:14 AM8:23 AM8:25 AM8:35 AM
A8:10 AM8:17 AM8:22 AM8:28 AM8:34 AM ‐8:44 AM8:53 AM8:55 AM9:05 AM
B8:40 AM8:47 AM8:52 AM8:58 AM9:04 AM9:08 AM9:14 AM9:23 AM9:25 AM9:35 AM
A9:10 AM9:17 AM9:22 AM9:28 AM9:34 AM ‐9:44 AM9:53 AM9:55 AM10:05 AM
B9:40 AM9:47 AM9:52 AM9:58 AM10:04 AM10:08 AM10:14 AM10:23 AM10:25 AM10:35 AM
A10:10 AM10:17 AM10:22 AM10:28 AM10:34 AM ‐10:44 AM10:53 AM10:55 AM11:05 AM
B10:40 AM10:47 AM10:52 AM10:58 AM11:04 AM11:08 AM11:14 AM11:23 AM11:25 AM11:35 AM
A11:10 AM11:17 AM11:22 AM11:28 AM11:34 AM ‐11:44 AM11:53 AM11:55 AM12:05 PM
B11:40 AM11:47 AM11:52 AM11:58 AM12:04 PM12:08 PM12:14 PM12:23 PM12:25 PM12:35 PM
A12:10 PM12:17 PM12:22 PM12:28 PM12:34 PM ‐12:44 PM12:53 PM12:55 PM1:05 PM
B12:40 PM12:47 PM12:52 PM ‐1:04 PM1:08 PM1:14 PM1:23 PM1:25 PM1:35 PM
A1:10 PM1:17 PM1:22 PM1:28 PM1:34 PM ‐1:44 PM1:53 PM1:55 PM2:05 PM
B1:40 PM1:47 PM1:52 PM ‐2:04 PM2:08 PM2:14 PM2:23 PM2:25 PM2:35 PM
A2:10 PM2:17 PM2:22 PM2:28 PM2:34 PM ‐2:44 PM2:53 PM2:55 PM3:05 PM
B2:40 PM2:47 PM2:52 PM ‐3:04 PM3:08 PM3:14 PM3:23 PM3:25 PM3:35 PM
A3:10 PM3:17 PM3:22 PM3:28 PM3:34 PM ‐3:44 PM3:53 PM3:55 PM4:05 PM
B3:40 PM3:47 PM3:52 PM ‐4:04 PM4:08 PM4:14 PM4:23 PM4:25 PM4:35 PM
A4:10 PM4:17 PM4:22 PM4:28 PM4:34 PM ‐4:44 PM4:53 PM4:55 PM5:05 PM
B4:40 PM4:47 PM4:52 PM ‐5:04 PM5:08 PM5:14 PM5:23 PM5:25 PM5:35 PM
A5:10 PM5:17 PM5:22 PM5:28 PM5:34 PM ‐5:44 PM5:53 PM6:05 AM6:15 AM
B5:40 PM5:47 PM5:52 PM ‐6:04 PM 6:08 PM
A6:20 PM6:27 PM6:32 PM6:38 PM6:44 PM ‐6:54 PM7:03 PM7:05 PM7:15 PM
A7:20 PM7:27 PM7:32 PM7:38 PM7:44 PM ‐7:54 PM8:03 PM8:05 PM8:15 PM
A8:20 PM8:27 PM8:32 PM8:38 PM8:44 PM ‐8:54 PM9:03 PM9:05 PM9:15 PM
A9:20 PM9:27 PM9:32 PM9:38 PM9:44 PM ‐9:54 PM10:03 PM10:05 PM10:15 PM
A10:20 PM10:27 PM10:32 PM10:38 PM 10:44 PM ‐
Route 4AAproximate Weekend Schedule
Route 4 A & B
slotransit.org
Part Four: Appendices | Page 64
Table 7: Route 5 A&B Schedule
# of
Bu
s
e
s
DTC
(Depart)
PAC
(Arrive)
PAC
(Depart)
Foothill @
University
Descanso
@ LOVR
LOVR @
Oceanaire
LOVR @
Irish Hills
Promena
de
South @
Parker
Amtrak
Station
DTC
(Arrival)
A6:20 AM6:21 AM6:24 AM6:32 AM6:36 AM6:41 AM6:47 AM
A7:50 AM7:58 AM8:03 AM8:11 AM8:20 AM8:21 AM8:24 AM8:32 AM8:36 AM8:41 AM8:47 AM
B8:20 AM8:28 AM8:33 AM8:41 AM8:50 AM8:51 AM8:54 AM9:02 AM9:06 AM9:11 AM9:17 AM
A8:50 AM8:58 AM9:03 AM9:11 AM9:20 AM9:21 AM9:24 AM9:32 AM9:36 AM9:41 AM9:47 AM
B9:20 AM9:28 AM9:33 AM9:41 AM9:50 AM9:51 AM9:54 AM10:02 AM10:06 AM10:11 AM10:17 AM
A9:50 AM9:58 AM10:03 AM10:11 AM10:20 AM10:21 AM10:24 AM10:32 AM10:36 AM10:41 AM10:47 AM
B10:20 AM10:28 AM10:33 AM10:41 AM10:50 AM10:51 AM10:54 AM11:02 AM11:06 AM11:11 AM11:17 AM
A10:50 AM10:58 AM11:03 AM11:11 AM11:20 AM11:21 AM11:24 AM11:32 AM11:36 AM11:41 AM11:47 AM
B11:20 AM11:28 AM11:33 AM11:41 AM11:50 AM11:51 AM11:54 AM12:02 PM12:06 PM12:11 PM12:17 PM
A11:50 AM11:58 AM12:03 PM12:11 PM12:20 PM12:21 PM ‐12:32 PM12:36 PM12:41 PM12:47 PM
B12:20 PM12:28 PM12:33 PM12:41 PM12:50 PM12:51 PM12:54 PM1:02 PM1:06 PM1:11 PM1:17 PM
A12:50 PM12:58 PM1:03 PM1:11 PM1:20 PM1:21 PM ‐1:32 PM1:36 PM1:41 PM1:47 PM
B1:20 PM1:28 PM1:33 PM1:41 PM1:50 PM1:51 PM1:54 PM2:02 PM2:06 PM2:11 PM2:17 PM
A1:50 PM1:58 PM2:03 PM2:11 PM2:20 PM2:21 PM ‐2:32 PM2:36 PM2:41 PM2:47 PM
B2:20 PM2:28 PM2:33 PM2:41 PM2:50 PM2:51 PM2:54 PM3:02 PM3:06 PM3:11 PM3:17 PM
A2:50 PM2:58 PM3:03 PM3:11 PM3:20 PM3:21 PM ‐3:32 PM3:36 PM3:41 PM3:47 PM
B3:20 PM3:28 PM3:33 PM3:41 PM3:50 PM3:51 PM3:54 PM4:02 PM4:06 PM4:11 PM4:17 PM
A3:50 PM3:58 PM4:03 PM4:11 PM4:20 PM4:21 PM ‐4:32 PM4:36 PM4:41 PM4:47 PM
B4:20 PM4:28 PM4:33 PM4:41 PM4:50 PM4:51 PM4:54 PM5:02 PM5:06 PM5:11 PM5:17 PM
A4:50 PM4:58 PM5:03 PM5:11 PM5:20 PM5:21 PM ‐5:32 PM5:36 PM5:41 PM5:47 PM
B5:20 PM5:28 PM5:33 PM5:41 PM5:50 PM5:51 PM5:54 PM6:02 PM6:06 PM6:11 PM6:17 PM
A5:50 PM5:58 PM6:03 PM6:11 PM6:20 PM6:21 PM ‐6:32 PM6:36 PM6:41 PM6:47 PM
A6:20 PM6:28 PM6:33 PM6:41 PM6:50 PM6:51 PM6:54 PM7:02 PM7:06 PM7:11 PM7:17 PM
A6:50 PM6:58 PM7:03 PM7:11 PM7:20 PM7:21 PM ‐7:32 PM7:36 PM7:41 PM7:46 PM
7:50 PM7:58 PM8:03 PM8:11 PM8:20 PM8:21 PM
Route 5BApproximate Weekend Schedule
Route 5 A & B
slotransit.org
Part Four: Appendices | Page 65
Table 8: Route 6A Schedule
#
of
Bu
s
e
s
Kennedy
Library
Patricia @
Foothill
Ramona @
Palomar
Casa @
Deseret
Kennedy
Library
17:16 AM7:19 AM7:25 AM7:29 AM
18:10 AM8:16 AM8:19 AM8:25 AM8:29 AM
18:40 AM8:46 AM8:49 AM8:55 AM8:59 AM
19:10 AM9:16 AM9:19 AM9:25 AM9:29 AM
19:40 AM9:46 AM9:49 AM9:55 AM9:59 AM
110:10 AM10:16 AM10:19 AM10:25 AM10:29 AM
110:40 AM10:46 AM10:49 AM10:55 AM10:59 AM
111:10 AM11:16 AM11:19 AM11:25 AM11:29 AM
111:40 AM11:46 AM11:49 AM11:55 AM11:59 AM
112:10 PM12:16 PM12:19 PM12:25 PM12:29 PM
112:40 PM12:46 PM12:49 PM12:55 PM12:59 PM
11:10 PM1:16 PM1:19 PM1:25 PM1:29 PM
11:40 PM1:46 PM1:49 PM1:55 PM1:59 PM
12:10 PM2:16 PM2:19 PM2:25 PM2:29 PM
12:40 PM2:46 PM2:49 PM2:55 PM2:59 PM
13:10 PM3:16 PM3:19 PM3:25 PM3:29 PM
13:40 PM3:46 PM3:49 PM3:55 PM3:59 PM
14:10 PM4:16 PM4:19 PM4:25 PM4:29 PM
14:40 PM4:46 PM4:49 PM4:55 PM4:59 PM
15:10 PM5:16 PM5:19 PM5:25 PM5:29 PM
15:40 PM5:46 PM5:49 PM5:55 PM5:59 PM
No Weekend Service
Route 6A
slotransit.org
Part Four: Appendices | Page 66
Table 9: Route 6B Schedule
#
of
Bu
s
e
s
Kennedy
Library
DTC
(Arrive)
DTC
(Depart)
California
@ Taft
Kennedy
Library
17:02 AM7:09 AM7:15 AM7:20 AM7:26 AM
17:32 AM7:39 AM7:45 AM7:50 AM7:56 AM
18:02 AM8:09 AM8:15 AM8:20 AM8:26 AM
18:32 AM8:39 AM8:45 AM8:50 AM8:56 AM
19:02 AM9:09 AM9:15 AM9:20 AM9:26 AM
19:32 AM9:39 AM9:45 AM9:50 AM9:56 AM
110:02 AM10:09 AM10:15 AM10:20 AM10:26 AM
110:32 AM10:39 AM10:45 AM10:50 AM10:56 AM
111:02 AM11:09 AM11:15 AM11:20 AM11:26 AM
111:32 AM11:39 AM11:45 AM11:50 AM11:56 AM
112:02 PM12:09 PM12:15 PM12:20 PM12:26 PM
112:32 PM12:39 PM12:45 PM12:50 PM12:56 PM
11:02 PM1:09 PM1:15 PM1:20 PM1:26 PM
11:32 PM1:39 PM1:45 PM1:50 PM1:56 PM
12:02 PM2:09 PM2:15 PM2:20 PM2:26 PM
12:32 PM2:39 PM2:45 PM2:50 PM2:56 PM
13:02 PM3:09 PM3:15 PM3:20 PM3:26 PM
13:32 PM3:39 PM3:45 PM3:50 PM3:56 PM
14:02 PM4:09 PM4:15 PM4:20 PM4:26 PM
14:32 PM4:39 PM4:45 PM4:50 PM4:56 PM
15:02 PM5:09 PM5:15 PM5:20 PM5:26 PM
15:32 PM5:39 PM5:45 PM5:50 PM5:56 PM
16:02 PM6:09 PM
Route 6B
slotransit.org
Part Four: Appendices | Page 67
Table 10: Route 6 A/B Schedule
# of
Bu
s
e
s
Kennedy
Library
Patricia @
Foothill
Ramona @
Palomar
Casa @
Deseret
Kennedy
Library
Kennedy
Library
DTC
(Arrive)
DTC
(Depart)
California
@ Taft
Kennedy
Library
8:45 AM8:50 AM8:56 AM
A9:10 AM9:16 AM9:19 AM9:25 AM9:29 AM9:32 AM9:39 AM9:45 AM9:50 AM9:56 AM
A10:10 AM10:16 AM10:19 AM10:25 AM10:29 AM10:32 AM10:39 AM10:45 AM10:50 AM10:56 AM
A11:10 AM11:16 AM11:19 AM11:25 AM11:29 AM11:32 AM11:39 AM11:45 AM11:50 AM11:56 AM
A12:10 PM12:16 PM12:19 PM12:25 PM12:29 PM12:32 PM12:39 PM12:45 PM12:50 PM12:56 PM
A1:10 PM1:16 PM1:19 PM1:25 PM1:29 PM1:32 PM1:39 PM1:45 PM1:50 PM1:56 PM
A2:10 PM2:16 PM2:19 PM2:25 PM2:29 PM2:32 PM2:39 PM2:45 PM2:50 PM2:56 PM
A3:10 PM3:16 PM3:19 PM3:25 PM3:29 PM3:32 PM3:39 PM3:45 PM3:50 PM3:56 PM
A4:10 PM4:16 PM4:19 PM4:25 PM4:29 PM4:32 PM4:39 PM4:45 PM4:50 PM4:56 PM
A5:10 PM5:16 PM5:19 PM5:25 PM5:29 PM5:32 PM5:39 PM5:45 PM5:50 PM5:56 PM
A6:10 PM6:16 PM6:19 PM6:25 PM6:29 PM6:32 PM6:39 PM6:45 PM6:50 PM6:56 PM
A7:10 PM7:16 PM7:19 PM7:25 PM7:29 PM7:32 PM7:39 PM7:45 PM7:50 PM7:56 PM
A8:10 PM8:16 PM8:19 PM8:25 PM8:29 PM8:32 PM8:39 PM8:45 PM8:50 PM8:56 PM
A9:10 PM9:16 PM9:19 PM9:25 PM9:29 PM9:32 PM9:39 PM9:45 PM9:50 PM9:56 PM
A10:10 PM10:16 PM10:19 PM10:25 PM10:29 PM10:32 PM10:39 PM10:45 PM10:50 PM10:56 PM
Saturdays And Summer schedule starting Mid June till Labor day
Route 6 A/B
slotransit.org
Part Four: Appendices | Page 68
Table 11: Trolley Schedule
#
of
Bu
s
e
s
La Cuesta
Inn
Monterey
@ Osos
Marsh @
Chorro
Monterey @
California
A5:00:00 PM5:03 PM5:07 PM5:13 PM
A5:20:00 PM5:23 PM5:27 PM5:33 PM
A5:40:00 PM5:43 PM5:47 PM5:53 PM
A6:00:00 PM6:03 PM6:07 PM6:13 PM
A6:20:00 PM6:23 PM6:27 PM6:33 PM
A6:40:00 PM6:43 PM6:47 PM6:53 PM
A7:10:00 PM7:13 PM7:17 PM7:23 PM
A7:30:00 PM7:33 PM7:37 PM7:43 PM
A7:50:00 PM7:53 PM7:57 PM8:03 PM
A8:10:00 PM8:13 PM8:17 PM8:23 PM
A8:30:00 PM8:33 PM8:37 PM8:43 PM
A8:50:00 PM8:53 PM8:57 PM9:03 PM
Thursdays, Year‐Round
Fridays, June through Labor Day
Saturdays, April through October
Trolley
slotransit.org
Part Four: Appendices | Page 69
Table 12: Tripper Schedule
#
of
Bu
s
e
s
DTC
(Depart)SLO High
DTC
(Arrive)
A8:30:00 AM8:40 AM8:50 AM
A9:01:00 AM9:11 AM9:21 AM
A9:25:00 AM9:35 AM9:45 AM
A7:06:00 AM7:16 AM7:26 AM
A7:36:00 AM7:46 AM7:56 AM
A9:06:00 AM9:16 AM9:26 AM
A3:00:00 PM3:10 PM3:20 PM
A3:35:00 PM3:45 PM3:55 PM
A4:00:00 PM4:10 PM4:20 PM
No Weekend Service
Tripper
PM, Monday ‐ Friday
AM, Monday
AM, Tuesday ‐ Friday
slotransit.org
Part Four: Appendices | Page 70
Appendix B: Fleet Roster
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Appendix C: Short Range Transit Plan
Please visit: http://www.slocity.org/government/department‐directory/public‐works/slo‐transit/short‐range‐
transit‐plan for the most recent information for the SLO Transit SRTP
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Appendix D: City Provided Equipment
Inventory Report
Vehicle Nr Location Tag Number Make Model Acquired Cost Asset Serial Nr
0000Classroom13832GFIOdyssey$13,675.32Fare BoxOD027844
Maintenance Bays14837Sefac$6,037.00Jacks
13651Safec$6,037.00SAFEC Jacks
14840Safec$6,037.00Jack
13655Safec$6,037.00Jack
13654Safec$6,037.00Jack
14838Sefac$6,037.00Jacks
13652Safec$6,037.00Jacks
14839Safec$6,037.00Jacks
On Vehicle13805GFIOdyssey$13,675.32Fare Box
13829GFIOdyssey$13,675.32Fare box
13806GFIOdyssey$13,675.32Fare box
13807GFIOdyssey$13,675.32Fare box
13808GFIOdyssey$13,675.32Fare box
13809GFIOdyssey$13,675.32Fare box
Parts Room13824GFIOdyssey$13,675.32Fare BoxOD027842
13823GFIOdyssey$13,675.32Fare BoxOD027846
DRIAVL Equipment$10,359.75DR600
0151Bus Parking0201Gillig$254,799.00Transit Coach ‐ Low Floor VIN: 15GGD181011070768
On Vehicle14814GFIOdyssey$13,675.32Fare BoxOD027857
0152Bus Parking0202Gillig$254,799.00Transit Coach ‐ Low Floor VIN: 15GGD181011070769
On Vehicle14913GFIOdyssey$13,675.32Fare BoxOD27858
0153Bus Parking0203Gillig$254,799.00Transit Coach ‐ Low Floor VIN: 15GGD181011070770
On Vehicle14822GFIOdyssey$13,675.32Fare BoxOD027843
0754Bus Parking0861Gillig$280,850.00Transit Coach ‐ Low Floor VIN: 15GGE271X71091169
On Vehicle13837GFIOdyssey$13,675.32Fare BoxOD027843
0755Bus Parking0824Gillig$346,022.50Transit Coach ‐ Low Floor VIN: 15GGE271671091170
On Vehicle14916GFIOdyssey$13,675.32Fare BoxOD027851
0856Bus Parking0911Double K$169,737.50Trolley Bus 56VIN: 5B4MP67G993435801
On Vehicle13841GFIOdyssey$13,675.32Fare BoxOD027847
0857Bus Parking0912Gillig$374,248.75Transit Coach ‐ Low Floor VIN: 15GGD271281176106
On Vehicle14854GFIOdyssey$13,675.32Fare BoxOD027849
0858Bus Parking0913Gillig$373,782.50Transit Coach ‐ Low Floor VIN: 15GGD271281176107
On Vehicle14848GFIOdyssey$13,675.32Fare BoxOD027845
0859Bus Parking0914Gillig$360,830.02Transit Coach ‐ Low Floor 15GGD271281176108
On Vehicle14494DRI$83,205.00Equipment (DR600's & Modems)
14850GFIOdyssey$13,675.32Fare BoxOD27840
0860Bus Parking0915Gillig$360,830.02Transit Coach ‐ Low Floor VIN: 15GGD271281176109
On Vehicle14818GFIOdyssey$13,675.32Fare BoxOD027848
0861Bus Parking0916Gillig$355,012.00Transit Coach ‐ Low Floor VIN: 15GGB271581176110
On Vehicle14844GFIOdyssey$13,675.32Fare BoxOD27856
0862Bus Parking0917Gillig$355,012.00Transit Coach ‐ Low Floor VIN: 15GGB271581176111
On Vehicle14920GFIOdyssey$13,675.32Fare BoxOD27852
0963Bus Parking1106Alexander DennisDD Model$843,369.00Transit Coach ‐ Low Floor SFET2A7239GN12228
1202Bus Parking13424PanasonicCDCE$6,604.60Dell Laptop Win7 Intel Core 15AB23456789OCTSA23281
Outside MaintenanceDodgeCaravan$40,091.72Road Supervisor Vehicle2D4RN4DG7BR794983
1264Bus Parking1204Gillig$414,700.00Transit Coach ‐ Low Floor VIN: 15GGD271XC1176686
1365Bus Parking1303Gillig$431,552.56Transit Coach ‐ Low Floor VIN: 15GGD2714D1180508
1366Bus Parking1304Gillig$428,721.44Transit Coach ‐ Low Floor VIN: 15GGD2716D1181949
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Appendix E: Transit Operations & Maintenance Facility
The Transit Operations & Maintenance Facility was originally constructed in 1976 and is located at 29 Prado
Road, San Luis Obispo, CA 93401. The facility consists of 10,600 square feet of bus bay parking along with a
5,480 square foot combined administration and maintenance building, located at the center of the
property. The building is comprised of 1,650 square feet of administrative offices and 3,830 square feet of
maintenance bays.
