Post on 25-Apr-2023
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________________________________________________________________________________
May 10, 2018
Proposal: Executive Director Search and Recruitment
Prepared on Behalf of —
South Florida Regional Transportation Authority (Tri-Rail)
Mr. Christopher Bross
Director, Procurement South Florida Regional Transportation Authority 801 NW 33rd Street, Pompano Beach FL 33064
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Offered by —
KL2 Connects LLC
John Bartosiewicz
Principal and Project Manager KL2 Connects LLC (817) 291-3220john@KL2connects.com
Visit KL2 online at www.kl2connects.com
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Contents
About KL2 ................................................................................................................... 2 Experience .................................................................................................................. 2 CEO Recruitments ........................................................................................................ 3 Understanding of the CEO Role ...................................................................................... 4
Diversity & Inclusion .................................................................................................... 4 Key Staff .................................................................................................................... 5 Work Plan ................................................................................................................... 7 Timeline, Milestones & Billings ....................................................................................... 8 Candidate Vetting ........................................................................................................ 9
Clients ........................................................................................................................ 9 References ................................................................................................................. 10 Fees .......................................................................................................................... 11 Service Agreement ................................................................................................. 12-15 Complete Staff Resumes ..................................................................... Attached (pp 16-24)
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About KL2
KL2 Connects LLC is a retained executive recruiting consultancy that places exceptionally qualified candidates with public transit agencies and the private sector firms that support them. With our singular transit industry focus, our principals’ transit executive career experience, and our broad access to seasoned and emerging talent, KL2 is well positioned to deliver the best and the brightest to your organization.
The KL2 story began in 2007 when veteran transportation executives Tony Kouneski and Jack Leary founded KL Executive Search. With their extensive industry relationships and career experi-ence hiring, developing, and managing public transit talent they quickly established a reputation for excellence. In response to growing client demand the firm soon added Celia Kupersmith, Paul
Muldoon, Al Schlimm, John Bartosiewicz, and Jeff Popovich to the team. With the opening of its west coast offices and the 2014 retirement of Jack Leary and semi-retirement of Tony Kouneski, the firm rebranded itself as KL2 Connects LLC. Today, KL2’s team of seasoned principals serves a growing client base from offices in Reno, Seattle, Asheville, Fort Worth, Greater Los Angeles, and
Washington DC.
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Experience
The KL2 Team offers clients more than 150 combined years of public transit and APTA management and Executive Committee experience. No other recruiting firm serving the industry approaches KL2’s level of public transit specialization and insight. Over their extensive careers, KL2’s principals have successfully resolved hundreds of staffing issues across multiple public transit functions: C-
suite, middle management, finance, operations, planning, development, legal, human resources, project management, government affairs, safety, security, training, purchasing and contracts, grants management, civil rights, engineering, maintenance, design and construction, and more. This is a team that has enjoyed significant visibility and interaction in every corner of the transit industry – among executives and industry leaders; boards of directors; legislators and regulators;
professional groups, committees, and associations; and community, advocacy, and special interest groups.
With their executive-level transit backgrounds KL2’s principals have cultivated a wealth of relevant connections and relationships, and they look forward to employing a range of targeted outreach
and networking efforts on Tri-Rail’s behalf. Four of KL2’s principals are former senior executives of major public transit agencies. Having walked for decades in the shoes of a public transit or APTA executive, KL2’s principals are well positioned to identify, evaluate, and bring forward the most qualified candidates.
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KL2 Connects LLC is proud to offer to Tri-Rail:
� Public transit industry specialization
� A highly successful recruiting track record � More than 135 recruitments completed since 2007 � An extremely high placement “stick rate” � Over 150 combined years of public transit career experience � Experience leading public transit organizations of various sizes and complexity
� Former senior public transit executives as project managers � Direct engagement of multiple KL2 principals � Extensive APTA management, Executive Committee, and state association experience � Substantial C-suite recruiting experience � Decades of career experience identifying, developing, and managing transit talent
� Access to comprehensive transit industry databases � Transit industry “insider” access � Access to passive as well as active candidates � Extensive experience working with public boards and local, state, and federal entities
� National outreach and alliances � Several regional offices — the agility to adjust quickly to clients’ evolving needs � A commitment to equal opportunity and a track record of placing minority candidates
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CEO Recruitments
As former public transit and APTA executives KL2’s principals bring to each C-suite recruitment a first-hand understanding of the myriad components of agency and association leadership. In recent years they have applied that acumen to the successful placement of CEOs with the following or-
ganizations:
� Sacramento Regional Transit Authority | minority placement � Fort Worth Transportation Authority
� Lane Transit District | minority female placement
� Nashville Metropolitan Transit Authority � San Luis Obispo Regional Transit Authority � Marin County Transit District | female placement � McDonald Transit (Corporate Office)
� Memphis Area Transit Authority � Tulsa Transit � North County Transit District | minority placement � Massachusetts Bay Commuter Railroad Company � Minnesota Valley Transit Authority | minority placement
� Central Arkansas Transit Authority � SolTrans � Sun Line Transit Agency | female placement � VIA Metropolitan Transit | minority placement
� Los Angeles County Metropolitan Transportation Authority � Central Florida RTA (Lynx) | minority placement � Charlotte Area Transit System | minority female placement
� C-TRAN� Rhode Island Public Transportation Authority
� TriMet� Capital Area Transportation Authority
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Understanding of the CEO Role
KL2 principals John Bartosiewicz, Celia Kupersmith, Paul Muldoon, and Tony Kouneski have each held executive positions at multiple transit organizations. They have hands on experience in man-aging all modes, including commuter rail and working with outside private contractors. Celia, John, and Tony have held leadership roles at APTA. As such, they bring to each KL2 recruitment a first-hand understanding the myriad components of transit agency leadership. Should KL2 win this
valued assignment, its goal would be to present a diverse slate of candidates that offer an optimal blend of managerial, technical, political, and personal attributes, including:
� Vision and integrity � A passion for public transportation
� An understanding of transit’s value to various communities � Evidence of sound business judgment � Strong leadership and managerial skills � Executive presence and self-confidence
� Exceptional communications skills across all levels � A strong understanding of public transit operations and maintenance � An analytical mind and grasp of related technology � Experience working well with organized labor � A demonstrated record of making lasting or transformative change
� A comfort level working in a transparent environment � An understanding of the dynamics of working with elected officials � A willingness to pursue new ways of working in a complex environment � Personal and professional behaviors that reflect the values of Tri-Rail
Successful CEO candidates also will have the ability to:
� Embrace, promote, and fulfill Tri-Rail’s core mission � Be the Authority’s principal advocate for positive change
� Recognize and promote Tri-Rail’s successes � Engage, support, inspire, motivate, and value staff at all levels � Deftly balance priorities and service needs � Foster consensus amid divergent interests � Successfully engage the public and the media
� Build and sustain internal and external relationships � Successfully manage outside private sector contractors � Be a good steward of finite financial resources � Translate operational and financial data into effective action � Implement course corrections as needed
� Keep the needs of riders and taxpayers as high priorities � Work effectively with the Board to carry out the Authority’s mission
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Diversity & Inclusion
As former public transit executives, KL2’s principals possess a keen awareness of the importance of diversity. In nearly all of the executive-level recruitments KL2 has completed since 2007, the firm has submitted at least one female or minority candidate as a finalist. Celia Kupersmith cur-
rently serves as co-chair of APTA’s LGBT Task Force within its Diversity Council. Founder and principal emeritus Tony Kouneski and John Bartosiewicz are past recipients of APTA’s Best System
for the Hiring and Promoting of Minorities Award and the Women in Transportation Committee’s award for Promoting Women into Senior Management Positions. And firm principal Jeff Popovich is co-founder of wemovepeople.org, an organization dedicated to strengthening the industry by
providing networking and professional development opportunities, mentorship programs for LGBT students, and a place for businesses to share best practices on diversity and inclusion.
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Key Staff
John Bartosiewicz Fort Worth TX Office
� Fourteen years as COO and Special Assistant to the President, McDonald Transit Associates � Twenty-five years as Executive Director, Fort Worth Transportation Authority � Three years as Administrative Assistant and Acting Transit Director, Town of Chapel Hill � Extensive transit industry consulting, contract oversight, business development experience
� Extensive labor relations and collective bargaining experience � APTA Board Chair (1999-2000); former President of Texas, South West Transit Associations � Broad fixed route, paratransit, rideshare services management experience � Key role in the planning, design, construction, operation of RailTran commuter rail program � Bachelor’s (Assumption College), Master’s (Government College of William & Mary)
Celia Kupersmith
Reno NV Office
� Eleven years as CEO, Golden Gate Bridge Highway and Transportation District � Two years as Deputy CEO, Sound Transit � Six years as Executive Director, Regional Transit Commission of Washoe County (Reno)
� Two terms on APTA's Executive Committee � APTA Board Chair (2002/2003) � Co-chair of APTA Diversity Council’s LGBT Task Force � Transportation Research Board’s Project Selection Committee � Mineta Transportation Institute
� Extensive regional transportation planning background � Bus, rail, ferry, toll facility, road construction/maintenance experience
Paul Muldoon
Seattle WA Office
� Seventeen years as VP and Senior VP of Business Development (Cubic, Thales, Stratagen) � Manager of Facilities Design and Development, City of Bellevue WA � Deputy Commissioner, Light Rail Planning Project (City of Chicago) � Manager of New Technologies, Capital Programs, (Chicago Regional Transportation Authority)
� General Manager, Oaklawn Transit (Division of Pace Bus) � Assistant General Manager, SunTran (Tucson)
� Public transit management experience: small to multi-modal (several thousand vehicles) � Fare/vehicle technologies management, train control, communications experience � Bachelor’s, Transportation/Mobility Management (Indiana University)
Al Schlimm
Asheville NC Office
� Extensive public transit executive search and recruitment experience � Thirty-year administrative, consulting, project management background � Extensive marketing, contract oversight, business development experience � Quantitative and qualitative research expert
� Expert at acquiring/interpreting data, formulating conclusions and recommendations � Decades of experience interviewing executive/professional/technical personnel internationally � Four years as Quantitative Research Director, iResearch Corporation � Consultant to nationally-prominent clients such as Proctor and Gamble, Microsoft, Verizon � Fourteen years as founder and President of Dataview Research Inc.
� Seven years as Senior Analyst, Research Director (Johns Hopkins, Becton Dickinson, others) � Bachelor’s, Business Management, Towson University
Jeff Popovich
Greater Los Angeles Office
� Expert at applying IT and database management strategies to executive recruiting efforts
� Eleven-plus years of public transit industry experience � Ten years as APTA’s Chief Information Officer � Conducted peer reviews for public transit agencies of various sizes and complexity � Coordinated programs through APTA’s Transit Cooperative Research Program � Graduate of APTA Executive Leadership Program, well-networked with emerging transit talent
� Ten years as Project Manager and IT consultant for companies such as Ernst & Young, KPMG � Led technology departments, deeply involved in non-profits such as FirstBook.org � Bachelor’s (Park University), Master’s (Florida Institute of Technology)
Tony Kouneski
Washington DC Office
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� KL2 founder and semi-retired strategic advisor � More than thirty-five years of public transit management experience
� Ten additional years as public transit industry recruiter � Served for twelve years as APTA’s Vice President of Member Services � Served for two terms with APTA's Executive Committee � Former President of the Ohio Public Transit and Texas Transit Associations
� Former VP/GM of Bus Operations with NJ Transit (2000 buses and historic subway system) � Six years as GM of Austin’s Capital Metro (500 buses, 1000+ employees) � Fourteen years with ATE Management (now First Transit); left ATE as a Senior VP � Served as ATE’s GM of SORTA (Cincinnati) and SunTran (Tucson) � Served as ATE’s Assistant GM of Metro Regional Transit Commission (Minneapolis/St. Paul)
� Served as ATE’s Director of Marketing for Baltimore’s Mass Transit Administration � Prior to transit career, accumulated ten years of association management experience � Bachelor’s in Marketing (University of Baltimore)
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Work Plan
In broad strokes, KL2’s recruitment design and execution will encompass the following steps. We look forward to further customizing this approach in conjunction with Tri-Rail to ensure that it
meets each of the Authority’s unique objectives and requirements.
Intake — Should KL2 be awarded this assignment, KL2 will immediately conference with Tri-Rail at its convenience. The goal of this conference will be to build upon KL2’s understanding of Tri-Rail’s organizational structure, environment, history, culture, region, governance, and any and all
challenges or perspectives germane to the success of this assignment.
Internal Assessment — KL2 principles will conduct a materials review and deploy in-depth stake-holder interviews and other internal and external processes to obtain input that will contribute to KL2’s development of a Leadership Profile.
Literature — KL2 will develop targeted promotional literature (a Position Brochure, Position Adver-tisements, and other outreach materials) which will promote the position, the Authority, and the region to potential candidates.
Advertising — KL2 will identify appropriate and effective media and deploy Position Ads for national exposure.
Outreach — With their executive-level transit and APTA backgrounds the KL2 Team has amassed
a wealth of relevant industry connections. At this stage KL2 will employ a variety of networking opportunities and direct outreach efforts that will engage and identify active as well as passive candidates.
Identification — KL2 will collect, assess, evaluate, communicate with, and schedule a diverse slate
of potential candidates for consideration.
Reporting — KL2 will regularly report to Tri-Rail the results of its ongoing search in accordance with the Authority’s preferences as established at the initial intake conference.
Evaluation — KL2 principles will employ various quantitative and qualitative processes in the thor-ough evaluation of each candidate. Multiple KL2 principals will play an active role in this phase of the recruitment.
Reduction — KL2’s goal will be to initially present a list of several vetted and qualified candidates, then to assist Tri-Rail in distilling that larger pool to a select few for the final interviews.
Background — KL2 will employ various methods to check the backgrounds and references of all viable candidates, with additional in-depth analyses and verification performed on the finalists.
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Coordination — KL2 will work with Tri-Rail to coordinate schedules and logistics for interviews at
Tri-Rail’s preferred location.
Briefing — KL2 will provide Tri-Rail with an electronic Candidate Briefing Report to aid in the as-sessment of candidates. This will include candidate resumes, reference comments, ethics assessments, and proposed interview questions.
Interviewing — KL2 will assist Tri-Rail with the final interviews upon request.
Negotiation — If desired, KL2 will assist Tri-Rail in the making of an offer and discussion of em-
ployment terms with its first choice candidate.
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Timeline, Milestones & Billings
The following outline illustrates KL2’s typical recruitment approach. While we look forward to re-fining this methodology and timeline to accommodate Tri-Rail’s unique objectives, this framework should serve as a starting point for the Authority’s deliberations.