The administrative office portion of the building is separated into three primary rooms. One room is used for the
General Manager, the second is shared by Dispatch and Road Supervisors and the third room is a driver
assembly (break) room. The remainder of the building consists of gender‐specific restroom/locker rooms.
A potential remodel of a portion of the building space has been identified to create a classroom. Within the
maintenance portion of the building there is a parts room that the City is currently designing to be converted
into the classroom. At this time, the completion of this work is unknown.
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Appendix F: Federal Clauses
1. Fly America Requirements
49 U.S.C. §40118
41 CFR Part 301‐10
The Fly America requirements apply to the transportation of persons or property, by air, between a place in the
U.S. and a place outside the U.S., or between places outside the U.S., when the FTA will participate in the costs
of such air transportation. Transportation on a foreign air carrier is permissible when provided by a foreign air
carrier under a code share agreement when the ticket identifies the U.S. air carrier's designator code and flight
number. Transportation by a foreign air carrier is also permissible if there is a bilateral or multilateral air
transportation agreement to which the U.S. Government and a foreign government are parties and which the
Federal DOT has determined meets the requirements of the Fly America Act.
Micro‐purchases are defined as those purchases under $2,500. These requirements do not apply to micro‐
purchases.
The Fly America requirements flow down from FTA recipients and subrecipients to first tier contractors, who are
responsible for ensuring that lower tier contractors and subcontractors are in compliance.
The relevant statutes and regulations do not mandate any specified clause or language. FTA proposes the
following language.
Fly America Requirements ‐ The Contractor agrees to comply with 49 U.S.C. 40118 (the "Fly America"
Act) in accordance with the General Services Administration's regulations at 41 CFR Part 301‐10, which
provide that recipients and subrecipients of Federal funds and their contractors are required to use U.S.
Flag air carriers for U.S Government‐financed international air travel and transportation of their
personal effects or property, to the extent such service is available, unless travel by foreign air carrier is
a matter of necessity, as defined by the Fly America Act. The Contractor shall submit, if a foreign air
carrier was used, an appropriate certification or memorandum adequately explaining why service by a
U.S. flag air carrier was not available or why it was necessary to use a foreign air carrier and shall, in any
event, provide a certificate of compliance with the Fly America requirements. The Contractor agrees to
include the requirements of this section in all subcontracts that may involve international air
transportation.
2. Buy America Requirements
49 U.S.C. 5323(j)
49 CFR Part 661
The Buy America requirements apply to the following types of contracts: Construction Contracts and Acquisition
of Goods or Rolling Stock (valued at more than $100,000).
The Buy America requirements flow down from FTA recipients and subrecipients to first tier contractors, who
are responsible for ensuring that lower tier contractors and subcontractors are in compliance. The $100,000
threshold applies only to the grantee contract, subcontracts under that amount are subject to Buy America.
The Buy America regulation, at 49 CFR 661.13, requires notification of the Buy America requirements in FTA‐
funded contracts, but does not specify the language to be used. The following language has been developed by
FTA.
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Buy America ‐ The contractor agrees to comply with 49 U.S.C. 5323(j) and 49 C.F.R. Part 661, which
provide that Federal funds may not be obligated unless steel, iron, and manufactured products used in
FTA‐funded projects are produced in the United States, unless a waiver has been granted by FTA or the
product is subject to a general waiver. General waivers are listed in 49 C.F.R. 661.7, and include final
assembly in the United States for 15 passenger vans and 15 passenger wagons produced by Chrysler
Corporation, and microcomputer equipment and software. Separate requirements for rolling stock are
set out at 49 U.S.C. 5323(j)(2)(C) and 49 C.F.R. 661.11. Rolling stock must be assembled in the United
States and have a 60 percent domestic content.
A bidder or offeror must submit to the FTA recipient the appropriate Buy America certification (below)
with all bids or offers on FTA‐funded contracts, except those subject to a general waiver. Bids or offers
that are not accompanied by a completed Buy America certification must be rejected as nonresponsive.
This requirement does not apply to lower tier subcontractors.
Certification requirement for procurement of steel, iron, or manufactured products.
Certificate of Compliance with 49 U.S.C. 5323(j)(1)
The bidder or offeror hereby certifies that it will meet the requirements of 49 U.S.C. 5323(j)(1) and the
applicable regulations in 49 CFR Part 661.5.
Date: ___________________________________
Signature: ___________________________________
Company Name: ___________________________________
Title: ___________________________________
Certificate of Non‐Compliance with 49 U.S.C. 5323(j)(1)
The bidder or offeror hereby certifies that it cannot comply with the requirements of 49 U.S.C. 5323(j)(1)
and 49 C.F.R. 661.5, but it may qualify for an exception pursuant to 49 U.S.C. 5323(j)(2)(A), 5323(j)(2)(B),
or 5323(j)(2)(D), and 49 C.F.R. 661.7.
Date: ___________________________________
Signature: ___________________________________
Company Name: ___________________________________
Title: ___________________________________
Certification requirement for procurement of buses, other rolling stock and associated equipment.
Certificate of Compliance with 49 U.S.C. 5323(j)(2)(C).
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The bidder or offeror hereby certifies that it will comply with the requirements of 49 U.S.C. 5323(j)(2)(C)
and the regulations at 49 C.F.R. Part 661.11.
Date: ___________________________________
Signature: ___________________________________
Company Name: ___________________________________
Title: ___________________________________
Certificate of Non‐Compliance with 49 U.S.C. 5323(j)(2)(C)
The bidder or offeror hereby certifies that it cannot comply with the requirements of 49 U.S.C.
5323(j)(2)(C) and 49 C.F.R. 661.11, but may qualify for an exception pursuant to 49 U.S.C. 5323(j)(2)(A),
5323(j)(2)(B), or 5323(j)(2)(D), and 49 C.F.R. 661.7.
Date: ___________________________________
Signature: ___________________________________
Company Name: ___________________________________
Title: ___________________________________
3. Charter Bus Requirements
49 U.S.C. 5323(d)
49 CFR Part 604
The Charter Bus requirements apply to the following type of contract: Operational Service Contracts.
Micro‐purchases are defined as those purchases under $2,500. These requirements do not apply to micro‐
purchases.
The Charter Bus requirements flow down from FTA recipients and subrecipients to first tier service contractors.
The relevant statutes and regulations do not mandate any specific clause or language. The following clause has
been developed by FTA.
Charter Service Operations ‐ The contractor agrees to comply with 49 U.S.C. 5323(d) and 49 CFR Part
604, which provides that recipients and subrecipients of FTA assistance are prohibited from providing
charter service using federally funded equipment or facilities if there is at least one private charter
operator willing and able to provide the service, except under one of the exceptions at 49 CFR 604.9.
Any charter service provided under one of the exceptions must be "incidental," i.e., it must not interfere
with or detract from the provision of mass transportation.
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4. School Bus Requirements
49 U.S.C. 5323(F)
49 CFR Part 605
The School Bus requirements apply to the following type of contract: Operational Service Contracts.
The School Bus requirements flow down from FTA recipients and subrecipients to first tier service contractors.
The relevant statutes and regulations do not mandate any specific clause or language. The following clause has
been developed by FTA.
School Bus Operations ‐ Pursuant to 69 U.S.C. 5323(f) and 49 CFR Part 605, recipients and subrecipients
of FTA assistance may not engage in school bus operations exclusively for the transportation of students
and school personnel in competition with private school bus operators unless qualified under specified
exemptions. When operating exclusive school bus service under an allowable exemption, recipients and
subrecipients may not use federally funded equipment, vehicles, or facilities.
5. Cargo Preference Requirements
46 U.S.C. 1241
46 CFR Part 381
The Cargo Preference requirements apply to all contracts involving equipment, materials, or commodities which
may be transported by ocean vessels.
Micro‐purchases are defined as those purchases under $2,500. These requirements do not apply to micro‐
purchases.
The Cargo Preference requirements apply to all subcontracts when the subcontract may be involved with the
transport of equipment, material, or commodities by ocean vessel.
The MARAD regulations at 46 CFR 381.7 contain suggested contract clauses. The following language is proffered
by FTA.
Cargo Preference ‐ Use of United States‐Flag Vessels ‐ The contractor agrees: a. to use privately owned
United States‐Flag commercial vessels to ship at least 50 percent 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 United States‐Flag commercial vessels; b. to furnish within 20
working days following the date of loading for shipments originating within the United States or within
30 working days following the date of leading for shipments originating outside the United States, a
legible copy of a rated, "on‐board" commercial ocean bill‐of ‐lading in English for each shipment of cargo
described in the preceding paragraph to the Division of National Cargo, Office of Market Development,
Maritime Administration, Washington, DC 20590 and to the FTA recipient (through the contractor in the
case of a subcontractor's bill‐of‐lading.) c. to include these requirements in all subcontracts issued
pursuant to this contract when the subcontract may involve the transport of equipment, material, or
commodities by ocean vessel.
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6. Seismic Safety Requirements
42 U.S.C. 7701 et seq. 49
CFR Part 41
The Seismic Safety requirements apply only to contracts for the construction of new buildings or additions to
existing buildings.
Micro‐purchases are defined as those purchases under $2,500. These requirements do not apply to micro‐
purchases.
The Seismic Safety requirements flow down from FTA recipients and subrecipients to first tier contractors to
assure compliance, with the applicable building standards for Seismic Safety, including the work performed by
all subcontractors.
The regulations do not provide suggested language for third‐party contract clauses. The following language has
been developed by FTA.
Seismic Safety ‐ The contractor agrees that any new building or addition to an existing building will be
designed and constructed in accordance with the standards for Seismic Safety required in Department
of Transportation Seismic Safety Regulations 49 CFR Part 41 and will certify to compliance to the extent
required by the regulation. The contractor also agrees to ensure that all work performed under this
contract including work performed by a subcontractor is in compliance with the standards required by
the Seismic Safety Regulations and the certification of compliance issued on the project.
7. Energy Conservation Requirements
42 U.S.C. 6321 et seq.
49 CFR Part 18
The Energy Conservation requirements are applicable to all contracts.
Micro‐purchases are defined as those purchases under $2,500. These requirements do not apply to micro‐
purchases.
The Energy Conservation requirements extend to all third party contractors and their contracts at every tier and
subrecipients and their subagreements at every tier.
No specific clause is recommended in the regulations because the Energy Conservation requirements are so
dependent on the state energy conservation plan. The following language has been developed by FTA.
Energy Conservation ‐ The contractor agrees to comply with mandatory standards and policies relating
to energy efficiency which are contained in the state energy conservation plan issued in compliance with
the Energy Policy and Conservation Act.
8. Clean Water Requirements
33 U.S.C. 1251
The Clean Water requirements apply to each contract and subcontract which exceeds $100,000.
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The Clean Water requirements flow down to FTA recipients and subrecipients at every tier.
While no mandatory clause is contained in the Federal Water Pollution Control Act, as amended, the following
language developed by FTA contains all the mandatory requirements.
Clean Water ‐ (1) The Contractor agrees to comply with all applicable standards, orders or regulations
issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et seq . The
Contractor agrees to report each violation to the Purchaser and understands and agrees that the
Purchaser will, in turn, report each violation as required to assure notification to FTA and the
appropriate EPA Regional Office.
(2) The Contractor also agrees to include these requirements in each subcontract exceeding $100,000
financed in whole or in part with Federal assistance provided by FTA.
9. Bus Testing
49 U.S.C. 5318(e)
49 CFR Part 665
The Bus Testing requirements pertain only to the acquisition of Rolling Stock/Turnkey.
Micro‐purchases are defined as those purchases under $2,500. These requirements do not apply to micro‐
purchases.
The Bus Testing requirements should not flow down, except to the turnkey contractor as stated in Master
Agreement.
Clause and language therein are merely suggested. 49 CFR Part 665 does not contain specific language to be
included in third party contracts but does contain requirements applicable to subrecipients and third party
contractors. Bus Testing Certification and language therein are merely suggested.
Bus Testing ‐ The Contractor [Manufacturer] agrees to comply with 49 U.S.C. A 5323(c) and FTA's
implementing regulation at 49 CFR Part 665 and shall perform the following:
1. A manufacturer of a new bus model or a bus produced with a major change in components or
configuration shall provide a copy of the final test report to the recipient at a point in the
procurement process specified by the recipient which will be prior to the recipient's final
acceptance of the first vehicle.
2. A manufacturer who releases a report under paragraph 1 above shall provide notice to the
operator of the testing facility that the report is available to the public.
3. If the manufacturer represents that the vehicle was previously tested, the vehicle being sold
should have the identical configuration and major components as the vehicle in the test report,
which must be provided to the recipient prior to recipient's final acceptance of the first vehicle.
If the configuration or components are not identical, the manufacturer shall provide a
description of the change and the manufacturer's basis for concluding that it is not a major
change requiring additional testing.
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4. If the manufacturer represents that the vehicle is "grandfathered" (has been used in mass
transit service in the United States before October 1, 1988, and is currently being produced
without a major change in configuration or components), the manufacturer shall provide the
name and address of the recipient of such a vehicle and the details of that vehicle's
configuration and major components.
CERTIFICATION OF COMPLIANCE WITH FTA'S BUS TESTING REQUIREMENTS
The undersigned [Contractor/Manufacturer] certifies that the vehicle offered in this procurement complies with
49 U.S.C. A 5323(c) and FTA's implementing regulation at 49 CFR Part 665.
The undersigned understands that misrepresenting the testing status of a vehicle acquired with Federal financial
assistance may subject the undersigned to civil penalties as outlined in the Department of Transportation's
regulation on Program Fraud Civil Remedies, 49 CFR Part 31. In addition, the undersigned understands that FTA
may suspend or debar a manufacturer under the procedures in 49 CFR Part 29.