First 30 Days (Estimate)
� Receive Tri-Rail’s Notice to Proceed � Submit KL2 invoice 1 (one fourth of the total with 15 day terms) � Establish communication protocols with Tri-Rail’s designated liaison
� Confirm objectives, expectations, communications preferences � Conduct intake conference with Tri-Rail at its location and convenience � Refine strategy, process, timeline � Solicit input through interviews with board, search committee, stakeholders � Develop and receive Tri-Rail’s approval of the Leadership Profile
� Develop position ads, brochure, and promotional/outreach materials � Identify advertising resources and deploy ads for national exposure
Next 30 Days (Estimate)
� Receive candidate responses and manage candidate communications � Employ networks and resources to identify passive as well as active candidates � Distribute promotional and position materials to candidates � Screen, evaluate, and interview the most qualified candidates
� Submit KL2 invoice 2 (one fourth of the total with 30 day terms) � Employ candidate evaluation and assessment tools � Make every effort to obtain a diverse slate of candidates � Provide regular reports to Tri-Rail � Develop a list of several qualified potential candidates
� Reference check all candidates � Submit electronic Candidate Briefing Book to Tri-Rail � Submit KL2 invoice 3 (one fourth of the total with 30 day terms)
Next 30 Days (Estimate)
� In conjunction with Tri-Rail, reduce the larger candidate list to the strongest few � Assist Tri-Rail with interview logistics � Participate in the final interview process, if desired
� Assist Tri-Rail with the selection of a single finalist � Deploy an independent background check on short-listed candidates � Assist Tri-Rail with its offer and negotiations � Notify unsuccessful candidates of Tri-Rail’s final decision � Submit KL2 invoice 4 (one fourth of the total with 30 day terms)
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Candidate Vetting
KL2 will employ stringent methods to investigate candidates’ backgrounds, including requiring each to complete a self-disclosed Ethics Assessment that addresses:
� Conflicts of interest
� Violations of ethical conduct � Malfeasance or misfeasance in the performance of duties � Investigations/censure by a grand jury, board of inquiry or similar body � Disciplinary actions, including suspension, probation, or demotion � Dismissals or requested resignations
� Lawsuits against current or former employer � Civil or criminal lawsuits � Findings of fault, out-of-court settlements, fines, or other restitutions � EEO, sexual harassment, or discrimination complaints or civil suits � Allegations of wrongdoing
� Felony or misdemeanor convictions � Bankruptcies � Adverse financial circumstances � Compliance with state and federal tax liabilities
� Other potentially controversial or embarrassing histories
For a single finalist a third-party investigator will be engaged to independently verify:
� Employment history
� Criminal history � Sex offender registration � Financial matters (including bankruptcies and liens) � Legal judgments (including UCC filings) � Credit history
� Education
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Clients
KL2 is proud to count the following organizations among its satisfied clients. As evidence of our
recruiting success, we have been reengaged by many of these clients to recruit other positions after the initial recruitment.
� Big Blue Bus, Santa Monica CA
� North County Transit District, Oceanside CA � VIA Metropolitan Transit, San Antonio TX � MARTA, Atlanta GA � Pinellas Suncoast Transit Authority, St. Petersburg FL � Pierce Transit, Tacoma WA
� Los Angeles County Metropolitan Transportation Authority, Los Angeles CA � Metrolink, Los Angeles CA � Nashville Metropolitan Transit Authority, Nashville TN � Santa Clara Valley Transit Authority, San Jose CA � Fort Worth Transportation Authority, Fort Worth TX
� Detroit Transit Corporation, Detroit MI � Cubic Transportation, San Diego CA � Charlotte Area Transportation System, Charlotte NC � McDonald Transit Associates, Fort Worth TX
� Michael Baker Engineering, Pittsburg PA � Sun Line Transit Agency, Thousand Palms CA
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� Central Florida Regional Transportation Authority, Orlando FL � Marin County Transit District, Marin County CA � San Luis Obispo Regional Transit Authority, San Luis Obispo CA
� Veolia Transportation, Chicago IL � INIT, Seattle WA � Lone Star Rail District, San Marcos TX � Central Arkansas Transit Authority, Little Rock AR � Southwest Ohio Regional Transit Authority, Cincinnati OH
� Memphis Area Transit Authority, Memphis TN � Capital Area Transit Authority, Lansing MI � Bombardier Transportation, Toronto � Santa Cruz Metro, Santa Cruz CA
� Veolia Transportation, Chicago IL � Sound Transit, Seattle WA � Proterra, San Francisco CA � RATP Dev America, New York NY � Des Moines Area Regional Transit Authority, Des Moines IA
� Trimet, Portland OR � Caltrain, San Mateo CA � San Diego Metropolitan Transit System, San Diego � Chapel Hill Transit, Chapel Hill NC � Xerox, Germantown PA
� Lane Transit District, Eugene OR � Massachusetts Bay Commuter Railroad Company, Boston MA � AECOM Engineering, New York NY � Minnesota Valley Transit Authority, Minneapolis MN
� Sacramento Regional Transit Authority, Sacramento CA � South Bend Public Transportation Corporation, South Bend IN � McDonald Transit Associates, Fort Worth TX � RTC Washoe, Reno NV � C-TRAN, Vancouver WA
� SolTrans, Solano County CA � Tulsa Transit, Tulsa OK � Network Rail, Washington DC � DART, Dallas TX � City of Fresno, Fresno CA
� Rhode Island Public Transportation Authority, Providence RI
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References
Sacramento Regional Transit
Sacramento CA Jay Schenirer, Regional Transit Board of Directors (916) 808-7005 | jschenirer@cityofsacramento.org
Recruited by KL2:
� General Manager � Deputy COO
KL2 was retained by Regional Transit’s Board of Directors to recruit a new General Manager who
would be responsible for implementing major changes within the organization. RT was looking for a leader with a strong fiscal management background, decisive leadership qualities, and substan-tial multi-modal experience. KL2 worked closely with the Board to develop an appropriate Leadership Profile and the KL2 Team facilitated extensive community processes to obtain internal and external feedback on the GM role. In the end KL2 presented several highly qualified candidates
and the RT Board offered the position to an outstanding candidate. The new GM is making great strides in his first year and KL2 was subsequently reengaged fill additional senior operations.
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Fort Worth Transportation Authority
Fort Worth TX Paul Ballard, President and CEO (817) 215-8704 | paul.ballard@fwta.org
Recruited by KL2:
� Chief Executive Officer � Vice President of Operations and Maintenance
� Marketing Director
In 2013 the Board of “The T” engaged KL2 to identify and recruit a new CEO. With the recent retirement of its existing CEO, a new board, and a major rail development project falling behind
schedule, The T was facing significant changes and challenges and in urgent need of a strong leader. KL2 identified an experienced candidate with a strong management and rail project devel-opment background and, working closely with board, were able to place the candidate in this position within 90 days.
TriMet
Portland OR Randy Stedman, Executive Director, Labor Relations & Human Resources (503) 962-6414 | stedmanr@trimet.org
Recruited by KL2:
� General Manager � Chief Operations Officer
� Executive Director Transportation � Finance Director
KL2 was retained by TriMet in 2015 to identify and recruit a COO capable of leading numerous operational initiatives in a multi-modal environment. TriMet was looking for a leader with an ex-
ceptional operations background and proven change management skills. KL2 presented several highly qualified candidates and TriMet filled the position within 60 days. TriMet has since engaged KL2 to fill a number of additional positions, including the General Manager.