Date: ___________________________________
Signature: ___________________________________
Company Name: ___________________________________
Title: ___________________________________
10. Pre‐award and Post Delivery Audits Requirements
49 U.S.C. 5323
49 CFR Part 663
These requirements apply only to the acquisition of Rolling Stock/Turnkey.
Micro‐purchases are defined as those purchases under $2,500. These requirements do not apply to micro‐
purchases.
These requirements should not flow down, except to the turnkey contractor as stated in Master Agreement.
Clause and language therein are merely suggested. 49 C.F.R. Part 663 does not contain specific language
to be included in third party contracts but does contain requirements applicable to subrecipients and
third party contractors.
Buy America certification is mandated under FTA regulation, "Pre‐Award and Post‐Delivery Audits of
Rolling Stock Purchases," 49 C.F.R. 663.13.
Specific language for the Buy America certification is mandated by FTA regulation,
"Buy America Requirements‐‐Surface Transportation Assistance Act of 1982, as amended," 49 C.F.R. 661.12, but
has been modified to include FTA's Buy America requirements codified at 49 U.S.C. A 5323(j).
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Pre‐Award and Post‐Delivery Audit Requirements ‐ The Contractor agrees to comply with 49 U.S.C. § 5323(l) and
FTA's implementing regulation at 49 C.F.R. Part 663 and to submit the following certifications:
1. Buy America Requirements: The Contractor shall complete and submit a declaration certifying either
compliance or noncompliance with Buy America. If the Bidder/Offeror certifies compliance with Buy
America, it shall submit documentation which lists 1) component and subcomponent parts of the rolling
stock to be purchased identified by manufacturer of the parts, their country of origin and costs; and 2)
the location of the final assembly point for the rolling stock, including a description of the activities that
will take place at the final assembly point and the cost of final assembly.
2. Solicitation Specification Requirements: The Contractor shall submit evidence that it will be capable of
meeting the bid specifications.
3. Federal Motor Vehicle Safety Standards (FMVSS): The Contractor shall submit 1) manufacturer's FMVSS
self‐certification sticker information that the vehicle complies with relevant FMVSS or 2) manufacturer's
certified statement that the contracted buses will not be subject to FMVSS regulations.
BUY AMERICA CERTIFICATE OF COMPLIANCE WITH FTA REQUIREMENTS
FOR BUSES, OTHER ROLLING STOCK, OR ASSOCIATED EQUIPMENT
(To be submitted with a bid or offer exceeding the small purchase threshold for Federal assistance programs,
currently set at $100,000.)
Certificate of Compliance
The bidder hereby certifies that it will comply with the requirements of 49 U.S.C. Section 5323(j)(2)(C), Section
165(b)(3) of the Surface Transportation Assistance Act of 1982, as amended, and the regulations of 49 C.F.R.
661.11:
Date: ___________________________________
Signature: ___________________________________
Company Name: ___________________________________
Title: ___________________________________
Certificate of Non‐Compliance
The bidder hereby certifies that it cannot comply with the requirements of 49 U.S.C. Section 5323(j)(2)(C) and
Section 165(b)(3) of the Surface Transportation Assistance Act of 1982, as amended, but may qualify for an
exception to the requirements consistent with 49 U.S.C. Sections 5323(j)(2)(B) or (j)(2)(D), Sections 165(b)(2) or
(b)(4) of the Surface Transportation Assistance Act, as amended, and regulations in 49 C.F.R. 661.7.
Date: ___________________________________
Signature: ___________________________________
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Company Name: ___________________________________
Title: ___________________________________
11. Lobbying
31 U.S.C. 1352
49 CFR Part 19
49 CFR Part 20
The Lobbying requirements apply to Construction/Architectural and Engineering/Acquisition of Rolling
Stock/Professional Service Contract/Operational Service Contract/Turnkey contracts.
Micro‐purchases are defined as those purchases under $2,500. These requirements do not apply to micro‐
purchases.
The Lobbying requirements mandate the maximum flow down, pursuant to Byrd Anti‐Lobbying Amendment, 31
U.S.C. § 1352(b)(5) and 49 C.F.R. Part 19, Appendix A, Section 7.
Clause and specific language therein are mandated by 49 CFR Part 19, Appendix A.
Modifications have been made to the Clause pursuant to Section 10 of the Lobbying Disclosure Act of
1995, P.L. 104‐65 [to be codified at 2 U.S.C. § 1601, et seq. ]
Lobbying Certification and Disclosure of Lobbying Activities for third party contractors are mandated by
31 U.S.C. 1352(b)(5), as amended by Section 10 of the Lobbying Disclosure Act of 1995, and DOT
implementing regulation, "New Restrictions on Lobbying," at 49 CFR § 20.110(d)
Language in Lobbying Certification is mandated by 49 CFR Part 19, Appendix A, Section 7, which provides
that contractors file the certification required by 49 CFR Part 20, Appendix A.
Modifications have been made to the Lobbying Certification pursuant to Section 10 of the Lobbying
Disclosure Act of 1995.
Use of "Disclosure of Lobbying Activities," Standard Form‐LLL set forth in Appendix B of 49 CFR Part 20,
as amended by "Government wide Guidance For New Restrictions on Lobbying," 61 Fed. Reg. 1413
(1/19/96) is mandated by 49 CFR Part 20, Appendix A.
Byrd Anti‐Lobbying Amendment, 31 U.S.C. 1352, as amended by the Lobbying Disclosure Act of 1995, P.L. 104‐65
[to be codified at 2 U.S.C. § 1601, et seq.] ‐ Contractors who apply or bid for an award of $100,000 or more 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‐
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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 recipient.
APPENDIX A, 49 CFR PART 20‐‐CERTIFICATION REGARDING LOBBYING
Certification for Contracts, Grants, Loans, and Cooperative Agreements
(To be submitted with each bid or offer exceeding $100,000)
The undersigned [Contractor] certifies, to the best of his or her knowledge and belief, that:
1. No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or employee of
an agency, a Member of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal contract, the making of any
Federal grant, the making of any Federal loan, the entering into of any cooperative agreement,
and the extension, continuation, renewal, amendment, or modification of any Federal contract,
grant, loan, or cooperative agreement.
2. If any funds other than Federal appropriated funds have been paid or will be paid to any person
for making lobbying contacts to an officer or employee of any agency, a Member of Congress, an
officer or employee of Congress, or an employee of a Member of Congress in connection with
this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete
and submit Standard Form‐‐LLL, "Disclosure Form to Report Lobbying," in accordance with its
instructions [as amended by "Government wide Guidance for New Restrictions on Lobbying," 61
Fed. Reg. 1413 (1/19/96). Note: Language in paragraph (2) herein has been modified in
accordance with Section 10 of the Lobbying Disclosure Act of 1995 (P.L. 104‐65, to be codified at
2 U.S.C. 1601, et seq .)]
3. The undersigned shall require that the language of this certification be included in the award
documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose
accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was
made or entered into. Submission of this certification is a prerequisite for making or entering into this
transaction imposed by 31, U.S.C. § 1352 (as amended by the Lobbying Disclosure Act of 1995). Any person who
fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more
than $100,000 for each such failure.
[Note: Pursuant to 31 U.S.C. § 1352(c)(1)‐(2)(A), any person who makes a prohibited expenditure or fails to file
or amend a required certification or disclosure form shall be subject to a civil penalty of not less than $10,000
and not more than $100,000 for each such expenditure or failure.]
The Contractor, ___________________, certifies or affirms the truthfulness and accuracy of each statement of
its certification and disclosure, if any. In addition, the Contractor understands and agrees that the provisions of
31 U.S.C. A 3801, et seq., apply to this certification and disclosure, if any.
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Signature of Contractor's Authorized Official ___________________________________
Name and Title of Contractor's Authorized Official ___________________________________
Date ___________________________________
12. Access to Records and Reports
49 U.S.C. 5325
18 CFR 18.36 (i)
49 CFR 633.17
Reference Chart "Requirements for Access to Records and Reports by Type of Contracts"
Micro‐purchases are defined as those purchases under $2,500. These requirements do not apply to micro‐
purchases.
FTA does not require the inclusion of these requirements in subcontracts.
The specified language is not mandated by the statutes or regulations referenced, but the language provided
paraphrases the statutory or regulatory language.
The specified language is not mandated by the statutes or regulations referenced, but the language provided
paraphrases the statutory or regulatory language.
Access to Records ‐ The following access to records requirements apply to this Contract:
1. Where the Purchaser is not a State but a local government and is the FTA Recipient or a subgrantee of
the FTA Recipient in accordance with 49 C. F. R. 18.36(i), the Contractor agrees to provide the Purchaser,
the FTA Administrator, the Comptroller General of the United States or any of their authorized
representatives access to any books, documents, papers and records of the Contractor which are
directly pertinent to this contract for the purposes of making audits, examinations, excerpts and
transcriptions. Contractor also agrees, pursuant to 49 C. F. R. 633.17 to provide the FTA Administrator or
his authorized representatives including any PMO Contractor access to Contractor's records and
construction sites pertaining to a major capital project, defined at 49 U.S.C. 5302(a)1, which is receiving
federal financial assistance through the programs described at 49 U.S.C. 5307, 5309 or 5311.
2. Where the Purchaser is a State and is the FTA Recipient or a subgrantee of the FTA Recipient in
accordance with 49 C.F.R. 633.17, Contractor agrees to provide the Purchaser, the FTA Administrator or
his authorized representatives, including any PMO Contractor, access to the Contractor's records and
construction sites pertaining to a major capital project, defined at 49 U.S.C. 5302(a)1, which is receiving
federal financial assistance through the programs described at 49 U.S.C. 5307, 5309 or 5311. By
definition, a major capital project excludes contracts of less than the simplified acquisition threshold
currently set at $100,000.
3. Where the Purchaser enters into a negotiated contract for other than a small purchase or under the
simplified acquisition threshold and is an institution of higher education, a hospital or other non‐profit
organization and is the FTA Recipient or a subgrantee of the FTA Recipient in accordance with 49 C.F.R.
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19.48, Contractor agrees to provide the Purchaser, FTA Administrator, the Comptroller General of the
United States or any of their duly authorized representatives with access to any books, documents,
papers and record of the Contractor which are directly pertinent to this contract for the purposes of
making audits, examinations, excerpts and transcriptions.
4. Where any Purchaser which is the FTA Recipient or a subgrantee of the FTA Recipient in accordance with
49 U.S.C. 5325(a) enters into a contract for a capital project or improvement (defined at 49 U.S.C.
5302(a)1) through other than competitive bidding, the Contractor shall make available records related
to the contract to the Purchaser, the Secretary of Transportation and the Comptroller General or any
authorized officer or employee of any of them for the purposes of conducting an audit and inspection.
5. The Contractor agrees to permit any of the foregoing parties to reproduce by any means whatsoever or
to copy excerpts and transcriptions as reasonably needed.
6. The Contractor agrees to maintain all books, records, accounts and reports required under this contract
for a period of not less than three years after the date of termination or expiration of this contract,
except in the event of litigation or settlement of claims arising from the performance of this contract, in
which case Contractor agrees to maintain same until the Purchaser, the FTA Administrator, the
Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation,
appeals, claims or exceptions related thereto. Reference 49 CFR 18.39(i)(11).
7. FTA does not require the inclusion of these requirements in subcontracts
Requirements for Access to Records and Reports by Types of Contract
Contract
Characteristics
Contract Operational
Service
Contract
Turnkey Construction Architectural
Engineering
Acquisition
of Rolling
Stock
Professional
Services
I. State
Grantees
a. Contracts below
SAT ($100,000) None
Those imposed on
state pass thru to
Contractor
None None None None
b. Contracts above
$100,000/Capital
Projects
None unless1
non‐
competitive
award
Those imposed on
state pass thru to
Contractor
Yes, if non‐
competitive award
or if funded thru2
5307/5309/5311
None unless
non‐
competitive
award
None unless
non‐
competitive
award
None unless
non‐
competitive
award
II. Non State
Grantees
a. Contracts below
SAT ($100,000) Yes3
Those imposed on
non‐state Grantee
pass thru to
Contractor
Yes Yes Yes Yes
b. Contracts above
$100,000/Capital
Projects Yes3
Those imposed on
non‐state Grantee
pass thru to
Contractor
Yes Yes Yes Yes
Sources of Authority
1. 49 USC 5325 (a)
2. 49 CFR 633.17
3. 18 CFR 18.36 (i)
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13. Federal Changes
49 CFR Part 18
The Federal Changes requirement applies to all contracts.
Micro‐purchases are defined as those purchases under $2,500. These requirements do not apply to micro‐
purchases.
The Federal Changes requirement flows down appropriately to each applicable changed requirement.
No specific language is mandated. The following language has been developed by FTA.
Federal Changes ‐ Contractor shall at all times comply with all applicable FTA regulations, policies, procedures
and directives, including without limitation those listed directly or by reference in the Master Agreement
between Purchaser and FTA, as they may be amended or promulgated from time to time during the term of this
contract. Contractor's failure to so comply shall constitute a material breach of this contract.
14. Bonding Requirements
For those construction or facility improvement contracts or subcontracts exceeding $100,000, FTA may accept
the bonding policy and requirements of the recipient, provided that they meet the minimum requirements for
construction contracts as follows:
a. A bid guarantee from each bidder equivalent to five (5) percent of the bid price. The "bid guarantees"
shall consist of a firm commitment such as a bid bond, certifies check, or other negotiable instrument
accompanying a bid as assurance that the bidder will, upon acceptance of his bid, execute such
contractual documents as may be required within the time specified.
b. A performance bond on the part to the Contractor for 100 percent of the contract price. A "performance
bond" is one executed in connection with a contract to secure fulfillment of all the contractor's
obligations under such contract.
c. A payment bond on the part of the contractor for 100 percent of the contract price. A "payment bond"
is one executed in connection with a contract to assure payment, as required by law, of all persons
supplying labor and material in the execution of the work provided for in the contract. Payment bond
amounts required from Contractors are as follows:
1. 1.50% of the contract price if the contract price is not more than $1 million;
2. 2.40% of the contract price if the contract price is more than $1 million but not more than $5
million; or
3. 3.$2.5 million if the contract price is more than $5 million.
d. A cash deposit, certified check or other negotiable instrument may be accepted by a grantee in lieu of
performance and payment bonds, provided the grantee has established a procedure to assure that the
interest of FTA is adequately protected. An irrevocable letter of credit would also satisfy the
requirement for a bond.
Bonding requirements flow down to the first tier contractors.
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FTA does not prescribe specific wording to be included in third party contracts. FTA has prepared sample clauses
as follows:
a. Bid Security
A Bid Bond must be issued by a fully qualified surety company acceptable to (Recipient) and listed as a
company currently authorized under 31 CFR, Part 223 as possessing a Certificate of Authority as
described thereunder.
b. Rights Reserved
In submitting this Bid, it is understood and agreed by bidder that the right is reserved by (Recipient) to
reject any and all bids, or part of any bid, and it is agreed that the Bid may not be withdrawn for a period
of [ninety (90)] days subsequent to the opening of bids, without the written consent of (Recipient).
It is also understood and agreed that if the undersigned bidder should withdraw any part or all of his bid
within [ninety (90)] days after the bid opening without the written consent of (Recipient), shall refuse or
be unable to enter into this Contract, as provided above, or refuse or be unable to furnish adequate and
acceptable Performance Bonds and Labor and Material Payments Bonds, as provided above, or refuse or
be unable to furnish adequate and acceptable insurance, as provided above, he shall forfeit his bid
security to the extent of (Recipient's) damages occasioned by such withdrawal, or refusal, or inability to
enter into an agreement, or provide adequate security therefor.
It is further understood and agreed that to the extent the defaulting bidder's Bid Bond, Certified Check,
Cashier's Check, Treasurer's Check, and/or Official Bank Check (excluding any income generated thereby
which has been retained by (Recipient) as provided in [Item x "Bid Security" of the Instructions to
Bidders]) shall prove inadequate to fully recompense (Recipient) for the damages occasioned by default,
then the undersigned bidder agrees to indemnify (Recipient) and pay over to (Recipient) the difference
between the bid security and (Recipient's) total damages, so as to make (Recipient) whole.
The undersigned understands that any material alteration of any of the above or any of the material
contained on this form, other than that requested, will render the bid unresponsive.
The Contractor shall be required to obtain performance and payment bonds as follows:
a. Performance bonds
1. The penal amount of performance bonds shall be 100 percent of the original contract price, unless
the (Recipient) determines that a lesser amount would be adequate for the protection of the
(Recipient).
2. The (Recipient) may require additional performance bond protection when a contract price is
increased. The increase in protection shall generally equal 100 percent of the increase in contract
price. The (Recipient) may secure additional protection by directing the Contractor to increase the
penal amount of the existing bond or to obtain an additional bond.
b. Payment bonds
1. The penal amount of the payment bonds shall equal:
i. Fifty percent of the contract price if the contract price is not more than $1 million.
ii. Forty percent of the contract price if the contract price is more than $1 million but not
more than $5 million; or
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iii. Two and one half million if the contract price is more than $5 million.
2. If the original contract price is $5 million or less, the (Recipient) may require additional protection as
required by subparagraph 1 if the contract price is increased.
The Contractor may be required to obtain performance and payment bonds when necessary to protect the
(Recipient's) interest.
a. The following situations may warrant a performance bond:
1. (Recipient) property or funds are to be provided to the contractor for use in performing the contract
or as partial compensation (as in retention of salvaged material).