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Fees
KL2 proposes to recruit Tri-Rail’s next Executive Director for an all-inclusive fee of $49,500.
Candidate Travel
All candidate travel and related expenses will be the responsibility of Tri-Rail.
Terms
KL2 will invoice Tri-Rail for one fourth of the stated fee upon receiving a Notice to Proceed; another fourth upon completion of the initial screening interviews; another fourth upon presentation of candidates for interview via an electronic Briefing Report; and the final fourth upon Tri-Rail’s se-lection of a candidate and that candidate’s acceptance into the position.
Other Hires
Should Tri-Rail elect (within one year of any authorized KL2 search) to hire into any other positions any individuals from lists of candidates referred to Tri-Rail by KL2, KL2 shall be entitled to a 10% fee based upon those individuals’ first-year salaries.
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Guarantee
If an individual placed with Tri-Rail by KL2 leaves Tri-Rail’s employment for any reason other than family emergency, serious illness, or death during his or her first year of employment, KL2 will repeat the recruitment and replace that candidate at no cost to Tri-Rail except for direct expenses including KL2 travel, position advertising, and candidate travel.
Term
This offer will remain in effect for 90 days from its submission date and the firm’s stated fees will remain firm and fixed for the duration of the contract.
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Service Agreement
Executive Search Services Agreement
By and Between
South Florida Regional Transportation Authority and KL2 Connects LLC
This Agreement is hereby entered into between South Florida Regional Transportation Authority (“Tri-Rail”) and KL2 Connects LLC (“KL2”). KL2 agrees to comply with the terms and conditions
of the below exhibits which are by this reference made a part of this Agreement and incorporated herein as though set forth in full. In consideration of the mutual promises contained in this Agreement, the parties have executed this contract on the __________ day of May, 2018.
By ______________________________________________________________________
Al Schlimm, Principal, KL2 Connects LLC, 15 Baird Lane, Asheville NC 28804
By ______________________________________________________________________
_______________________________, _______________________, Tri-Rail
This Agreement must be executed before work can commence.
EXHIBIT A: SCOPE OF WORK
a) Work Plan (Refer to page 7 of this proposal)
b) Timeline, Milestones & Billings (Refer to page 8 of this proposal)
c) Key KL2 Staff (Refer to page 5 of this proposal): Project Manager, John Bartosiewicz
d) Key Tri-Rail Staff
Tri-Rail Primary Contact/Project Manager:Name: ____________________________________
Phone: ____________________________________ Email: ____________________________________
Tri-Rail Secondary Contact: Name: ____________________________________
Phone: ____________________________________ Email: ____________________________________
EXHIBIT B: BUDGET DETAIL AND PAYMENT PROVISIONS
Refer to page 11 of this proposal.
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EXHIBIT C: GENERAL TERMS AND CONDITIONS
Time of Performance
Work will not begin, nor will claims be paid for services under this Agreement, until KL2 provides
all Certificates of Insurance, IRS ID number, signed W-9 form, and/or other applicable licenses or certificates to Tri-Rail.
Termination
This Agreement may be terminated by Tri-Rail or KL2, at any time, with or without cause, upon 30 days written notice from one to the other, unless otherwise provided for herein. Following termination, Tri-Rail will reimburse KL2 for all expenditures made in good faith that are unpaid at the time of termination not to exceed the maximum amount payable under this Agreement unless KL2 is in default of the Agreement.
Signature Authority
The parties executing this Agreement certify that they have the proper authority to bind their
respective entities to all terms and conditions set forth in this Agreement.
Warranty
Tri-Rail relies upon KL2's professional ability and training as a material inducement to enter into
this Agreement. KL2 warrants that it will perform the work according to generally accepted pro-fessional practices and standards and the requirements of applicable federal, state and local laws. Tri-Rail’s acceptance of KL2's work shall not constitute a waiver or release of KL2 from professional responsibility. KL2 further warrants that it possesses current valid appropriate licensure, including, but not limited to, driver’s license, professional license, certificate of tax-exempt status, or permits,
required to perform the work under this Agreement.
Best Efforts
KL2 warrants that it will, at all times, faithfully, industriously, and to the best of its ability, experi-ence, and talent, perform to Tri-Rail’s reasonable satisfaction.
Default
If KL2 defaults in it performance, Tri-Rail shall promptly notify KL2 in writing. If KL2 fails to cure a default within 30 days after notification, unless otherwise specified herein, or if the default re-quires more than 30 days to cure and KL2 fails to commence to cure the default within 30 days after notification, then KL2's failure shall terminate this Agreement.
Insurance Requirements
KL2 shall procure and maintain for the duration of this Agreement Commercial General Liability and Automobile Insurance, Workers' Compensation Insurance, and Errors and Omissions Insur-
ance.
Compliance with Law
KL2 shall comply with all federal, state and local laws and regulations applicable to KL2’s perfor-
mance, including, but not limited to, licensing, employment and purchasing practices, wages, hours and conditions of employment.
Confidentiality
KL2 and Tri-Rail shall make best efforts to prevent unauthorized disclosure of names and other Tri-Rail-identifying information, except for statistical information not identifying a particular pro-ject. KL2 shall not use Tri-Rail-specific information for any purpose other than carrying out KL2's obligations under this Agreement. KL2 shall promptly transmit to Tri-Rail all requests for disclosure
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of confidential information. Except as otherwise permitted by this Agreement or authorized by Tri-Rail, KL2 shall not disclose any confidential information without prior written authorization from Tri-Rail. For purposes of this section, identity shall include, but not be limited to, name, identifying number, symbol or other client identifying particulars, such as fingerprints, voice print or photo-
graph.
Conflict of Interest
KL2 warrants that it and/or its employees and/or their immediate families and/or Board of Directors
and/or officers have no interest, including, but not limited to, other projects or independent con-tracts, and shall not acquire any interest, direct or indirect, including separate contracts for the work to be performed hereunder, which conflicts with the rendering of services under this Agree-ment. KL2 shall employ or retain no such person while rendering services under this Agreement. Services rendered by KL2's associates or employees shall not relieve KL2 from personal responsi-
bility under this clause. KL2 has an affirmative duty to disclose to Tri-Rail in writing the name(s) of any person(s) who have an actual, potential or apparent conflict of interest.
Drug Free Workplace
KL2 warrants that it is a drug free workplace and that it shall abide by and implement all related statutory requirements.
Nondiscrimination
In rendering services under this Agreement, KL2 shall comply with all applicable federal, state and local laws, rules and regulations and shall not discriminate based on age, ancestry, color, gender, marital status, medical condition, national origin, physical or mental disability, race, religion, sex-ual orientation, or other protected status. Further, KL2 shall not discriminate against its employees,
which includes, but is not limited to, 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.
Unforeseen Circumstances
KL2 is not responsible for any delay caused by natural disaster, war, civil disturbance, labor dispute or other cause beyond KL2's reasonable control, provided KL2 gives written notice to Tri-Rail of the cause of the delay within 10 days of the start of the delay.
Ownership of Documents
Tri-Rail shall be the owner of and shall be entitled to possession of any computations, plans, cor-respondence or other pertinent data and information gathered by or computed by KL2 prior to
termination of this Agreement by Tri-Rail or upon completion of the work pursuant to this Agree-ment. No material prepared in connection with the project shall be subject to copyright in the United States or in any other country.