2. A contractor sells assets to or merges with another concern, and the (Recipient), after recognizing
the latter concern as the successor in interest, desires assurance that it is financially capable.
3. Substantial progress payments are made before delivery of end items starts.
4. Contracts are for dismantling, demolition, or removal of improvements.
b. When it is determined that a performance bond is required, the Contractor shall be required to obtain
performance bonds as follows:
1. The penal amount of performance bonds shall be 100 percent of the original contract price, unless
the (Recipient) determines that a lesser amount would be adequate for the protection of the
(Recipient).
2. The (Recipient) may require additional performance bond protection when a contract price is
increased. The increase in protection shall generally equal 100 percent of the increase in contract
price. The (Recipient) may secure additional protection by directing the Contractor to increase the
penal amount of the existing bond or to obtain an additional bond.
c. A payment bond is required only when a performance bond is required, and if the use of payment bond
is in the (Recipient's) interest.
d. When it is determined that a payment bond is required, the Contractor shall be required to obtain
payment bonds as follows:
1. The penal amount of payment bonds shall equal:
i. Fifty percent of the contract price if the contract price is not more than $1 million;
ii. Forty percent of the contract price if the contract price is more than $1 million but not
more than $5 million; or
iii. Two and one half million if the contract price is increased.
The Contractor may be required to obtain an advance payment bond if the contract contains an advance
payment provision and a performance bond is not furnished. The (recipient) shall determine the amount of the
advance payment bond necessary to protect the (Recipient).
The Contractor may be required to obtain a patent indemnity bond if a performance bond is not furnished and
the financial responsibility of the Contractor is unknown or doubtful. The (recipient) shall determine the amount
of the patent indemnity to protect the (Recipient).
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1. The Contractor warrants to (Recipient), the Architect and/or Engineer that all materials and equipment
furnished under this Contract will be of highest quality and new unless otherwise specified by
(Recipient), free from faults and defects and in conformance with the Contract Documents. All work not
so conforming to these standards shall be considered defective. If required by the [Project Manager],
the Contractor shall furnish satisfactory evidence as to the kind and quality of materials and equipment.
2. The Work furnished must be of first quality and the workmanship must be the best obtainable in the
various trades. The Work must be of safe, substantial and durable construction in all respects. The
Contractor hereby guarantees the Work against defective materials or faulty workmanship for a
minimum period of one (1) year after Final Payment by (Recipient) and shall replace or repair any
defective materials or equipment or faulty workmanship during the period of the guarantee at no cost
to (Recipient). As additional security for these guarantees, the Contractor shall, prior to the release of
Final Payment [as provided in Item X below], furnish separate Maintenance (or Guarantee) Bonds in
form acceptable to (Recipient) written by the same corporate surety that provides the Performance
Bond and Labor and Material Payment Bond for this Contract. These bonds shall secure the Contractor's
obligation to replace or repair defective materials and faulty workmanship for a minimum period of one
(1) year after Final Payment and shall be written in an amount equal to ONE HUNDRED PERCENT (100%)
of the CONTRACT SUM, as adjusted (if at all).
15. Clean Air
42 U.S.C. 7401 et seq
40 CFR 15.61
49 CFR Part 18
The Clean Air requirements apply to all contracts exceeding $100,000, including indefinite quantities where the
amount is expected to exceed $100,000 in any year.
The Clean Air requirements flow down to all subcontracts which exceed $100,000.
No specific language is required. FTA has proposed the following language.
Clean Air ‐ (1) The Contractor agrees to comply with all applicable standards, orders or regulations issued
pursuant to the Clean Air Act, as amended, 42 U.S.C. §§ 7401 et seq. The Contractor agrees to report each
violation to the Purchaser and understands and agrees that the Purchaser will, in turn, report each violation as
required to assure notification to FTA and the appropriate EPA Regional Office.
(2) The Contractor also agrees to include these requirements in each subcontract exceeding $100,000 financed
in whole or in part with Federal assistance provided by FTA.
16. Recycled Products
42 U.S.C. 6962
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40 CFR Part 247
Executive Order 12873
The Recycled Products requirements apply to all contracts for items designated by the EPA, when the purchaser
or contractor procures $10,000 or more of one of these items during the fiscal year, or has procured $10,000 or
more of such items in the previous fiscal year, using Federal funds. New requirements for "recovered materials"
will become effective May 1, 1996. These new regulations apply to all procurement actions involving items
designated by the EPA, where the procuring agency purchases $10,000 or more of one of these items in a fiscal
year, or when the cost of such items purchased during the previous fiscal year was $10,000.
Micro‐purchases are defined as those purchases under $2,500. These requirements do not apply to micro‐
purchases.
These requirements flow down to all to all contractor and subcontractor tiers.
No specific clause is mandated, but FTA has developed the following language.
Recovered Materials ‐ The contractor agrees to comply with all the requirements of Section 6002 of the
Resource Conservation and Recovery Act (RCRA), as amended (42 U.S.C. 6962), including but not limited to the
regulatory provisions of 40 CFR Part 247, and Executive Order 12873, as they apply to the procurement of the
items designated in Subpart B of 40 CFR Part 247.
17. Davis‐Bacon and Copeland Anti‐Kickback Acts
The Davis‐Bacon and Copeland Acts are codified at 40 USC 3141, et seq. and 18 USC 874. The Acts apply to
grantee construction contracts and subcontracts that “at least partly are financed by a loan or grant from the
Federal Government.” 40 USC 3145(a), 29 CFR 5.2(h), 49 CFR 18.36(i)(5). The Acts apply to any construction
contract over $2,000. 40 USC 3142(a), 29 CFR 5.5(a). ‘Construction,’ for purposes of the Acts, includes “actual
construction, alteration and/or repair, including painting and decorating.” 29 CFR 5.5(a). The requirements of
both Acts are incorporated into a single clause (see 29 CFR 3.11) enumerated at 29 CFR 5.5(a) and reproduced
below.
The clause language is drawn directly from 29 CFR 5.5(a) and any deviation from the model clause below should
be coordinated with counsel to ensure the Acts’ requirements are satisfied.
Davis‐Bacon and Copeland Anti‐Kickback Acts
(1) Minimum wages ‐ (i) All laborers and mechanics employed or working upon the site of the work (or under
the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of
the project), will be paid unconditionally and not less often than once a week, and without subsequent
deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by
the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount of wages and bona fide fringe
benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained
in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof,
regardless of any contractual relationship which may be alleged to exist between the contractor and such
laborers and mechanics.
Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the
Davis‐Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics,
subject to the provisions of paragraph (1)(iv) of this section; also, regular contributions made or costs incurred
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for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover
the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such
laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination
for the classification of work actually performed, without regard to skill, except as provided in 29 CFR Part
5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the
rate specified for each classification for the time actually worked therein: Provided, That the employer's payroll
records accurately set forth the time spent in each classification in which work is performed. The wage
determination (including any additional classifications and wage rates conformed under paragraph (1)(ii) of this
section) and the Davis‐Bacon poster (WH‐1321) shall be posted at all times by the contractor and its
subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the
workers.
(ii)(A) The contracting officer shall require that any class of laborers or mechanics, including helpers, which is not
listed in the wage determination and which is to be employed under the contract shall be classified in
conformance with the wage determination. The contracting officershall approve an additional classification and
wage rate and fringe benefits therefore only when the following criteria have been met:
1. Except with respect to helpers as defined as 29 CFR 5.2(n)(4), the work to be performed by the
classification requested is not performed by a classification in the wage determination; and
2. The classification is utilized in the area by the construction industry; and
3. The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the
wage rates contained in the wage determination; and
4. With respect to helpers as defined in 29 CFR 5.2(n)(4), such a classification prevails in the area in which
the work is performed.
(B) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their
representatives, and the contracting officer agree on the classification and wage rate (including the amount
designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting
officer to the Administrator of the Wage and Hour Division, Employment Standards Administration, U.S.
Department of Labor, Washington, DC 20210. The Administrator, or an authorized representative, will approve,
modify, or disapprove every additional classification action within 30 days of receipt and so advise the
contracting officer or will notify the contracting officer within the 30‐day period that additional time is
necessary.
(C) In the event the contractor, the laborers or mechanics to be employed in the classification or their
representatives, and the contracting officer do not agree on the proposed classification and wage rate (including
the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions,
including the views of all interested parties and the recommendation of the contracting officer, to the
Administrator for determination. The Administrator, or an authorized representative, will issue a determination
within 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30‐
day period that additional time is necessary.
(D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (a)(1)(ii) (B)
or (C) of this section, shall be paid to all workers performing work in the classification under this contract from
the first day on which work is performed in the classification.
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(iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a
fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in
the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof.
(iv) If the contractor does not make payments to a trustee or other third person, the contractor may consider as
part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona
fide fringe benefits under a plan or program, Provided, That the Secretary of Labor has found, upon the written
request of the contractor, that the applicable standards of the Davis‐Bacon Act have been met. The Secretary of
Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under
the plan or program.
(v)(A) The contracting officer shall require that any class of laborers or mechanics which is not listed in the wage
determination and which is to be employed under the contract shall be classified in conformance with the wage
determination. The contracting officer shall approve an additional classification and wage rate and fringe
benefits therefor only when the following criteria have been met:
1. The work to be performed by the classification requested is not performed by a classification in the
wage determination; and
2. The classification is utilized in the area by the construction industry; and
3. The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the
wage rates contained in the wage determination.
(B) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their
representatives, and the contracting officer agree on the classification and wage rate (including the amount
designated for fringe benefits where appropriate), a report of the action taken shall be sent by the contracting
officer to the Administrator of the Wage and Hour Division, Employment Standards Administration, Washington,
DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every
additional classification action within 30 days of receipt and so advise the contracting officer or will notify the
contracting officer within the 30‐day period that additional time is necessary.
(C) In the event the contractor, the laborers or mechanics to be employed in the classification or their
representatives, and the contracting officer do not agree on the proposed classification and wage rate (including
the amount designated for fringe benefits, where appropriate), the contracting officer shall refer the questions,
including the views of all interested parties and the recommendation of the contracting officer, to the
Administrator for determination. The Administrator, or an authorized representative, will issue a determination
with 30 days of receipt and so advise the contracting officer or will notify the contracting officer within the 30‐
day period that additional time is necessary.
(D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (a)(1)(v) (B)
or (C) of this section, shall be paid to all workers performing work in the classification under this contract from
the first day on which work is performed in the classification.
(2) Withholding ‐ The [ insert name of grantee ] shall upon its own action or upon written request of an
authorized representative of the Department of Labor withhold or cause to be withheld from the contractor
under this contract or any other Federal contract with the same prime contractor, or any other federally‐
assisted contract subject to Davis‐Bacon prevailing wage requirements, which is held by the same prime
contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and
mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontractor the
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full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including
any apprentice, trainee, or helper, employed or working on the site of the work (or under the United States
Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), all or
part of the wages required by the contract, the [ insert name of grantee ] may, after written notice to the
contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any
further payment, advance, or guarantee of funds until such violations have ceased.
(3) Payrolls and basic records ‐ (i) Payrolls and basic records relating thereto shall be maintained by the
contractor during the course of the work and preserved for a period of three years thereafter for all laborers and
mechanics working at the site of the work (or under the United States Housing Act of 1937, or under the
Housing Act of 1949, in the construction or development of the project). Such records shall contain the name,
address, and social security number of each such worker, his or her correct classification, hourly rates of wages
paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents
thereof of the types described in section 1(b)(2)(B) of the Davis‐Bacon Act), daily and weekly number of hours
worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR
5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated
in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis‐Bacon Act, the
contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that
the plan or program is financially responsible, and that the plan or program has been communicated in writing
to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred
in providing such benefits. Contractors employing apprentices or trainees under approved programs shall
maintain written evidence of the registration of apprenticeship programs and certification of trainee programs,
the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable
programs.
(ii)(A) The contractor shall submit weekly for each week in which any contract work is performed a copy of all
payrolls to the [ insert name of grantee ] for transmission to the Federal Transit Administration. The payrolls
submitted shall set out accurately and completely all of the information required to be maintained under section
5.5(a)(3)(i) of Regulations, 29 CFR part 5. This information may be submitted in any form desired. Optional Form
WH‐347 is available for this purpose and may be purchased from the Superintendent of Documents (Federal
Stock Number 029‐005‐00014‐1), U.S. Government Printing Office, Washington, DC 20402. The prime contractor
is responsible for the submission of copies of payrolls by all subcontractors.
(B) Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the contractor or
subcontractor or his or her agent who pays or supervises the payment of the persons employed under the
contract and shall certify the following:
1. (1) That the payroll for the payroll period contains the information required to be maintained under
section 5.5(a)(3)(i) of Regulations, 29 CFR part 5 and that such information is correct and complete;
2. (2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the
contract during the payroll period has been paid the full weekly wages earned, without rebate, either
directly or indirectly, and that no deductions have been made either directly or indirectly from the full
wages earned, other than permissible deductions as set forth in Regulations, 29 CFR part 3;
3. (3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe
benefits or cash equivalents for the classification of work performed, as specified in the applicable wage
determination incorporated into the contract.
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(C) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form
WH‐347 shall satisfy the requirement for submission of the "Statement of Compliance" required by paragraph
(a)(3)(ii)(B) of this section.
(D) The falsification of any of the above certifications may subject the contractor or subcontractor to civil or
criminal prosecution under section 1001 of title 18 and section 231 of title 31 of the United States Code.
(iii) The contractor or subcontractor shall make the records required under paragraph (a)(3)(i) of this section
available for inspection, copying, or transcription by authorized representatives of the Federal Transit
Administration or the Department of Labor, and shall permit such representatives to interview employees
during working hours on the job. If the contractor or subcontractor fails to submit the required records or to
make them available, the Federal agency may, after written notice to the contractor, sponsor, applicant, or
owner, take such action as may be necessary to cause the suspension of any further payment, advance, or
guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records
available may be grounds for debarment action pursuant to 29 CFR 5.12.
(4) Apprentices and trainees ‐ (i) Apprentices ‐ Apprentices will be permitted to work at less than the
predetermined rate for the work they performed when they are employed pursuant to and individually
registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment
and Training Administration, Bureau of Apprenticeship and Training, or with a State Apprenticeship Agency
recognized by the Bureau, or if a person is employed in his or her first 90 days of probationary employment as
an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has
been certified by the Bureau of Apprenticeship and Training or a State Apprenticeship Agency (where
appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to
journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the
contractor as to the entire work force under the registered program. Any worker listed on a payroll at an
apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than
the applicable wage rate on the wage determination for the classification of work actually performed. In
addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered
program shall be paid not less than the applicable wage rate on the wage determination for the work actually
performed. Where a contractor is performing construction on a project in a locality other than that in which its
program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate)
specified in the contractor's or subcontractor's registered program shall be observed. Every apprentice must be
paid at not less than the rate specified in the registered program for the apprentice's level of progress,
expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination.
Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the
apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe
benefits listed on the wage determination for the applicable classification. If the Administrator of the Wage and
Hour Division of the U.S. Department of Labor determines that a different practice prevails for the applicable
apprentice classification, fringes shall be paid in accordance with that determination. In the event the Bureau of
Apprenticeship and Training, or a State Apprenticeship Agency recognized by the Bureau, withdraws approval of
an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the
applicable predetermined rate for the work performed until an acceptable program is approved.
(ii) Trainees ‐ Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the
predetermined rate for the work performed unless they are employed pursuant to and individually registered in
a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor,
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Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be
greater than permitted under the plan approved by the Employment and Training Administration. Every trainee
must be paid at not less than the rate specified in the approved program for the trainee's level of progress,
expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination.
Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee
program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the
wage determination unless the Administrator of the Wage and Hour Division determines that there is an
apprenticeship program associated with the corresponding journeyman wage rate on the wage determination
which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee
rate who is not registered and participating in a training plan approved by the Employment and Training
Administration shall be paid not less than the applicable wage rate on the wage determination for the
classification of work actually performed. In addition, any trainee performing work on the job site in excess of
the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the
wage determination for the work actually performed. In the event the Employment and Training Administration
withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less
than the applicable predetermined rate for the work performed until an acceptable program is approved.
(iii) Equal employment opportunity ‐ The utilization of apprentices, trainees and journeymen under this part
shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as
amended, and 29 CFR part 30.
(5) Compliance with Copeland Act requirements ‐ The contractor shall comply with the requirements of 29 CFR
part 3, which are incorporated by reference in this contract.
(6) Subcontracts ‐ The contractor or subcontractor shall insert in any subcontracts the clauses contained in 29
CFR 5.5(a)(1) through (10) and such other clauses as the Federal Transit Administration may by appropriate
instructions require, and also a clause requiring the subcontractors to include these clauses in any lower tier
subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier
subcontractor with all the contract clauses in 29 CFR 5.5.
(7) Contract termination: debarment ‐ A breach of the contract clauses in 29 CFR 5.5 may be grounds for
termination of the contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12.
(8) Compliance with Davis‐Bacon and Related Act requirements ‐ All rulings and interpretations of the Davis‐
Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this
contract.
(9) Disputes concerning labor standards ‐ Disputes arising out of the labor standards provisions of this contract
shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance
with the procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the
meaning of this clause include disputes between the contractor (or any of its subcontractors) and the
contracting agency, the U.S. Department of Labor, or the employees or their representatives.
(10) Certification of eligibility ‐ (i) By entering into this contract, the contractor certifies that neither it (nor he or
she) nor any person or firm who has an interest in the contractor's firm is a person or firm ineligible to be
awarded Government contracts by virtue of section 3(a) of the Davis‐Bacon Act or 29 CFR 5.12(a)(1).
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(ii) No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government
contract by virtue of section 3(a) of the Davis‐Bacon Act or 29 CFR 5.12(a)(1).
(iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001.
18. Contract Work Hours and Safety Standards Act
The Contract Work Hours and Safety Standards Act is codified at 40 USC 3701, et seq. The Act applies to grantee
contracts and subcontracts “financed at least in part by loans or grants from … the [Federal] Government.” 40
USC 3701(b)(1)(B)(iii) and (b)(2), 29 CFR 5.2(h), 49 CFR 18.36(i)(6). Although the original Act required its
application in any construction contract over $2,000 or non‐construction contract to which the Act applied over
$2,500 (and language to that effect is still found in 49 CFR 18.36(i)(6)), the Act no longer applies to any “contract
in an amount that is not greater than $100,000.” 40 USC 3701(b)(3)(A)(iii).
The Act applies to construction contracts and, in very limited circumstances, non‐construction projects that
employ “laborers or mechanics on a public work.” These non‐construction applications do not generally apply to
transit procurements because transit procurements (to include rail cars and buses) are deemed “commercial
items.” 40 USC 3707, 41 USC 403 (12). A grantee that contemplates entering into a contract to procure a
developmental or unique item should consult counsel to determine if the Act applies to that procurement and
that additional language required by 29 CFR 5.5(c) must be added to the basic clause below.
The clause language is drawn directly from 29 CFR 5.5(b) and any deviation from the model clause below should
be coordinated with counsel to ensure the Act’s requirements are satisfied.
Contract Work Hours and Safety Standards
1. Overtime requirements ‐ No contractor or subcontractor contracting for any part of the contract work
which may require or involve the employment of laborers or mechanics shall require or permit any such
laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of
forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less
than one and one‐half times the basic rate of pay for all hours worked in excess of forty hours in such
workweek.
2. Violation; liability for unpaid wages; liquidated damages ‐ In the event of any violation of the clause set
forth in paragraph (1) of this section the contractor and any subcontractor responsible therefor shall be
liable for the unpaid wages. In addition, such contractor and subcontractor shall be liable to the United
States for liquidated damages. Such liquidated damages shall be computed with respect to each
individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set
forth in paragraph (1) of this section, in the sum of $10 for each calendar day on which such individual
was required or permitted to work in excess of the standard workweek of forty hours without payment
of the overtime wages required by the clause set forth in paragraph (1) of this section.
3. Withholding for unpaid wages and liquidated damages ‐ The (write in the name of the grantee) shall
upon its own action or upon written request of an authorized representative of the Department of Labor
withhold or cause to be withheld, from any moneys payable on account of work performed by the
contractor or subcontractor under any such contract or any other Federal contract with the same prime
contractor, or any other federally‐assisted contract subject to the Contract Work Hours and Safety
Standards Act, which is held by the same prime contractor, such sums as may be determined to be
necessary to satisfy any liabilities of such contractor or subcontractor for unpaid wages and liquidated
damages as provided in the clause set forth in paragraph (2) of this section.
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4. Subcontracts ‐ The contractor or subcontractor shall insert in any subcontracts the clauses set forth in
paragraphs (1) through (4) of this section and also a clause requiring the subcontractors to include these
clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any
subcontractor or lower tier subcontractor with the clauses set forth in paragraphs (1) through (4) of this
section.
19. [ RESERVED ]
20. No Government Obligation to Third Parties
Applicable to all contracts. Micro‐purchases are defined as those purchases under $2,500. These requirements
do not apply to micro‐purchases.
Not required by statute or regulation for either primary contractors or subcontractors, this concept should flow
down to all levels to clarify, to all parties to the contract, that the Federal Government does not have
contractual liability to third parties, absent specific written consent.
While no specific language is required, FTA has developed the following language.
No Obligation by the Federal Government.
1. The Purchaser and Contractor acknowledge and agree that, notwithstanding any concurrence by the
Federal Government in or approval of the solicitation or award of the underlying contract, absent the
express written consent by the Federal Government, the Federal Government is not a party to this
contract and shall not be subject to any obligations or liabilities to the Purchaser, Contractor, or any
other party (whether or not a party to that contract) pertaining to any matter resulting from the
underlying contract.
2. The Contractor agrees to include the above clause in each subcontract financed in whole or in part with
Federal assistance provided by FTA. It is further agreed that the clause shall not be modified, except to
identify the subcontractor who will be subject to its provisions.
21. Program Fraud and False or Fraudulent Statements and Related Acts
31 U.S.C. 3801 et seq.
49 CFR Part 31 18 U.S.C. 1001
49 U.S.C. 5307
These requirements are applicable to all contracts. Micro‐purchases are defined as those purchases under
$2,500. These requirements do not apply to micro‐purchases. These requirements flow down to contractors and
subcontractors who make, present, or submit covered claims and statements. These requirements have no
specified language, so FTA proffers the following language.
Program Fraud and False or Fraudulent Statements or Related Acts.
1. The Contractor acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, as
amended, 31 U.S.C. § § 3801 et seq . and U.S. DOT regulations, "Program Fraud Civil Remedies," 49
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C.F.R. Part 31, apply to its actions pertaining to this Project. Upon execution of the underlying contract,
the Contractor certifies or affirms the truthfulness and accuracy of any statement it has made, it makes,
it may make, or causes to be made, pertaining to the underlying contract or the FTA assisted project for
which this contract work is being performed. In addition to other penalties that may be applicable, the
Contractor further acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent
claim, statement, submission, or certification, the Federal Government reserves the right to impose the
penalties of the Program Fraud Civil Remedies Act of 1986 on the Contractor to the extent the Federal
Government deems appropriate.
2. The Contractor also acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent
claim, statement, submission, or certification to the Federal Government under a contract connected
with a project that is financed in whole or in part with Federal assistance originally awarded by FTA
under the authority of 49 U.S.C. § 5307, the Government reserves the right to impose the penalties of
18 U.S.C. § 1001 and 49 U.S.C. § 5307(n)(1) on the Contractor, to the extent the Federal Government
deems appropriate.
3. The Contractor agrees to include the above two clauses in each subcontract financed in whole or in part
with Federal assistance provided by FTA. It is further agreed that the clauses shall not be modified,
except to identify the subcontractor who will be subject to the provisions.
22. Termination
49 U.S.C.Part 18
FTA Circular 4220.1E
All contracts (with the exception of contracts with nonprofit organizations and institutions of higher education,)
in excess of $10,000 shall contain suitable provisions for termination by the grantee including the manner by
which it will be effected and the basis for settlement. (For contracts with nonprofit organizations and
institutions of higher education the threshold is $100,000.) In addition, such contracts shall describe conditions
under which the contract may be terminated for default as well as conditions where the contract may be
terminated because of circumstances beyond the control of the contractor.
The termination requirements flow down to all contracts in excess of $10,000, with the exception of contracts
with nonprofit organizations and institutions of higher learning.
FTA does not prescribe the form or content of such clauses. The following are suggestions of clauses to be used
in different types of contracts:
a. Termination for Convenience (General Provision) The (Recipient) may terminate this contract, in whole
or in part, at any time by written notice to the Contractor when it is in the Government's best interest.
The Contractor shall be paid its costs, including contract close‐out costs, and profit on work performed
up to the time of termination. The Contractor shall promptly submit its termination claim to (Recipient)
to be paid the Contractor. If the Contractor has any property in its possession belonging to the
(Recipient), the Contractor will account for the same, and dispose of it in the manner the (Recipient)
directs.
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b. Termination for Default [Breach or Cause] (General Provision) If the Contractor does not deliver
supplies in accordance with the contract delivery schedule, or, if the contract is for services, the
Contractor fails to perform in the manner called for in the contract, or if the Contractor fails to comply
with any other provisions of the contract, the (Recipient) may terminate this contract for default.
Termination shall be effected by serving a notice of termination on the contractor setting forth the
manner in which the Contractor is in default. The contractor will only be paid the contract price for
supplies delivered and accepted, or services performed in accordance with the manner of performance
set forth in the contract.
If it is later determined by the (Recipient) that the Contractor had an excusable reason for not
performing, such as a strike, fire, or flood, events which are not the fault of or are beyond the control of
the Contractor, the (Recipient), after setting up a new delivery of performance schedule, may allow the
Contractor to continue work, or treat the termination as a termination for convenience.
c. Opportunity to Cure (General Provision) The (Recipient) in its sole discretion may, in the case of a
termination for breach or default, allow the Contractor [an appropriately short period of time] in which
to cure the defect. In such case, the notice of termination will state the time period in which cure is
permitted and other appropriate conditions
If Contractor fails to remedy to (Recipient)'s satisfaction the breach or default of any of the terms,
covenants, or conditions of this Contract within [ten (10) days] after receipt by Contractor of written
notice from (Recipient) setting forth the nature of said breach or default, (Recipient) shall have the right
to terminate the Contract without any further obligation to Contractor. Any such termination for default
shall not in any way operate to preclude (Recipient) from also pursuing all available remedies against
Contractor and its sureties for said breach or default.
d. Waiver of Remedies for any Breach In the event that (Recipient) elects to waive its remedies for any
breach by Contractor of any covenant, term or condition of this Contract, such waiver by (Recipient)
shall not limit (Recipient)'s remedies for any succeeding breach of that or of any other term, covenant,
or condition of this Contract.
e. Termination for Convenience (Professional or Transit Service Contracts) The (Recipient), by written
notice, may terminate this contract, in whole or in part, when it is in the Government's interest. If this
contract is terminated, the Recipient shall be liable only for payment under the payment provisions of
this contract for services rendered before the effective date of termination.
f. Termination for Default (Supplies and Service) If the Contractor fails to deliver supplies or to perform
the services within the time specified in this contract or any extension or if the Contractor fails to
comply with any other provisions of this contract, the (Recipient) may terminate this contract for
default. The (Recipient) shall terminate by delivering to the Contractor a Notice of Termination
specifying the nature of the default. The Contractor will only be paid the contract price for supplies
delivered and accepted, or services performed in accordance with the manner or performance set forth
in this contract.
If, after termination for failure to fulfill contract obligations, it is determined that the Contractor was not
in default, the rights and obligations of the parties shall be the same as if the termination had been
issued for the convenience of the Recipient.
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g. Termination for Default (Transportation Services) If the Contractor fails to pick up the commodities or
to perform the services, including delivery services, within the time specified in this contract or any
extension or if the Contractor fails to comply with any other provisions of this contract, the (Recipient)
may terminate this contract for default. The (Recipient) shall terminate by delivering to the Contractor a
Notice of Termination specifying the nature of default. The Contractor will only be paid the contract
price for services performed in accordance with the manner of performance set forth in this contract.
If this contract is terminated while the Contractor has possession of Recipient goods, the Contractor
shall, upon direction of the (Recipient), protect and preserve the goods until surrendered to the
Recipient or its agent. The Contractor and (Recipient) shall agree on payment for the preservation and
protection of goods. Failure to agree on an amount will be resolved under the Dispute clause.
If, after termination for failure to fulfill contract obligations, it is determined that the Contractor was not
in default, the rights and obligations of the parties shall be the same as if the termination had been
issued for the convenience of the (Recipient).
h. Termination for Default (Construction) If the Contractor refuses or fails to prosecute the work or any
separable part, with the diligence that will insure its completion within the time specified in this contract
or any extension or fails to complete the work within this time, or if the Contractor fails to comply with
any other provisions of this contract, the (Recipient) may terminate this contract for default. The
(Recipient) shall terminate by delivering to the Contractor a Notice of Termination specifying the nature
of the default. In this event, the Recipient may take over the work and compete it by contract or
otherwise, and may take possession of and use any materials, appliances, and plant on the work site
necessary for completing the work. The Contractor and its sureties shall be liable for any damage to the
Recipient resulting from the Contractor's refusal or failure to complete the work within specified time,
whether or not the Contractor's right to proceed with the work is terminated. This liability includes any
increased costs incurred by the Recipient in completing the work.
The Contractor's right to proceed shall not be terminated nor the Contractor charged with damages
under this clause if‐
1. the delay in completing the work arises from unforeseeable causes beyond the control and
without the fault or negligence of the Contractor. Examples of such causes include: acts of God,
acts of the Recipient, acts of another Contractor in the performance of a contract with the
Recipient, epidemics, quarantine restrictions, strikes, freight embargoes; and
2. the contractor, within [10] days from the beginning of any delay, notifies the (Recipient) in
writing of the causes of delay. If in the judgment of the (Recipient), the delay is excusable, the
time for completing the work shall be extended. The judgment of the (Recipient) shall be final
and conclusive on the parties, but subject to appeal under the Disputes clauses.
If, after termination of the Contractor's right to proceed, it is determined that the Contractor was not in
default, or that the delay was excusable, the rights and obligations of the parties will be the same as if
the termination had been issued for the convenience of the Recipient.
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i. Termination for Convenience or Default (Architect and Engineering) The (Recipient) may terminate this
contract in whole or in part, for the Recipient's convenience or because of the failure of the Contractor
to fulfill the contract obligations. The (Recipient) shall terminate by delivering to the Contractor a Notice
of Termination specifying the nature, extent, and effective date of the termination. Upon receipt of the
notice, the Contractor shall (1) immediately discontinue all services affected (unless the notice directs
otherwise), and (2) deliver to the Contracting Officer all data, drawings, specifications, reports,
estimates, summaries, and other information and materials accumulated in performing this contract,
whether completed or in process.
If the termination is for the convenience of the Recipient, the Contracting Officer shall make an
equitable adjustment in the contract price but shall allow no anticipated profit on unperformed services.
If the termination is for failure of the Contractor to fulfill the contract obligations, the Recipient may
complete the work by contact or otherwise and the Contractor shall be liable for any additional cost
incurred by the Recipient.
If, after termination for failure to fulfill contract obligations, it is determined that the Contractor was not
in default, the rights and obligations of the parties shall be the same as if the termination had been
issued for the convenience of the Recipient.
j. Termination for Convenience of Default (Cost‐Type Contracts) The (Recipient) may terminate this
contract, or any portion of it, by serving a notice or termination on the Contractor. The notice shall state
whether the termination is for convenience of the (Recipient) or for the default of the Contractor. If the
termination is for default, the notice shall state the manner in which the contractor has failed to
perform the requirements of the contract. The Contractor shall account for any property in its
possession paid for from funds received from the (Recipient), or property supplied to the Contractor by
the (Recipient). If the termination is for default, the (Recipient) may fix the fee, if the contract provides
for a fee, to be paid the contractor in proportion to the value, if any, of work performed up to the time
of termination. The Contractor shall promptly submit its termination claim to the (Recipient) and the
parties shall negotiate the termination settlement to be paid the Contractor.
If the termination is for the convenience of the (Recipient), the Contractor shall be paid its contract
close‐out costs, and a fee, if the contract provided for payment of a fee, in proportion to the work
performed up to the time of termination.
If, after serving a notice of termination for default, the (Recipient) determines that the Contractor has an
excusable reason for not performing, such as strike, fire, flood, events which are not the fault of and are
beyond the control of the contractor, the (Recipient), after setting up a new work schedule, may allow
the Contractor to continue work, or treat the termination as a termination for convenience.
23. Government‐Wide Debarment and Suspension (Nonprocurement)
49 CFR Part 29
Executive Order 12549
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In conjunction with the Office of Management and Budget and other affected Federal agencies, DOT published
an update to 49 CFR Part 29 on November 26, 2003. This government‐wide regulation implements Executive
Order 12549, Debarment and Suspension, Executive Order 12689, Debarment and Suspension, and 31 U.S.C.
6101 note (Section 2455, Public Law 103‐355, 108 Stat. 3327).
The provisions of Part 29 apply to all grantee contracts and subcontracts at any level expected to equal or
exceed $25,000 as well as any contract or subcontract (at any level) for Federally required auditing services. 49
CFR 29. 220(b). This represents a change from prior practice in that the dollar threshold for application of these
rules has been lowered from $100,000 to $25,000. These are contracts and subcontracts referred to in the
regulation as “covered transactions.”
Grantees, contractors, and subcontractors (at any level) that enter into covered transactions are required to
verify that the entity (as well as its principals and affiliates) they propose to contract or subcontract with is not
excluded or disqualified. They do this by (a) Checking the Excluded Parties List System, (b) Collecting a
certification from that person, or (c) Adding a clause or condition to the contract or subcontract. This represents
a change from prior practice in that certification is still acceptable but is no longer required. 49 CFR 29.300.
Grantees, contractors, and subcontractors who enter into covered transactions also must require the entities
they contract with to comply with 49 CFR 29, subpart C and include this requirement in their own subsequent
covered transactions (i.e., the requirement flows down to subcontracts at all levels).
The following clause language is suggested, not mandatory. It incorporates the optional method of verifying that
contractors are not excluded or disqualified by certification.
Suspension and Debarment
This contract is a covered transaction for purposes of 49 CFR Part 29. As such, the contractor is required
to verify that none of the contractor, its principals, as defined at 49 CFR 29.995, or affiliates, as defined
at 49 CFR 29.905, are excluded or disqualified as defined at 49 CFR 29.940 and 29.945.
The contractor is required to comply with 49 CFR 29, Subpart C and must include the requirement to
comply with 49 CFR 29, Subpart C in any lower tier covered transaction it enters into.