Nonrenewal
KL2 acknowledges that there is no guarantee that Tri-Rail will renew KL2's services under a new contract following expiration or termination of this Agreement.
Changes and Amendments
Tri-Rail may request changes in KL2's scope of services. Any mutually agreed upon changes shall be effective when incorporated in written amendments to this Agreement. The party desiring the revision shall request amendments to the terms and conditions of this Agreement in writing. Any
adjustment to this Agreement shall be effective only upon the parties' mutual execution of an amendment in writing. No verbal Agreements or conversations prior to execution of this Agreement or requested Amendment shall affect or modify any of the terms or conditions of this Agreement
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unless reduced to writing according to the applicable provisions of this Agreement.
Choice of Law
The parties have executed and delivered this Agreement in the State of Florida. The laws of the State of Florida shall govern the validity, enforceability or interpretation of this Agreement. The State of Florida shall be the venue for any action or proceeding, in law or equity that may be brought in connection with this Agreement.
Waiver
Any failure of a party to assert any right under this Agreement shall not constitute a waiver or a termination of that right, under this Agreement or any provision of this Agreement.
Disbarment or Suspension
KL2 warrants that its officers, directors and employees (i) are not currently excluded, debarred, or
otherwise ineligible to participate in state or federal transportation related projects and programs; (ii) have not been convicted of a criminal offense related to the provision of consultant servicesbut have not yet been excluded, debarred, or otherwise declared ineligible to participate in stateor federal transportation related programs or projects, and (iii) are not, to the best of itsknowledge, under investigation or otherwise aware of any circumstances which may result in KL2
being excluded from participation in state or federal transportation related projects or programs.This representation and warranty shall be an ongoing representation and warranty during the termof this Agreement and KL2 must immediately notify Tri-Rail of any change in the status of therepresentations and warranty set forth in this section.
Execution in Counterparts; Signatures by Facsimile or PDF
This Agreement may be executed in duplicate originals, each of which is deemed to be an original, but when taken together shall constitute one instrument. Facsimile copies or copies delivered via
e-mail as a portable document format (pdf) file shall be deemed to be original copies.
Entire Agreement
This Agreement, including any exhibits referenced, constitutes the entire agreement between the
parties and there are no inducements, promises, terms, conditions or obligations made or entered into by Tri-Rail or KL2 other than those contained.
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KL2 Staff Resumes _____________________________________________________________________________
JOHN P. BARTOSIEWICZ
A public transport executive and labor relations/ management consultant with more than forty (40) years of experience in day-to-day management of transit systems, labor relations, grievance and interest arbitration and collective bargaining.
PRINCIPAL
KL2 CONNECTS LLC, ASHEVILLE NC (2017-PRESENT)
Responsible for the recruitment and placement of skilled and experienced executives, senior managers and senior level technical personnel in the public transportation industry.
CHIEF OPERATING OFFICER/SPECIAL ASSISTANT TO THE PRESIDENT MCDONALD TRANSIT ASSOCIATES, INC./RATP DEV NA (2/2003 – 12/17)
Provided executive management oversight for client contracts. Led the firm’s consulting divi-
sion, assisted in business development activities, managed labor relations activities for the company.
EXECUTIVE DIRECTOR FORT WORTH TRANSPORTATION AUTHORITY (“THE T”)
FORT WORTH, TEXAS (7/1977 – 2/2003)
Was responsible for the complete operation of fixed-route bus service, paratransit service, and rideshare programs in four cities. Played a key role in the planning, design, construction, and operation of RailTran, a commuter rail program linking Fort Worth and Dallas and a re-
lated Central Business District Intermodal Transportation Center. Significantly increased the T’s bus ridership and dramatically increased the number of customers with disabilities served by the Mobility Impaired Transportation Service (MITS). Implemented innovative programs in response to anticipated community needs such as FAREAID, Community Group Trips, MITS
Demand Modification Program, Guaranteed Ride Home, and others. Committed to clean air initiatives, the T became the first Texas public transit system to put compressed natural gas (CNG) powered vehicles into revenue service in 1989, and now has more than 100 CNG vehi-cles in service. Played a vital role in educating citizens about ozone pollution problems and, in just six months, the T’s vanpool program expanded from 40 vanpools to more than 130
making it the third largest in the United States. Established an aggressive affirmative action and employee development program that won the American Public Transit Association Women and Minority Advancement Award and an award from the Conference of Minority Transportation Officials (COMTO). Was recognized as Transit Manager of the Year by the larg-est North American Transport Association (APTA).
ADMINISTRATIVE ASSISTANT AND ACTING TRANSIT DIRECTOR TOWN OF CHAPEL HILL, NORTH CAROLINA (6/1974 – 6/1977)
Assisted in startup and operation of a new transit system serving the Town and UNC. Was re-sponsible for all administrative functions including interface with Town Council. As Acting Director, was responsible for all day-to-day operations.
SPECIAL SKILLS: LABOR RELATIONS EXPERIENCE
Was responsible for U.S. labor relations for an international public transport company with and more than three thousand (3,000) employees at thirty three (33) locations. Duties and accomplishments included creating positive labor management relationship at all locations that fostered efficient and effective operations; operating with good communication and a
motivating corporate culture; minimizing grievances; successfully negotiating more than one hundred (100) collective bargaining agreements for public and private employers for the
17
Company and consulting clients; creating positive working relationships with seven (7) inter-national unions; and implementing creative work rules and contract provisions to enhance relationships and operations.
EDUCATION
BA, Political Science (Assumption College, Worcester, Massachusetts, 1972) MA, Government College of William & Mary, Williamsburg, Virginia, 1975
Advanced Graduate Work in Political Science & Public Administration
(University of North Carolina at Chapel Hill)
CELIA KUPERSMITH
_____________________________________________________________________________
PRINCIPAL KL2 CONNECTS LLC, ASHEVILLE NC (2014-PRESENT)
Responsible for the recruitment and placement of skilled and experienced executives, senior managers and senior level technical personnel in the public transportation industry.
RETIRED (2012-2014)
Member of Central Rotary Club of Reno. On Board of Directors of Citicare, a local nonprofit that raises funds to provide transportation services to disabled individuals in outlying areas of Washoe County. Completed certification as Executive Leadership Coach.
DEPUTY CEO
CENTRAL PUGET SOUND REGIONAL TRANSPORTATION AUTHORITY (SOUND TRANSIT) SEAT-TLE WA (2010–2012)
Provided executive leadership for annual $1.5 billion rail construction program and bus/rail
operations program including capital construction, safety and security, quality assurance, fi-nance and technology, procurement, and daily operations and maintenance. Assumed full CEO responsibilities for six months during health crisis of CEO.
GENERAL MANAGER/CEO
GOLDEN GATE BRIDGE, HIGHWAY AND TRANSPORTATION DISTRICT SAN FRANCISCO CA (1999-2010)
Provided executive management for Golden Gate Bridge operations (including security, visi-tor operations, structural maintenance, reconstruction and seismic retrofitting); Golden Gate
Transit (operations and maintenance of a 200-bus public transit system providing service within four counties); and Golden Gate Ferry operations and maintenance (the largest public ferry system in the state with seven passenger-only vessels and three terminal facilities). Reported to nineteen-member Board of Directors, managed 832 staff, 28 labor unions, and
$164 million operating and $285 million capital budgets. Provided executive liaison with lo-cal, state and federal officials, other governmental agencies, and business and community leaders.