By signing and submitting its bid or proposal, the bidder or proposer certifies as follows:
The certification in this clause is a material representation of fact relied upon by {insert agency name}. If
it is later determined that the bidder or proposer knowingly rendered an erroneous certification, in
addition to remedies available to {insert agency name}, the Federal Government may pursue available
remedies, including but not limited to suspension and/or debarment. The bidder or proposer agrees to
comply with the requirements of 49 CFR 29, Subpart C while this offer is valid and throughout the period
of any contract that may arise from this offer. The bidder or proposer further agrees to include a
provision requiring such compliance in its lower tier covered transactions.
24. Privacy Act
5 U.S.C. 552
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When a grantee maintains files on drug and alcohol enforcement activities for FTA, and those files are organized
so that information could be retrieved by personal identifier, the Privacy Act requirements apply to all contracts.
Micro‐purchases are defined as those purchases under $2,500. These requirements do not apply to micro‐
purchases.
The Federal Privacy Act requirements flow down to each third party contractor and their contracts at every tier.
The text of the following clause has not been mandated by statute or specific regulation, but has been
developed by FTA.
Contracts Involving Federal Privacy Act Requirements ‐ The following requirements apply to the Contractor and
its employees that administer any system of records on behalf of the Federal Government under any contract:
1. 1.The Contractor agrees to comply with, and assures the compliance of its employees with, the
information restrictions and other applicable requirements of the Privacy Act of 1974,
5 U.S.C. § 552a. Among other things, the Contractor agrees to obtain the express consent of the Federal
Government before the Contractor or its employees operate a system of records on behalf of the
Federal Government. The Contractor understands that the requirements of the Privacy Act, including
the civil and criminal penalties for violation of that Act, apply to those individuals involved, and that
failure to comply with the terms of the Privacy Act may result in termination of the underlying contract.
2. 2.The Contractor also agrees to include these requirements in each subcontract to administer any
system of records on behalf of the Federal Government financed in whole or in part with Federal
assistance provided by FTA.
25. Civil Rights Requirements
29 U.S.C. § 623, 42 U.S.C. § 2000
42 U.S.C. § 6102, 42 U.S.C. § 12112
42 U.S.C. § 12132, 49 U.S.C. § 5332
29 CFR Part 1630, 41 CFR Parts 60 et seq.
The Civil Rights Requirements apply to all contracts.
Micro‐purchases are defined as those purchases under $2,500. These requirements do not apply to micro‐
purchases.
The Civil Rights requirements flow down to all third party contractors and their contracts at every tier.
The following clause was predicated on language contained at 49 CFR Part 19, Appendix A, but FTA has shorten
the lengthy text.
Civil Rights ‐ The following requirements apply to the underlying contract:
1. Nondiscrimination ‐ In accordance with Title VI of the Civil Rights Act, as amended, 42 U.S.C. § 2000d,
section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6102, section 202 of the
Americans with Disabilities Act of 1990, 42 U.S.C. § 12132, and Federal transit law at 49 U.S.C. § 5332,
the Contractor agrees that it will not discriminate against any employee or applicant for employment
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because of race, color, creed, national origin, sex, age, or disability. In addition, the Contractor agrees to
comply with applicable Federal implementing regulations and other implementing requirements FTA
may issue.
2. Equal Employment Opportunity ‐ The following equal employment opportunity requirements apply to
the underlying contract:
a. Race, Color, Creed, National Origin, Sex ‐ In accordance with Title VII of the Civil Rights Act, as
amended, 42 U.S.C. § 2000e, and Federal transit laws at 49 U.S.C. § 5332, the Contractor agrees
to comply with all applicable equal employment opportunity requirements of U.S. Department
of Labor (U.S. DOL) regulations, "Office of Federal Contract Compliance Programs, Equal
Employment Opportunity, Department of Labor," 41 C.F.R. Parts 60 et seq ., (which implement
Executive Order No. 11246, "Equal Employment Opportunity," as amended by Executive Order
No. 11375, "Amending Executive Order 11246 Relating to Equal Employment Opportunity," 42
U.S.C. § 2000e note), and with any applicable Federal statutes, executive orders, regulations,
and Federal policies that may in the future affect construction activities undertaken in the
course of the Project. The Contractor agrees to take affirmative action to ensure that applicants
are employed, and that employees are treated during employment, without regard to their race,
color, creed, national origin, sex, or age. Such action shall include, but not be limited to, the
following: employment, upgrading, demotion or transfer, recruitment or recruitment
advertising, layoff or termination; rates of pay or other forms of compensation; and selection for
training, including apprenticeship. In addition, the Contractor agrees to comply with any
implementing requirements FTA may issue.
b. Age ‐ In accordance with section 4 of the Age Discrimination in Employment Act of 1967, as
amended, 29 U.S.C. § § 623 and Federal transit law at 49 U.S.C. § 5332, the Contractor agrees to
refrain from discrimination against present and prospective employees for reason of age. In
addition, the Contractor agrees to comply with any implementing requirements FTA may issue.
c. Disabilities ‐ In accordance with section 102 of the Americans with Disabilities Act, as amended,
42 U.S.C. § 12112, the Contractor agrees that it will comply with the requirements of U.S. Equal
Employment Opportunity Commission, "Regulations to Implement the Equal Employment
Provisions of the Americans with Disabilities Act," 29 C.F.R. Part 1630, pertaining to employment
of persons with disabilities. In addition, the Contractor agrees to comply with any implementing
requirements FTA may issue.
3. The Contractor also agrees to include these requirements in each subcontract financed in whole or in
part with Federal assistance provided by FTA, modified only if necessary to identify the affected parties.
26. Breaches and Dispute Resolution
49 CFR Part 18
FTA Circular 4220.1E
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All contracts in excess of $100,000 shall contain provisions or conditions which will allow for administrative,
contractual, or legal remedies in instances where contractors violate or breach contract terms, and provide for
such sanctions and penalties as may be appropriate. This may include provisions for bonding, penalties for late
or inadequate performance, retained earnings, liquidated damages or other appropriate measures.
The Breaches and Dispute Resolutions requirements flow down to all tiers.
FTA does not prescribe the form or content of such provisions. What provisions are developed will depend on
the circumstances and the type of contract. Recipients should consult legal counsel in developing appropriate
clauses. The following clauses are examples of provisions from various FTA third party contracts.
Disputes ‐ Disputes arising in the performance of this Contract which are not resolved by agreement of
the parties shall be decided in writing by the authorized representative of (Recipient)'s [title of
employee]. This decision shall be final and conclusive unless within [ten (10)] days from the date of
receipt of its copy, the Contractor mails or otherwise furnishes a written appeal to the [title of
employee]. In connection with any such appeal, the Contractor shall be afforded an opportunity to be
heard and to offer evidence in support of its position. The decision of the [title of employee] shall be
binding upon the Contractor and the Contractor shall abide be the decision.
Performance During Dispute ‐ Unless otherwise directed by (Recipient), Contractor shall continue
performance under this Contract while matters in dispute are being resolved.
Claims for Damages ‐ Should either party to the Contract suffer injury or damage to person or property
because of any act or omission of the party or of any of his employees, agents or others for whose acts
he is legally liable, a claim for damages therefor shall be made in writing to such other party within a
reasonable time after the first observance of such injury of damage.
Remedies ‐ Unless this contract provides otherwise, all claims, counterclaims, disputes and other
matters in question between the (Recipient) and the Contractor arising out of or relating to this
agreement or its breach will be decided by arbitration if the parties mutually agree, or in a court of
competent jurisdiction within the State in which the (Recipient) is located.
Rights and Remedies ‐ The duties and obligations imposed by the Contract Documents and the rights
and remedies available thereunder shall be in addition to and not a limitation of any duties, obligations,
rights and remedies otherwise imposed or available by law. No action or failure to act by the (Recipient),
(Architect) or Contractor shall constitute a waiver of any right or duty afforded any of them under the
Contract, nor shall any such action or failure to act constitute an approval of or acquiescence in any
breach thereunder, except as may be specifically agreed in writing.
27. Patent and Rights in Data
37 CFR Part 401
49 CFR Parts 18 and 19
Patent and rights in data requirements for federally assisted projects ONLY apply to research projects in which
FTA finances the purpose of the grant is to finance the development of a product or information. These patent
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and data rights requirements do not apply to capital projects or operating projects, even though a small portion
of the sales price may cover the cost of product development or writing the user's manual.
Micro‐purchases are defined as those purchases under $2,500. These requirements do not apply to micro‐
purchases.
The Patent and Rights in Data requirements apply to all contractors and their contracts at every tier.
The FTA patent clause is substantially similar to the text of 49 C.F.R. Part 19, Appendix A, Section 5, but the
rights in data clause reflects FTA objectives. For patent rights, FTA is governed by Federal law and regulation. For
data rights, the text on copyrights is insufficient to meet FTA's purposes for awarding research grants. This
model clause, with larger rights as a standard, is proposed with the understanding that this standard could be
modified to FTA's needs.
CONTRACTS INVOLVING EXPERIMENTAL, DEVELOPMENTAL, OR RESEARCH WORK.
A. Rights in Data ‐ This following requirements apply to each contract involving experimental,
developmental or research work:
1. The term "subject data" used in this clause means recorded information, whether or not
copyrighted, that is delivered or specified to be delivered under the contract. The term includes
graphic or pictorial delineation in media such as drawings or photographs; text in specifications
or related performance or design‐type documents; machine forms such as punched cards,
magnetic tape, or computer memory printouts; and information retained in computer memory.
Examples include, but are not limited to: computer software, engineering drawings and
associated lists, specifications, standards, process sheets, manuals, technical reports, catalog
item identifications, and related information. The term "subject data" does not include financial
reports, cost analyses, and similar information incidental to contract administration.
2. The following restrictions apply to all subject data first produced in the performance of the
contract to which this Attachment has been added:
a. Except for its own internal use, the Purchaser or Contractor may not publish or reproduce
subject data in whole or in part, or in any manner or form, nor may the Purchaser or
Contractor authorize others to do so, without the written consent of the Federal
Government, until such time as the Federal Government may have either released or
approved the release of such data to the public; this restriction on publication, however,
does not apply to any contract with an academic institution.
b. In accordance with 49 C.F.R. § 18.34 and 49 C.F.R. § 19.36, the Federal Government reserves
a royalty‐free, non‐exclusive and irrevocable license to reproduce, publish, or otherwise use,
and to authorize others to use, for "Federal Government purposes," any subject data or
copyright described in subsections (2)(b)1 and (2)(b)2 of this clause below. As used in the
previous sentence, "for Federal Government purposes," means use only for the direct
purposes of the Federal Government. Without the copyright owner's consent, the Federal
Government may not extend its Federal license to any other party.
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1. Any subject data developed under that contract, whether or not a copyright has been
obtained; and
2. Any rights of copyright purchased by the Purchaser or Contractor using Federal
assistance in whole or in part provided by FTA.
c. When FTA awards Federal assistance for experimental, developmental, or research work, it
is FTA's general intention to increase transportation knowledge available to the public,
rather than to restrict the benefits resulting from the work to participants in that work.
Therefore, unless FTA determines otherwise, the Purchaser and the Contractor performing
experimental, developmental, or research work required by the underlying contract to
which this Attachment is added agrees to permit FTA to make available to the public, either
FTA's license in the copyright to any subject data developed in the course of that contract,
or a copy of the subject data first produced under the contract for which a copyright has not
been obtained. If the experimental, developmental, or research work, which is the subject
of the underlying contract, is not completed for any reason whatsoever, all data developed
under that contract shall become subject data as defined in subsection (a) of this clause and
shall be delivered as the Federal Government may direct. This subsection (c) , however, does
not apply to adaptations of automatic data processing equipment or programs for the
Purchaser or Contractor's use whose costs are financed in whole or in part with Federal
assistance provided by FTA for transportation capital projects.
d. Unless prohibited by state law, upon request by the Federal Government, the Purchaser and
the Contractor agree to indemnify, save, and hold harmless the Federal Government, its
officers, agents, and employees acting within the scope of their official duties against any
liability, including costs and expenses, resulting from any willful or intentional violation by
the Purchaser or Contractor of proprietary rights, copyrights, or right of privacy, arising out
of the publication, translation, reproduction, delivery, use, or disposition of any data
furnished under that contract. Neither the Purchaser nor the Contractor shall be required to
indemnify the Federal Government for any such liability arising out of the wrongful act of
any employee, official, or agents of the Federal Government.
e. Nothing contained in this clause on rights in data shall imply a license to the Federal
Government under any patent or be construed as affecting the scope of any license or other
right otherwise granted to the Federal Government under any patent.
f. Data developed by the Purchaser or Contractor and financed entirely without using Federal
assistance provided by the Federal Government that has been incorporated into work
required by the underlying contract to which this Attachment has been added is exempt
from the requirements of subsections (b), (c), and (d) of this clause, provided that the
Purchaser or Contractor identifies that data in writing at the time of delivery of the contract
work.
g. Unless FTA determines otherwise, the Contractor agrees to include these requirements in
each subcontract for experimental, developmental, or research work financed in whole or in
part with Federal assistance provided by FTA.
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3. Unless the Federal Government later makes a contrary determination in writing, irrespective of
the Contractor's status (i.e. , a large business, small business, state government or state
instrumentality, local government, nonprofit organization, institution of higher education,
individual, etc.), the Purchaser and the Contractor agree to take the necessary actions to
provide, through FTA, those rights in that invention due the Federal Government as described in
U.S. Department of Commerce regulations, "Rights to Inventions Made by Nonprofit
Organizations and Small Business Firms Under Government Grants, Contracts and Cooperative
Agreements," 37 C.F.R. Part 401.
4. The Contractor also agrees to include these requirements in each subcontract for experimental,
developmental, or research work financed in whole or in part with Federal assistance provided
by FTA.
B. Patent Rights ‐ This following requirements apply to each contract involving experimental,
developmental, or research work:
1. General ‐ If any invention, improvement, or discovery is conceived or first actually reduced to
practice in the course of or under the contract to which this Attachment has been added, and that
invention, improvement, or discovery is patentable under the laws of the United States of America
or any foreign country, the Purchaser and Contractor agree to take actions necessary to provide
immediate notice and a detailed report to the party at a higher tier until FTA is ultimately notified.
2. Unless the Federal Government later makes a contrary determination in writing, irrespective of the
Contractor's status (a large business, small business, state government or state instrumentality, local
government, nonprofit organization, institution of higher education, individual), the Purchaser and
the Contractor agree to take the necessary actions to provide, through FTA, those rights in that
invention due the Federal Government as described in U.S. Department of Commerce regulations,
"Rights to Inventions Made by Nonprofit Organizations and Small Business Firms Under Government
Grants, Contracts and Cooperative Agreements," 37 C.F.R. Part 401.
3. The Contractor also agrees to include the requirements of this clause in each subcontract for
experimental, developmental, or research work financed in whole or in part with Federal assistance
provided by FTA.
28. Transit Employee Protective Agreements
49 U.S.C. § 5310, § 5311, and § 5333
29 CFR Part 215
The Transit Employee Protective Provisions apply to each contract for transit operations performed by
employees of a Contractor recognized by FTA to be a transit operator. (Because transit operations involve many
activities apart from directly driving or operating transit vehicles, FTA determines which activities constitute
transit "operations" for purposes of this clause.)
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Micro‐purchases are defined as those purchases under $2,500. These requirements do not apply to micro‐
purchases.
These provisions are applicable to all contracts and subcontracts at every tier.
Since no mandatory language is specified, FTA had developed the following language.
Transit Employee Protective Provisions.
1. The Contractor agrees to the comply with applicable transit employee protective requirements as
follows:
a. General Transit Employee Protective Requirements ‐ To the extent that FTA determines that
transit operations are involved, the Contractor agrees to carry out the transit operations work
on the underlying contract in compliance with terms and conditions determined by the U.S.
Secretary of Labor to be fair and equitable to protect the interests of employees employed
under this contract and to meet the employee protective requirements of 49 U.S.C. A 5333(b),
and U.S. DOL guidelines at 29 C.F.R. Part 215, and any amendments thereto. These terms and
conditions are identified in the letter of certification from the U.S. DOL to FTA applicable to the
FTA Recipient's project from which Federal assistance is provided to support work on the
underlying contract. The Contractor agrees to carry out that work in compliance with the
conditions stated in that U.S. DOL letter. The requirements of this subsection (1), however, do
not apply to any contract financed with Federal assistance provided by FTA either for projects
for elderly individuals and individuals with disabilities authorized by 49 U.S.C. § 5310(a)(2), or for
projects for nonurbanized areas authorized by 49 U.S.C. § 5311. Alternate provisions for those
projects are set forth in subsections (b) and (c) of this clause.
b. Transit Employee Protective Requirements for Projects Authorized by 49 U.S.C.
§ 5310(a)(2) for Elderly Individuals and Individuals with Disabilities ‐ If the contract involves
transit operations financed in whole or in part with Federal assistance authorized by 49 U.S.C. §
5310(a)(2), and if the U.S. Secretary of Transportation has determined or determines in the
future that the employee protective requirements of 49 U.S.C. § 5333(b) are necessary or
appropriate for the state and the public body subrecipient for which work is performed on the
underlying contract, the Contractor agrees to carry out the Project in compliance with the terms
and conditions determined by the U.S. Secretary of Labor to meet the requirements of 49 U.S.C.
§ 5333(b), U.S. DOL guidelines at 29 C.F.R. Part 215, and any amendments thereto. These terms
and conditions are identified in the U.S. DOL's letter of certification to FTA, the date of which is
set forth Grant Agreement or Cooperative Agreement with the state. The Contractor agrees to
perform transit operations in connection with the underlying contract in compliance with the
conditions stated in that U.S. DOL letter.
c. Transit Employee Protective Requirements for Projects Authorized by 49 U.S.C.
§ 5311 in Nonurbanized Areas ‐ If the contract involves transit operations financed in whole or
in part with Federal assistance authorized by 49 U.S.C. § 5311, the Contractor agrees to comply
with the terms and conditions of the Special Warranty for the Nonurbanized Area Program
agreed to by the U.S. Secretaries of Transportation and Labor, dated May 31, 1979, and the
procedures implemented by U.S. DOL or any revision thereto.
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2. The Contractor also agrees to include the any applicable requirements in each subcontract involving
transit operations financed in whole or in part with Federal assistance provided by FTA.
29. Disadvantaged Business Enterprise (DBE)
49 CFR Part 26
The newest version on the Department of Transportation’s Disadvantaged Business Enterprise (DBE) program
became effective July 16, 2003. The rule provides guidance to grantees on the use of overall and contract goals,
requirement to include DBE provisions in subcontracts, evaluating DBE participation where specific contract
goals have been set, reporting requirements, and replacement of DBE subcontractors. Additionally, the DBE
program dictates payment terms and conditions (including limitations on retainage) applicable to all
subcontractors regardless of whether they are DBE firms or not.
The DBE program applies to all DOT‐assisted contracting activities. A formal clause such as that below must be
included in all contracts above the micro‐purchase level. The requirements of clause subsection b flow down to
subcontracts.
A substantial change to the payment provisions in this newest version of Part 26 concerns retainage (see section
26.29). Grantee choices concerning retainage should be reflected in the language choices in clause subsection d.
The following clause language is suggested, not mandatory. It incorporates the payment terms and conditions
applicable to all subcontractors based in Part 26 as well as those related only to DBE subcontractors. The
suggested language allows for the options available to grantees concerning retainage, specific contract goals,
and evaluation of DBE subcontracting participation when specific contract goals have been established.
Disadvantaged Business Enterprises
a. This contract is subject to the requirements of Title 49, Code of Federal Regulations, Part 26,
Participation by Disadvantaged Business Enterprises in Department of Transportation Financial
Assistance Programs. The national goal for participation of Disadvantaged Business Enterprises (DBE) is
10%. The agency’s overall goal for DBE participation is __ %. A separate contract goal [of __ % DBE
participation has] [has not] been established for this procurement.
b. 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 CFR Part 26 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 {insert agency name} deems appropriate. Each subcontract the contractor
signs with a subcontractor must include the assurance in this paragraph (see 49 CFR 26.13(b)).
c. {If a separate contract goal has been established, use the following} Bidders/offerors are required to
document sufficient DBE participation to meet these goals or, alternatively, document adequate good
faith efforts to do so, as provided for in 49 CFR 26.53. Award of this contract is conditioned on
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submission of the following [concurrent with and accompanying sealed bid] [concurrent with and
accompanying an initial proposal] [prior to award]:
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/offeror’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
prime contractor’s commitment; and
6. If the contract goal is not met, evidence of good faith efforts to do so.
[Bidders][Offerors] must present the information required above [as a matter of
responsiveness] [with initial proposals] [prior to contract award] (see 49 CFR 26.53(3)).
{If no separate contract goal has been established, use the following} The successful
bidder/offeror will be required to report its DBE participation obtained through race‐neutral
means throughout the period of performance.
d. The contractor is required to pay its subcontractors performing work related to this contract for
satisfactory performance of that work no later than 30 days after the contractor’s receipt of payment for
that work from the {insert agency name}. In addition, [the contractor may not hold retainage from its
subcontractors.] [is required to return any retainage payments to those subcontractors within 30 days
after the subcontractor's work related to this contract is satisfactorily completed.] [is required to
return any retainage payments to those subcontractors within 30 days after incremental acceptance
of the subcontractor’s work by the {insert agency name} and contractor’s receipt of the partial
retainage payment related to the subcontractor’s work.]
e. The contractor must promptly notify {insert agency name}, whenever a DBE subcontractor performing
work related to this contract is terminated or fails to complete its work, and must make good faith
efforts to engage another DBE subcontractor to perform at least the same amount of work. The
contractor may not terminate any DBE subcontractor and perform that work through its own forces or
those of an affiliate without prior written consent of {insert agency name}.
30. [ RESERVED ]
31. Incorporation of Federal Transit Administration (FTA) Terms
FTA Circular 4220.1E
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The incorporation of FTA terms applies to all contracts.
Micro‐purchases are defined as those purchases under $2,500. These requirements do not apply to micro‐
purchases.
The incorporation of FTA terms has unlimited flow down.
FTA has developed the following incorporation of terms language:
Incorporation of Federal Transit Administration (FTA) Terms ‐ The preceding provisions include, in part,
certain Standard Terms and Conditions required by DOT, whether or not expressly set forth in the
preceding contract provisions. All contractual provisions required by DOT, as set forth in FTA Circular
4220.1E 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 Agreement. The Contractor shall not perform any act, fail to perform any act, or refuse to comply
with any (name of grantee) requests which would cause (name of grantee) to be in violation of the FTA
terms and conditions.
32. Drug and Alcohol Testing
49 U.S.C. §5331
49 CFR Parts 653 and 654
The Drug and Alcohol testing provisions apply to Operational Service Contracts.
Micro‐purchases are defined as those purchases under $2,500. These requirements do not apply to micro‐
purchases.
Anyone who performs a safety‐sensitive function for the recipient or subrecipient is required to comply with 49
CFR 653 and 654, with certain exceptions for contracts involving maintenance services. Maintenance contractors
for non‐urbanized area formula program grantees are not subject to the rules. Also, the rules do not apply to
maintenance subcontractors.
Introduction
FTA's drug and alcohol rules, 49 CFR 653 and 654, respectively, are unique among the regulations issued by FTA.
First, they require recipients to ensure that any entity performing a safety‐sensitive function on the recipient's
behalf (usually subrecipients and/or contractors) implement a complex drug and alcohol testing program that
complies with Parts 653 and 654. Second, the rules condition the receipt of certain kinds of FTA funding on the
recipient's compliance with the rules; thus, the recipient is not in compliance with the rules unless every entity
that performs a safety‐sensitive function on the recipient's behalf is in compliance with the rules. Third, the rules
do not specify how a recipient ensures that its subrecipients and/or contractors comply with them.
How a recipient does so depends on several factors, including whether the contractor is covered independently
by the drug and alcohol rules of another Department of Transportation operating administration, the nature of
the relationship that the recipient has with the contractor, and the financial resources available to the recipient
to oversee the contractor's drug and alcohol testing program. In short, there are a variety of ways a recipient
can ensure that its subrecipients and contractors comply with the rules.
Therefore, FTA has developed three model contract provisions for recipients to use "as is" or to modify to fit
their particular situations.
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Explanation of Model Contract Clauses
Under Option 1, the recipient ensures the contractor's compliance with the rules by requiring the contractor to
participate in a drug and alcohol program administered by the recipient. The advantages of doing this are
obvious: the recipient maintains total control over its compliance with 49 CFR 653 and 654. The disadvantage is
that the recipient, which may not directly employ any safety‐sensitive employees, has to implement a complex
testing program. Therefore, this may be a practical option only for those recipients which have a testing
program for their employees, and can add the contractor's safety‐sensitive employees to that program.
Under Option 2, the recipient relies on the contractor to implement a drug and alcohol testing program that
complies with 49 CFR 653 and 654, but retains the ability to monitor the contractor's testing program; thus, the
recipient has less control over its compliance with the drug and alcohol testing rules than it does under option 1.
The advantage of this approach is that it places the responsibility for complying with the rules on the entity that
is actually performing the safety‐sensitive function. Moreover, it reserves to the recipient the power to ensure
that the contractor complies with the program. The disadvantage of Option 2 is that without adequate
monitoring of the contractor's program, the recipient may find itself out of compliance with the rules.
Under option 3, the recipient specifies some or all of the specific features of a contractor's drug and alcohol
compliance program. Thus, it requires the recipient to decide what it wants to do and how it wants to do it. The
advantage of this option is that the recipient has more control over the contractor's drug and alcohol testing
program, yet it is not actually administering the testing program. The disadvantage is that the recipient has to
specify and understand clearly what it wants to do and why.
Drug and Alcohol Testing
Option 1
The contractor agrees to:
(a) participate in ( grantee's or recipient's) drug and alcohol program established in compliance with 49
CFR 653 and 654.
Drug and Alcohol Testing
Option 2
The contractor agrees to establish and implement a drug and alcohol testing program that complies with 49 CFR
Parts 653 and 654, produce any documentation necessary to establish its compliance with Parts 653 and 654,
and permit any authorized representative of the United States Department of Transportation or its operating
administrations, the State Oversight Agency of (name of State), or the (insert name of grantee), to inspect the
facilities and records associated with the implementation of the drug and alcohol testing program as required
under 49 CFR Parts 653 and 654 and review the testing process. The contractor agrees further to certify annually
its compliance with Parts 653 and 654 before (insert date) and to submit the Management Information System
(MIS) reports before (insert date before March 15) to (insert title and address of person responsible for receiving
information). To certify compliance the contractor shall use the "Substance Abuse Certifications" in the "Annual
List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements,"
which is published annually in the Federal Register.
Drug and Alcohol Testing
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Option 3
The contractor agrees to establish and implement a drug and alcohol testing program that complies with 49 CFR
Parts 653 and 654, produce any documentation necessary to establish its compliance with Parts 653 and 654,
and permit any authorized representative of the United States Department of Transportation or its operating
administrations, the State Oversight Agency of (name of State), or the (insert name of grantee), to inspect the
facilities and records associated with the implementation of the drug and alcohol testing program as required
under 49 CFR Parts 653 and 654 and review the testing process. The contractor agrees further to certify annually
its compliance with Parts 653 and 654 before (insert date) and to submit the Management Information System
(MIS) reports before (insert date before March 15) to (insert title and address of person responsible for receiving
information). To certify compliance the contractor shall use the "Substance Abuse Certifications" in the "Annual
List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements,"
which is published annually in the Federal Register. The Contractor agrees further to [Select a, b, or c] (a) submit
before (insert date or upon request) a copy of the Policy Statement developed to implement its drug and alcohol
testing program; OR (b) adopt (insert title of the Policy Statement the recipient wishes the contractor to use) as
its policy statement as required under 49 CFR 653 and 654; OR (c) submit for review and approval before ( insert
date or upon request) a copy of its Policy Statement developed to implement its drug and alcohol testing
program. In addition, the contractor agrees to: (to be determined by the recipient, but may address areas such
as: the selection of the certified laboratory, substance abuse professional, or Medical Review Officer, or the use
of a consortium).
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Appendix G: Penalties & Incentives (Liquidated Damages)
Penalties: Issued Monthly (per occurrence)
Penalties
City’s election not to reduce the amount owed by it to Contractor for the assessments detailed this section shall
not act as a waiver as to City’s right to make such assessments in the future. In addition, the penalties detailed
in this section shall not relieve Contractor of its obligations to satisfy each and every requirement under the
terms of the Agreement.
The invalidity or unenforceability of any particular assessment established in this Section shall not affect the
validity or unenforceability of other assessments established in this Agreement.
The Transit Manager’s decision with regard to the assessment of payment increases or reductions is final and
may not be appealed. After bonuses or penalties are assessed, the rate of consideration shall revert to the rates
specified in the Service and Payment schedule until the next assessment is made.
This Performance Incentives Program does not lessen City’s right to declare a material breach of contract for
non‐compliance reasons, nor does it constitute a waiver of any other remedies provided by law. This program is
in addition to, and not in lieu of, all other City remedies for failure to perform the Agreement.
Cleanliness
Vehicle Cleanliness Penalty
Should a vehicle be pulled out of revenue service for severe non‐compliance of the vehicle cleanliness standards
set forth in the scope of work, the Contractor shall be assessed a penalty of one hundred dollars ($100.00) per
occurrence.
Should a vehicle in revenue service be determined to not meet the vehicle cleanliness standards, the contractor
shall be assessed a penalty of one hundred dollars ($100.00).
Facility Cleanliness Penalty
Contractor shall pay City the sum of one hundred dollars ($100.00) per day, after notice to cure, if the Transit
Manager deems the Bus Operations and Maintenance Facility as unsatisfactory.
Facility Damage Penalty
Contractor shall pay City the sum of the cost of repairs plus one hundred dollars ($100.00) per day for any
damage incurred by the Contractor to the Bus Operations and Maintenance Facility.
Schedule Adherence
Late Departure/Pull–Out (leaving more than ≥5 minutes of schedule)
Contractor shall pay City the sum of one hundred dollars ($100.00) for each failure to begin operation of a
schedule past five (≥5) minutes of the route pull (scheduled start time) designated by City.
Early Departure/Pull‐Out (leaving ≥1 minutes of schedule)
Contractor shall pay City the sum of two hundred dollars ($200.00) for each event where the bus leaves (≥1)
minutes before the route pull (scheduled start time) designated by City.
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Off‐Route
Contractor shall pay City the sum of fifty dollars ($50.00) for each occasion on which a bus is “off‐route”, that is
operating on streets other than those designated on the route maps established by City for the route being run.
This excludes detours due to street closures on any specific route. This penalty is cumulative with other
penalties.
Missed Run/Trip (leaving ≥15 minutes of schedule)
Contractor shall pay City the sum of two hundred fifty dollars ($250.00) for each occasion of failure to complete
a run and/or trip on any route. This penalty is cumulative with other penalties.
Missed‐Stop(s) [per stop]
Contractor shall pay City the sum of fifty dollars ($50.00) for each bus stop not served as a result of missed
service. This penalty is cumulative with other penalties
Missed Passenger(s) [group per stop]
The Contractor shall pay the City the sum of fifty dollars ($50.00) per passenger that left behind by the bus for
failing to stop.
Failure to Operate Service (At‐All)
Contractor shall pay City the sum of the “Daily Cost of Operating” plus one‐thousand dollars ($1000.00) for each
day on which the contractor fails to operate the transit service At‐All. This penalty is cumulative with other
penalties.
Performance
A bus shall be considered “NOT ON‐TIME” if:
it arrives at a particular scheduled arrival time two (2) minutes and zero (0) seconds or earlier;
(b) it arrives over four (4) minutes and fifty nine (59) seconds after the scheduled arrival time;
(c) it departs before the scheduled departure time; and/or
(d) it departs over five (5) minutes and zero (0) second after the scheduled departure time.
Service performance standards require that ninety five percent (95%) of all buses providing service perform
“ON‐TIME”, and zero percent (0%) of those buses qualify as “HOT”. (“HOT” is defined as leaving before the
scheduled departure time.)
On‐Time Performance <95%
Contractor shall pay City a monthly lump‐sum of two‐hundred fifty dollar ($250.00) as a penalty payment for
each revenue service route for which on time performance is less than 95% on any one transit route.
On‐Time Performance <90%
Contractor shall pay City a monthly lump‐sum of five‐hundred dollars ($500.00) penalty payment for each
revenue service route (local transit) on which on time performance is less than 90%.
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On‐Time Performance <85%
Contractor shall pay City a monthly lump‐sum of one‐thousand dollars ($1,000.00) penalty payment for each
revenue service route (local transit) on which on time performance is less than 85%.
Reporting
Unsatisfactory CHP Rating (per report)
Contractor shall pay City the sum of four‐hundred dollars ($400.00) for each inspection that SLO TRANSIT
receives an unsatisfactory rating from the California Highway Patrol.
In addition to other applicable penalties, the Contractor shall pay City the sum of two hundred fifty dollars
($250.00) for each bus that receives an unsatisfactory rating by the California Highway Patrol.
In addition to other applicable penalties, the Contractor shall pay City the sum of five hundred dollars ($500.00)
per day that the California Highway Patrol terminates service due an unsatisfactory rating.
Failure to Employ (Management)
Contractor shall pay City an amount equal to one‐hundred fifty percent (150%) of daily salary including all fringe
benefits shall be deducted for each day the positions of Resident Manager, Operations Manager, and/or the
Maintenance Manager is vacant. This assessment will not be made until the thirtieth (30) day following notice of
employment separation and/or departure from this project.
Failure to Report (off routes, early, hot, etc.)
Contractor shall pay City the sum of one hundred dollars ($100.00) per incident for failing to report penalties
and/or liquidated damages.
Late Reports
Contractor shall pay City the sum of fifty dollars ($50.00) per report for each occasion on which Contractor fails
to submit when due any periodic editions of the reports required by City.
Farebox Deposit Shortage (%) Diff Reconciliation
Contractor shall be responsible for any and all lost revenue collected in fareboxes and shall pay the City the lost
revenue if the amount of collected fares is; equal to or greater than 0.5% LESS of GFI calculated fare revenue
from the electronic fareboxes.
Staff Performance
Uniform Non‐Compliance
Contractor shall pay City the sum of twenty‐five dollars ($25.00) per incident that a driver or Road Supervisor of
the Contractor fails to comply with to the Uniform/Dress Code.
Failure to Announce Stops (ADA)
The Contract shall pay the City one‐hundred dollars ($100.00) per bus stop that a bus driver fails to announce
bus stops if vehicle annunciator system is not working and the vehicle remains in revenue service.
Preventable Accident
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The Contractor shall pay the City a sum of fifty dollars ($50.00) for each preventable collision accident involving
any of the revenue vehicles, whether in or out of service.
Improperly Licensed Driver (endorsements)
The Contractor shall pay the City a sum of one‐thousand ($1,000.00) for each driver lacking the proper license
and endorsements.
Failure to Abide by City Policies
The Contractor shall pay the City a sum of one‐hundred ($100.00) for each failure to abide by City policies.