Implemented an electronic toll collection system. Secured multiple federal and regional fund-
ing grants. Completed significant phases of seismic retrofit of Bridge. Developed comprehensive post 9-11 security programs. Expanded services for estimated ten million annual visitors to Bridge. Led efforts to develop suicide deterrent system on Bridge. Imple-mented program of comprehensive structural inspections to appropriately guide maintenance investments. Expanded safety programs including sidewalk safety railings on bridge and
moveable median barrier on Bridge.
18
Implemented a regional smart card technology on buses and ferries. Expanded use of clean air technologies in both ferry and bus operations. Addressed significant funding shortfalls
through transit system restructuring, organizational downsizing, labor give-backs, and reve-nue enhancement. Expanded fast-ferry system through innovative vessel procurement strategies. Worked extensively with local and national media.
Served as Chair of national transit association, on project selection committee for national Transportation Research Board, on board of directors for Mineta Transit Institute, and elected to board of International Bridge, Tunnel, Tollway Association.
EXECUTIVE DIRECTOR
REGIONAL TRANSPORTATION COMMISSION OF WASHOE COUNTY RENO, NV (1993- 1999)
Responsible for fixed route and paratransit bus operations, regional transportation planning functions, and regional road planning, design and construction. Reported to five member
board. Managed 40 direct staff, 320 contract employees, and a $92 million capital and oper-ating budget. Liaised with local, state and federal officials, other governmental agencies, and business and community leaders. Was a two-year board member of the Tahoe Transportation District. Implemented warranty programs for road reconstruction projects. Developed and
implemented road and facility maintenance management systems that resulted in on-going cost savings.
ASSISTANT GENERAL MANAGER OF DEVELOPMENT CAPITAL METROPOLITAN TRANSPORTATION AUTHORITY, AUSTIN TX (1990-1993)
TRANSPORTATION PLANNER CAPITAL METROPOLITAN TRANSPORTATION AUTHORITY, AUSTIN TX (1985-1990)
TRANSPORTATION PLANNER
HOUSTON-GALVESTON AREA COUNCIL, HOUSTON TX (1983-1985)
MARKETING DIRECTOR CITY OF AUSTIN TRANSIT SYSTEM, AUSTIN TX (1982-1993)
EDUCATION
Bachelor’s, Geography and Planning, Texas State University Masters, Urban Planning, Texas A&M University
Institute of Professional Coaching (IPEC)
TONY KOUNESKI
_____________________________________________________________________________
PRINCIPAL (SEMI-RETIRED) KL2 CONNECTS LLC, ASHEVILLE NC (2007-PRESENT)
Responsible for the recruitment and placement of skilled and experienced executives, senior managers and senior level technical personnel in the public transportation industry.
VP MEMBER SERVICES AMERICAN PUBLIC TRANSIT ASSOC., WASHINGTON D.C. (1995-2007)
APTA is an international trade association representing transit operators, suppliers, manufac-turers and other organizations involved in the transit industry. Responsibilities included the direction of all APTA member services programs, including technical services, research, mem-bership development, information services, conference planning and management, as well as
19
safety and operations management programs. Manage a staff of 33 professionals and sup-port personnel.
VICE PRESIDENT & GENERAL MANAGER, BUS AND LIGHT RAIL
NEW JERSEY TRANSIT (1993-1994)
Directed all bus and light rail operations for New Jersey Transit. The system included approxi-mately 7,000 employees, 2,000 buses, and 13 operating facilities throughout the state of New Jersey, and also included a 6.5 mile light rail system.
GENERAL MANAGER CAPITAL METRO TRANSPORTATION AUTHORITY, AUSTIN TX (1987-1993)
Reported to the Capital Metro Board of Directors and directed all aspects of the Capital Metro organization. The system has 500 vehicles, more than a 1,000 employees and an operating budget of over $100 million, the capital budget is over $50 million.
SENIOR VICE PRESIDENT
ATE MANAGEMENT AND SERVICE COMPANY, CINCINNATI OH (1973-1987)
At the time of employment, ATE/Ryder was the largest provider of professional transit man-agement services in the US. In 1987, the company's operating revenues totaled $50 million.
GENERAL MANAGER ATE MANAGEMENT AND SERVICE COMPANY, SW OHIO REGIONAL TRANSIT AUTHORITY QUEEN CITY METRO, CINCINNATI OH (1983-1987)
The transit system consisted of 379 buses, 864 employees, and an annual operating budget of $42 million. The service area population was one and one-half million.
GENERAL MANAGER ATE MANAGEMENT AND SERVICE COMPANY, SUN TRAN, TUCSON AZ (1979-1981)
Sun Tran consisted of 150 buses, 300 employees, and an annual operating budget of $13 million. Policy direction was provided directly by the City Council of Tucson.
ASSISTANT GENERAL MANAGER
ATE MANAGEMENT AND SERVICE COMPANY, METROPOLITAN TRANSIT COMMISSION (MTC) MINNEAPOLIS MN (1976-1979)
MTC service area included the cities of Minneapolis/St. Paul and a population of over 2 mil-
lion. The system employed 2,000 people, operated 1,000 buses and had an annual budget of $100 million. Direct responsibilities included all administrative, communications, financial, labor relations and legislative liaison functions.
DIRECTOR OF MARKETING
ATE MANAGEMENT AND SERVICE COMPANY, MASS TRANSIT ADMINISTRATION (MTA) BALTIMORE MD (1973-1976)
The MTA service area covered the City of Baltimore and two surrounding counties with a pop-ulation of over two million. The system employed 2,000 people, operated 1,000 buses and
had an operating budget of $100 million.
EDUCATION
Bachelor’s in Marketing, University of Baltimore
20
PAUL MULDOON
PRINCIPAL KL2 CONNECTS LLC, ASHEVILLE NC (2017-PRESENT)
Responsible for the recruitment and placement of skilled and experienced executives, senior managers and senior level technical personnel in the public transportation industry.
SENIOR VICE PRESIDENT BUSINESS DEVELOPMENT
CUBIC TRANSPORTATION SYSTEMS (09/2008 - 08/2012)
Cubic Transportation provides complete revenue management systems to the public trans-portation industry focused primarily on large multimodal systems. Primary system technology is smart card based transaction management utilizing on-vehicle card readers, point of sale
and web based customer support systems, as well as providing customer with full backend systems. Contracts were both build to spec and build/operate. Responsible for overall Mar-keting and Sales activities in North America. Organized and directed teams of technical and sales staff in the pursuit of North American contract opportunities. During the 4 year period from 2009 to 2012 North American contract bookings, sales and profits were 4 of the top 5
years in the Cubic’s history.
DIRECTOR BUSINESS DEVELOPMENT, NORTH AMERICA THALES COMMUNICATIONS(09/2004 - 08/2008)
Working for the transportation division of a French technology company responsible for iden-tifying and developing opportunities, proposal development/submittal and managing client relations through contract award. Led team that won the first Thales revenue management contract in North America. Won Thales first Toll contract in North America.
VICE PRESIDENT, BUSINESS DEVELOPMENT STRATAGEN SYSTEMS (03/2003 – 08/2004)
Stratagen’s primary market was public transit demand response scheduling and routing soft-
ware. Developed strategy for broadening the companies market which resulted in the first freight logistics contract for the company.