Failure to Load Passenger Before Driver Swap
The Contractor shall pay the City a sum of fifty dollars ($50.00) for each incident that a driver fails to load
passenger before beginning a driver swap during a revenue service.
Fare Evasion by Driver
The Contractor shall pay the City a sum of fifty to one‐ hundred dollars ($50.00‐$100.00) plus fare for each
incident that a driver allows family or friends to ride a route without paying required fare.
Failure to pass FTA Audit of Drug & Alcohol Program
Contractor shall pay City the sum of five‐hundred dollars ($500.00) per incident where the Contractor fails to
pass any FTA Audit of the FTA Drug and Alcohol Program.
Breaking CA Vehicle Code
Contractor shall pay City the sum of five‐hundred dollars ($500.00) per incident that a driver is found in violation
of the CA Vehicle Code.
Maintenance
Non‐Compliance Preventative Maintenance Schedule
Contractor shall pay City the sum of two‐hundred dollars ($200.00) for any infraction that a Preventative
Maintenance Inspection is not completed per adopted schedule.
Non‐Compliance Facility Maintenance Schedule
Contractor shall pay City the sum of two‐hundred dollars ($200.00) for any infraction that a Facility Maintenance
Inspection is not completed per adopted schedule.
Inoperable Lifts/Non ADA Compliance
Contractor shall pay City the sum of two‐hundred dollars ($200.00) per incident that a bus is placed in service
with an inoperative wheelchair lift.
Total Vehicle Miles between Roadcalls and Chargeable Service Calls
The Contractor shall pay the City the rate of one cent ($0.01) per total system vehicle miles in the event that
systemwide total vehicle miles between roadcalls and chargeable service calls falls less than four thousand
(4,000) miles.
Misuse of Fuel (stealing fuel, other than for service)
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Contractor shall pay City the sum of two‐hundred dollars ($200.00) for each occasion that the City finds there
has been a misuse of fuel, whether the fuel was for contractor vehicles or contactor staff’s private vehicles.
Incentives: Issued Quarterly
No Preventable Accidents with 90,000 miles between accidents
City shall pay the sum of one‐hundred dollars ($100.00) to the Contractor as an incentive for the Contractor’s
staff when there are no Preventable accidents and 90,000 between accidents.
No Preventable Accidents with 70,000 miles between accidents
City shall pay the sum of fifty dollars ($50.00) to the contractor as an incentive for the contractor’s staff when
there are no Preventable accidents and 70,000 between accidents.
No Preventable Accidents with 50,000 miles between accidents
City shall pay the sum of fifty dollars ($50.00) to the contractor as an incentive for the contractor’s staff when
there are no Preventable accidents and 50,000 between accidents.
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Table 1: Penalties & Incentives (Liquidated Damages)
Amount
Vehicle Cleanliness Related Issue$100
Facility Cleanliness Related Issue$100
Facility DamageAt Cost + $100
Late Departure /Pull ‐Out (leaving more than ≥5 min of posted $100
Early Departure / Pull ‐Out (leaving ≥1 minute earlier than pos $200
Off‐Route $50
Missed Run/Trip (leaving ≥ 15 minutes of posted schedule)$250
Missed‐Stop(s) [per stop]$50
Missed Passenger(s) [group per stop]$50
Failure to Operate Service (At‐All)Equal To Daily Cost + $1000
On‐Time Performance <95%$250
On‐Time Performance <90%$500
On‐Time Performance <85%$1,000
Unsatisfactory CHP Rating (per report)$400
Unsatisfactory CHP Rating (per bus)$250
Unsatisfactory CHP Rating (per day)$500
Failure to Employ (management)150% of Wage (inc fringe)
Failure to Report (off routes, early, hot, etc.) (per incident)$100
Late Report [(general monthly reports) past 10th day]$50
Farebox vs. Deposit Shortage (%) Diff reconciliationIf > 0.5% of GFI Report
Uniform Non‐Compliance$25
Failure to Announce Stops (ADA) (per stop)$100
Preventable Accident (per accident)$50
Improperly Licensed Driver (endorsements)$1,000
Failure to Abide City Policies$100
Failure to load passenger before driver swap$50
Fare Evasion by Driver$50‐$100 plus Fare
Failure to pass FTA Audit of Drug & Alcohol Testing$500
NEW: Breaking CA DMV Vehicle Code$500
Non‐Compliance Preventative Maint Schedule$200
Non‐Compliance Facility Maint Schedule$200
Inoperable Lifts/Non ADA compliance$250
Total Vehicle Miles between Roadcalls and Chargeable $0.01
Misuse of Fuel (stealing fuel, other than for service)$200
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Amount
No accidents 90K miles between accidents$75
No accidents 70K miles between accidents$50
No accidents 50K miles between accidents$50
On‐Time Performance ≥ 98%$100
On‐Time Performance ≥ 95%$100
Total:$375
Incentives: Issued Quarterly
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Appendix H: Disadvantaged Business Enterprises (DBE) Goal
Methodology For Calculating the Proposed DBE Goal for
Federal Fiscal Year 2015 through Federal Fiscal Year 2017 (FFY15‐FFY17)
The City of San Luis Obispo’s SLO Transit fixed‐route bus system (SLO TRANSIT) is proposing an overall
Disadvantaged Business Enterprise (DBE) goal of 1.7% for U.S. Department of Transportation, Federal Transit
Administration (FTA) assisted contracts in federal fiscal years 2015 through 2017 (FFY15 through FFY17).
Prior to FFY15, the FTA required that any recipient of greater than $250,000 in FTA funds annually must
establish a DBE goal. Recently, the FTA shifted from a requirement to calculate annually the DBE goal to
calculating it every three years. As such, SLO TRANSIT is herein complying with this new requirement.
SLO TRANSIT will receive approximately $1.1 million in FTA funding in FFY15 through FFY 17. Staff calculated the
three‐year DBE goal based upon the proposed SLO TRANSIT FY14‐15 budget. SLO TRANSIT will adjust its DBE
goal, if necessary, when future budgets are known or if contracting opportunities increase due to new capital
federal funding sources.
The Code of Federal Regulations, Title 49 Section 26 (49 CFR 26) describes several methods to calculate a DBE
goal. The method staff chose to develop SLO TRANSIT’s FFY15 through FFY17 goal specifies that a simple
percentage of DBE vendors in the contracted types of work be weighted by the proportion of total contract
opportunities in that type of work as shown in the overall budget to determine a base goal. The base goal is to
be further adjusted, as appropriate, to reflect the recipient’s actual experience or other qualifying factors to
narrowly tailor the goal to area market conditions. The final goal is expressed as both the percentage and the
amount of federal dollars in DBE contract opportunities.
SLO TRANSIT’s goal will be reached through race neutral means by doing the following: DBE participation
through a prime contract which a DBE obtains through customary competitive procurement procedures; DBE
participation through a subcontract on a prime contract that does not carry DBE goals; DBE participation on
prime contract exceeding a contract goal; and DBE participation through a subcontract from a prime contract
that did not consider a firm’s DBE status in making the award. SLO TRANSIT will not reach its goal through race
conscious contract goals.
To calculate SLO TRANSIT’s proposed FFY15 through FFY17 DBE Goal, staff used data from the proposed SLO
TRANSIT FY14‐15 budget, the latest (2008) US Bureau of Census County Business Patterns (CBP) database, and
the California Department of Transportation (Caltrans) database of all statewide certified
DBE vendors. Both the CBP and Caltrans DBE vendor database offer vendor groupings according to the type of
work they perform as categorized by the North American Industry Classification System (NAICS), which provides
a two to six‐digit number corresponding to every known type of work performed by businesses in North
America. In order to compare data from all three data sources using a common classification, staff identified all
of the goods and services that SLO TRANSIT typically contracts by a corresponding NAICS code. The following
text and tables describe the steps taken to calculate the goal.
First, staff examined the proposed SLO TRANSIT FY14‐15 budget to determine the type and amount of contracts
which could be awarded from the operating and capital sections of the budget. From an operating and capital
budget of $3,633,658, potential contract opportunities equal $3,068,203 outside of vehicle procurement. The
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FTA provides an estimated $1,189,140 in operating and capital funding assistance. The following table shows the
calculations for the first step.
Second, staff identified every piece of potential contract work in the FY14‐15 budget by a corresponding NAICS
code. Staff aggregated the types of work into the four broader Procurement Groups of Construction,
Transportation, Wholesale and Services identified in the Step 2 Table below. The four Procurement Groups
derived from all contract opportunities are shown in the following table by dollar amount and percentage of
total contract opportunities in each Procurement Group.
Third, staff determined the market area from which vendors who bid on SLO TRANSIT contracts would likely be
chosen. Since it is conceivable that a vendor may come from as far north as Sonoma, or as far south as Santa
Barbara for the award of a large contract, staff included all of Caltrans Districts 04 and 05 when conducting its
DBE calculation. In addition, staff included any DBE vendor in the state that indicated that they perform work in
Districts 04 and 05, regardless of the vendor’s location. The following fourteen counties fall within Caltrans
Districts 04 and 05, creating SLO TRANSIT’s market area:
Alameda County
Contra Costa County
Marin County
Monterey County
Napa County
San Benito County
San Francisco County
San Luis Obispo County
San Mateo County
Santa Barbara County
Santa Clara County
Santa Cruz County
Solano County
Sonoma County
(A) (B)(C)(D)(E)
Total$ Procurement
in Operating &
Capital Budget
$ Procurement in
Operating &
Capital Budget
(B)/(A)
$ FTA
Operating &
Capital
Assitance
$ FTA
Operating &
Capital
Assitance in
Procurement
(C)*(D)
FY15 Operating Budget3,633,658$ 3,068,203$ 84%1,189,140$ 1,004,091$
FY15 Capital Budget199,740$ 199,740$ 100%199,740$ 199,740$
Total: 3,833,398$ 3,267,943$ 1,388,880$ 1,203,831$
Step 1: SLO Transit FY15 Operating & Capital Budget Contract Opportunities
Procurement GroupConstructionTransportWholesaleServicesTotal
$in Group (FY15 Budget)‐$ ‐$ ‐$ 1,589,580$ 1,589,580$
% of All Procurements in Group0.0%0.0%0.0%100.0%100%
$ FTA in Group {(1)%* $ Step 1. (E)}‐$ ‐$ ‐$ 1,203,831$ 1,203,831$
Step 2. SLO Transit’s FY15 Operating & Capital Budget Contract Opportunities by Procurement Group
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After determining the market area, staff extracted a count of all vendors in the market area from the County
Business Patterns (CBP) database by using the same NAICS code attached to each piece of potential contract
work in the SLO TRANSIT FY‐1415 budget. Next, staff performed exactly the same operation on the Caltrans DBE
vendor directory to obtain a count of DBE vendors in the SLO TRANSIT market area. The count of all vendors,
DBE vendors and the percentage DBE vendors by Procurement Group in SLO TRANSIT’s market area are shown
in the following Step 3 Table.
Fourth, staff used the DBE percentage obtained above for each Procurement Group and multiplied that by the
percentage (weight) of the total work to be performed in that Procurement Group as determined in Step 2. This
produced the base DBE goal for FFY15 through FFY17.
Procurement Group ConstructionTransportWholesaleServices# of Firms
2382485991221210,323110,
423120,423130,
424120,424720,
8112
522190,5241,
541, 561612,
561720,562112,
621111,8111,
812332
In NIACS
Caltrans District 4
Alameda671171,4927,6129,792
Contra Costa47167345,0406,251
Marin18172602,3532,801
Napa851106692884
San Francisco377185737,4488,416
San Mateo427207434,1795,369
Santa Clara797161,44810,82213,083
Solano19063181,0471,561
Sonoma39364612,3833,243
Caltrans District 5
Monterey2193251,4481,992
San Benito2933135207
San Luis Obispo2102671,4861,963
Santa Barbara26043712,2012,836
Santa Cruz17312101,3581,742
TOTAL: 4,4831027,34148,20460,140
Step 3. SLO Transit's Market Area Firms by NAICS in Procurement Group
Total Firms and Certified DBEs
ConstructionTransportWholesaleServices#DBE's
NAICsNAICsNAICsNAICsin NAICs
Distrist 04 & 05 & Statewide DBE's 1556778241062
% DBE's3.46%5.88%1.05%1.71%1.77%
Sources: US Bureau of the Census, County Business Patterns, 2008
CA Dept. of Transportation, UCP Directory of DBEs, 5/1/14
Certified DBE's
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To obtain the final DBE goal using the chosen method prescribed by 49 CFR 26.45, staff examined the actual rate
of DBE participation during the last three years relative to the adopted DBE goals to determine if the FFY15
through FFY17 base goal should to be adjusted. Although SLO TRANSIT didn’t need to set a DBE goal due to the
fact that the only projects was direct labor cost, fuel and vehicle cost that was purchase with FTA funding, SLO
TRANSIT attempted to achieve 2% DBE goal and was not successful in achieving this goal. SLO TRANSIT had no
large construction contracts available to bid during the analysis period.
In previous years, SLO TRANSIT adopted annual goals of 2% DBE participation. SLO TRANSIT’s FY14‐15 capital
budget has no significant contract opportunities as it relates to large construction projects, which would warrant
an upward adjustment to the FFY15 through FFY17 goal. SLO TRANSIT’s capital contracting funds have been on a
consistent decline since 2008. And with the calculated rate falling well below the goals of the last three years,
staff decided that the calculated goal needed to be adjusted down to 1.7%.
SLO TRANSIT has only one major contract for the operations & maintenance associated with providing the
service. This contract is due to expire on June 30th, 2016. As in the past, SLO TRANSIT will be sure to include in
the RFP and contract language that if awarded to a non‐DBE vendor, such primary vendor must also adopt the
same DBE goal and or demonstrate a good faith effort in achieving it.
If approved by the City Council, SLO TRANSIT will establish a DBE Goal of 1.7% for FFY15 through FFY17. SLO
TRANSIT’s proposed DBE Goal for FFY15 through FFY17 and supporting documents for SLO TRANSIT’s DBE
Program are available for public inspection through August 6, 2015 at SLO TRANSIT’s Administrative Offices, 919
Palm St. and on our website at www.slotransit.org.
ConstructionTransportWholesaleServicesTotal
% DBE's in Market Area 3.45%5.88%1.05%1.71%1.77%
% Contract $ in Group 0.0%0.0%0.0%100.0%100%
Weighted %DBE(% Contracts*%DBE)0.00%0.00%0.00%1.71%1.71%
$ FTA Assistance ‐$ ‐$ ‐$ 1,388,880$ 1,856,244$
$ FTA in DBE Contracts
%DBE * Total $ FTA Assistance ‐ ‐ ‐ 23,741.54 23,742
Step 4: SLO Transit's FFY15‐FFY 17 DBE Goal for FTA Assisted Contracts
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Appendix I: Reporting Requirements
Contractor shall submit operating data and related information to the specification and satisfaction of City. As
City’s needs for data change from time to time, Contractor shall assist City in implementing revised data
collection procedures and methods. Contractor shall be responsible for accurately completing then forms
developed by Contractor and approved by City at the time interval indicated. One original copy of each form
shall be provided to City. Contractor shall duplicate forms as necessary for completion and submittal to City.
Weekly reports shall be delivered to City no later than 3:00 p.m. on the second working day following the end of
the operating week. Typically, this will be Tuesday. Monthly reports, including Contractor’s invoice, shall be
submitted to City no later than the tenth (10th) day of the calendar month following the month of service
provided.
All reports shall be regarded as supportive documentation of Contractor’s invoice for payment and shall be
submitted on a timely basis.
1. Daily Report
The Transit Manager shall be immediately notified of any incident and accident. A written report
shall be submitted to the Transit Manager within three (3) hours of the accident. Written Accident
Report to include Police Report number, driver report, photos and video within 2 days of occurrence
of the accident or incident.
Unusual occurrence report. Serious unusual occurrences shall be reported immediately
Video and driver reports pertaining to any complaint, incident or accident.
2. Weekly Reports
The following reports shall be submitted to City on a weekly basis:
Dispatch log (original)
Fixed Route Passenger Summary Report Beginning of Month
Fixed Route schedule adherence reports (time checks)
NTD surveys, which consists of: the recording and summation of passenger activity;
beginning and ending farebox revenue, calculation of passenger miles and total farebox revenue
collected
Incident report per NTD
Wheelchair Usage Report
Bicycle Usage Report
Written response to service complaints (upon occurrence)
Passenger comments and complaints log
3. Monthly Reports and Invoice
The following reports shall be submitted to City on a monthly basis:
Schedule adherence reports will include a separate summary of on‐time performance for revenue
services.
Invoice for services provided
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General Manager’s report, outlining activities for the month including any unusual events, incidents,
suggestions, etc.
Fluids and fuel consumption report by vehicle
Hours and mileage report by vehicle, including revenue hours/miles, non‐revenue hours/miles, total
vehicle service hours/miles, training hour/miles, yard hours/miles, and maintenance hours/miles.
Mechanical defects during revenue and non‐revenue service
Body damage by vehicle
Fixed Route revenue bank deposit slip
Preventative maintenance report by vehicle
Facility cleanliness report
4. Schedule Change and Runcut Reports
The following reports shall be submitted to City five working days after a minor or major schedule change:
Two complete copies of the drivers’ paddles, and runcuts
Summary, format to be approved by City, which will include daily revenue hours and miles, non‐
revenue hours and miles, total hours and miles, and recover time by run by route, by service period (AM
peak, midday, PM peak, and evening) and by day type (weekday, Saturday, Sunday, holiday, etc.).