VICE PRESIDENT, BUSINESS DEVELOPMENT CUBIC TRANSPORTATION SYSTEMS (08/1996 - 02/2003)
Directed sales activities in western North America. Led proposal teams that won contracts in Los Angeles, San Francisco, San Diego, Vancouver, Edmonton. Developed over $150 million dollars in contracts that has led to nearly $500 million in additional contracts through expan-
sion and contract renewals.
MANAGER OF FACILITIES DEVELOPMENT CITY OF BELLEVUE (1993 – 1996)
Led a team of technical staff in development of government facilities including parks and general government/public safety facilities. Carried out study of all Bellevue facilities’ seismic mitigation requirements and initiated implementation of plan. Conceived and directed in-house and consultant team in feasibility and conceptual design of a new City Hall which even-tually led to relocation of City Hall as part of an overall program to stimulate development in
downtown Bellevue.
DEPUTY COMMISSIONER FOR LIGHT RAIL PLANNING PROJECT CITY OF CHICAGO (1992 – 1993)
In one year recruited multi- disciplined consultant team and completed 30% design for a ma-jor downtown light rail system.
21
MANAGER OF NEW TECHNOLOGIES CHICAGO REGIONAL TRANSPORTATION AUTHORITY (1983 – 1992)
Initiated programs developing new technologies such as vehicle management systems, pas-senger information systems and new vehicle motive technologies.
BUDGET MANAGER, REGIONAL CAPITAL PROGRAM
Responsible for managing a team administrating a five year $1.3 billion capital grant and oversight program.
LEAD BUDGET ANALYST
Evaluated public transit operations reviewing budget and performance indicators.
GENERAL MANAGER ATE Management (1979 – 1983)
Overall responsibility for operation of a 40 bus public transit system providing service in the southwestern section of Metropolitan Chicago, IL.
ASSISTANT GENERAL MANAGER: ATE Management
Responsible for finance, marketing and planning of a 150 bus public transit system providing service to Tucson, AZ.
EDUCATION
B.A., Transportation/Mobility Management, May 1979Indiana University Bloomington, Bloomington, IN
JEFF POPOVICH
_____________________________________________________________________________
PRINCIPAL KL2 CONNECTS LLC, ASHEVILLE NC (2017-PRESENT)
Responsible for the recruitment and placement of skilled and experienced executives, senior
managers and senior level technical personnel in the public transportation industry.
CHIEF INFORMATION OFFICER AMERICAN PUBLIC TRANSPORTATION ASSOCIATION, WASHINGTON DC (2007-2016)
Directed technology strategy, operations, and administrative services for this large industry association. Consulted senior leadership on decisions affecting organizational governance, strategic business planning, marketing and communications, membership, and advocacy. Prepare the technology and administrative services budget for the organization, paying spe-
cial attention to ways to improve return on investment and reduce costs. As a member of the management team, met regularly to discuss issues affecting the organization and collaborate to develop and implement solutions. Oversaw multiple websites promoting Public Transporta-tion, coordinating research, developing industry standards, and providing member services. Led a team of seven.
� Served as a member of APTA’s Technology Peer Review Program. Facilitating peer re-views of operational Information Technology functions at transit systems around the country.
� Developed consensus with member technology leaders to address federal regulatory
issues related to technology and the use of industry services.
22
� Selected as one of 25 professionals nationwide to participate in the industry’s yearlong executive leadership program. Wrote and presented research on a CEO’s Guide to So-cial Media.
� Served as an advisor to the Information Technology and Research & Technology com-
mittees, collaborating with members on technology issues facing the industry. � Consulted department heads to align IT with business processes and inject technology
into the strategic planning of the organization to improve technology, increase effi-ciency, and reduce costs.
� Designed and managed the implementation of the technology, A/V, and facilities infra-
structure for APTA’s new 30,000 Sq. Ft. office space and conference center. � Led efforts in sustainability; such as virtualization in the data center, streamlined pro-
cesses in the mail and print shops, paperless conference registration and e-participation in various association programs through improved communication tools.
� Planned and directed administrative services, including print shop, mail room, common
facilities, procurement, and conference center management. � Led the complete restructuring and redesign of the organization's online presence and
transition to SharePoint and responsive design to improve collaboration and content management and provide seamless mobile access.
� Negotiated and managed relationships with vendors providing technology and adminis-trative services and resources to the organization and industry.
VICE PRESIDENT, INFORMATION TECHNOLOGY FIRST BOOK (NONPROFIT), WASHINGTON DC (2004-2006)
Led the Information Technology function for this international nonprofit organization distrib-uting millions of new books to disadvantaged children each year. As a member of the executive team, participated in business planning and strategy formation, Board interaction and meetings, corporate communications, development of fund-raising campaigns, staff re-
cruitment, etc. In this entrepreneurial environment, participated heavily in the conception through implementation phases of national cause-based marketing campaigns with brand name corporations and organizations. Managed three direct reports.
PRINCIPAL YOUR IT COMPANY, INC., WASHINGTON DC (2001-2004)
Founder and senior technical lead for this Internet and technical services consulting firm. Pro-vided project management, managed services, and infrastructure technology consulting to a
variety of businesses and nonprofits in the US and UK.
PROJECT MANAGER KPMG LLP, Washington DC (1998–2001)
Led the LAN/WAN & Telecommunications department for KPMG’s Mid-Atlantic region. Man-aged five direct reports providing third-level support for over 20 locations and 4,500 users, encompassing Wide Area and Local Area Networks including workstation access, applications software and functional server support. Performed data center management, full life cycle
project planning, vendor management, RFP’s, invoice tracking & payment, and submittals to regional and project budgets. Managed project teams of up to 30 personnel consisting of net-work engineers, system engineers, and help-desk analysts as well as generated project reviews for individuals assigned to those projects. Travel: 30%
SENIOR CONSULTANT ERNST & YOUNG LLP, WASHINGTON, DC (1995–1998)
Provided operational and information technology consulting services. Performed Enterprise Resource Planning (ERP) implementations, system diagnostics, system selections, short &
long-term technology planning, and business process improvement. Participated in strategic and financial information systems assessments, planning and implementation. Travel: 95%.
23
U.S. NAVY (1987–1991)
U.S. Navy Presidential Honor Guard, Washington, DC U.S. Navy Recruiting Command Headquarters, Arlington, VA
U.S. Naval Intelligence Command (U.S. Naval Reserve 1991 – 1995)
EDUCATION
Master of Science in Management, 1995
Florida Institute of Technology
Bachelor of Science in Management, 1992 Park University
AL SCHLIMM
_____________________________________________________________________________
PRINCIPAL KL2 CONNECTS LLC, ASHEVILLE NC (2011-PRESENT)
Responsible for the recruitment and placement of skilled and experienced executives, senior
managers and senior level technical personnel in the public transportation industry.
PRINCIPAL DVR ASSOCIATES, ASHEVILLE NC (2009-2011)
Responsible for the design, execution, and analysis of executive interviews internationally.
QUANTITATIVE RESEARCH DIRECTOR IRESEARCH CORPORATION, WASHINGTON DC, (2005-2009)
Senior staff member with consultancy that offers research, marketing, and brand management services to a nationally prominent clientele. Responsible for quantitative research design, pro-ject management, and data processing and analysis. Employed client relations skills to grow business, research acumen to support strategic advice, and operational experience to ensure
timely and cost-effective delivery of state-of-the-art research and consulting services.
PRINCIPAL DATAVIEW RESEARCH INC., ELLICOTT CITY MD (1991–2005)
Founder and principal of highly successful marketing research consultancy that provided nation-ally prominent clients with customized decision support services. Employed qualitative and quantitative methods to help clarify ambiguities, close knowledge gaps, and make better deci-sions. Designed and executed market share analyses, segmentation studies, satisfaction surveys, employee surveys, ad awareness and concept testing studies, market profiles, brand
assessments, product development surveys, and customer loyalty studies.
RESEARCH DIRECTOR SINAI HOSPITAL OF BALTIMORE, BALTIMORE MD (1989–1991)
Managed research function of 500-bed acute care teaching hospital, employing physician, pa-tient, employee, community surveys to evaluate program effectiveness, identify service opportunities, and facilitate site planning. Monitored and analyzed industry trends, legislative activities, admissions/share data, competitor intelligence, and other key indicators.
SENIOR PROGRAM DEVELOPMENT ANALYST JOHNS HOPKINS HEALTH PLAN, BALTIMORE MD (1987–1989)
24
Prepared licensing applications, RFP responses, grant applications, cost/benefit analyses, and enrollment, utilization, and staffing projections in support of strategic planning and marketing efforts. Worked with regulators and legal counsel to develop and manage physician contracts.
SENIOR ANALYST BECTON DICKINSON, BALTIMORE MD (1985–1987)
Designed and implemented quantitative and qualitative research projects, environmental anal-yses, and competitor assessments. Evaluated and recommended alternative markets for three divisions of international Fortune 500 biomedical giant.
EDUCATION: B.S., Business Management, Marketing, Towson University
SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITY
Proposal
for
Executive Director Recruitment Services
May 15, 2018
Submitted by:
KRAUTHAMER & ASSOCIATES
Gregg A. Moser, Principal
5530 Wisconsin Ave., Suite 1202
Chevy Chase, MD 20815
Telephone: 301-654-7533 / Fax: 301-654-0136
gmoser@krauthamerinc.com / www.KrauthamerInc.com
___________________________________________________________________
TABLE OF CONTENTS
Page
SECTION 1 – BACKGROUND AND PROJECT SUMMARY 1
SECTION 2 – QUALIFICATIONS 3
A. Qualifications 3
B. Relevant Experience 4
SECTION 3 – SCOPE OF WORK/WORK PLAN 7
A. Work Plan 7
B. Diversity 11
C. Deliverables 12
D. Search Capacity and Timeline 13
SECTION 4 – COST SUMMARY 13
SECTION 5 – APPENDIX 15
A. Resumes 15
B. Standard Contract Provisions 17
1
SECTION 1 – BACKGROUND AND PROJECT SUMMARY
Krauthamer & Associates (“K&A”) understands that the South Florida Regional Transportation Authority (“SFRTA” or
“Authority”) requires the assistance of a search firm to provide recruitment services for an Executive Director. K&A understands that the
Authority operates the Tri-Rail Commuter Rail for Miami-Dade, Broward and Palm Beach Counties for 4.3 million riders annually. The
Authority is governed by a 10-member Board of Directors and has an annual operating budget of $111 million and capital budget of $144
million. The Authority’s operations are managed by a team of nearly 125 employees. The executive search firm will assist the Authority
in identifying an individual who will provide overall management of the Authority and coordinate activities between departments to
ensure goals, objectives, budget coordination and cost allocation planning are met, eliminating impediments to peak performance. The
Executive Director will report to the Board of Directors and will work with the state transportation agency, government officials, financial
communities and the public to ensure the Authority’s interests are represented.
K&A has extensive experience recruiting for senior level positions and welcomes the opportunity to partner with the
Authority in recruiting candidates for this position. K&A will recruit candidates with the required duties and qualifications desired
by the Authority. As described throughout this proposal, K&A will partner with the Authority to quickly and efficiently identify a strong
pool of potential candidates. As part of this recruitment, K&A will listen to the Authority and any other stakeholders and use this
feedback to provide an analysis of the organization and position to recruit superior talent, to screen and evaluate candidates and to report
on how the candidate fits with the Authority, highlighting strengths and weaknesses. K&A will maintain continuous and confidential
communication with the Authority including regular search updates, in-depth industry analysis, market diligence and feedback and assist
with compensation metrics. We will be available for in-person meetings and will be available for interviews during negotiations and on-
boarding. K&A has the proven ability and extensive experience recruiting senior executive talent for transportation agencies across the
U.S. and internationally as well as experience recruiting senior executives for Fortune 500 companies. In every search, we conduct a
national and international recruitment as appropriate and recommend a diverse slate of qualified candidates.
K&A has over 45 years of experience recruiting executive directors, CEO’s, deputy CEO’s, heads of transit operations and other
senior level executives within and outside the transportation industry. Our executive search practice extends nationally to several other
industries including government (federal, state and local), non-profit, aerospace, defense, real estate, finance, technology and professional
services to name a few. We have recruited senior executives for clients such as the Wings Club (an international organization for
aerospace executives), Airbus Industrie, Flight Safety Foundation, General Electric, General Motors, the District of Columbia, DC Water,
New York City, JetBlue, Deloitte, PwC, Goldman Sachs, Bombardier and Rolls Royce to name a few. We would offer the Authority the
opportunity to identify candidates from other industries.
We are deeply passionate about the transportation industry’s continued success, and we recognize that one of the key factors that
will ensure this success is the identification, recruitment and retention of a strong generation of leaders who are quickly ascending to
senior management positions and who can lead the nation’s transportation agencies in the future. In doing so, K&A is actively involved in
APTA, COMTO and WTS committees in succession planning and is working on Blue Ribbon panels to address workforce development
issues plaguing the industry. Additionally, Mr. Moser, K&A’s lead transportation recruiter and the principal who will be leading the
recruitment for the Authority, was a recent graduate of the Leadership APTA program that recognizes the talents of leaders in the
industry. Mr. Moser has also been asked by COMTO and APTA to serve as an expert panelist on CEO recruitments on inclusion.
K&A also actively communicates with executives at other transportation agencies daily and will rely upon their
recommendations for successful candidates. Through much of our transportation work, we have compiled a proprietary list of leaders
who we can potentially look to as candidates based on what we understand the Authority’s needs to be and based upon initial meetings
2
with the Authority. It is K&A’s commitment to the Authority and all of its clients to recruit a diverse slate of candidates for the search
assignment. We will present candidates who are recognized by their peers to be today’s leaders within the industry as well as candidates
who are viewed to be tomorrow’s leaders. In doing so, we will identify, recruit and recommend candidates who possess the requisite
interpersonal, management and technical skills to lead the Authority in this capacity.
Through K&A’s over 45 years of recruiting in the transportation industry, we have worked with agencies in almost every major
city in the U.S. We recognize and value each transportation agency’s impact on its community not only as a provider of service but also
as a place of employment. K&A is attentive to the sensitive issues and specific values and culture of each community in which it works.
In forming a partnership with our clients, we offer to visit with local stakeholders including passengers, employers, citizens and
politicians to ensure that we gain a comprehensive understanding of their needs in order to recruit candidates who represent the diversity
of the community and the organization itself.
K&A has extensive experience conducting senior-level searches across the transportation industry, including work on behalf of
nearly every major transportation system in the U.S. and abroad. Examples of agencies we have successfully conducted executive
recruitments for include Jacksonville Transportation Authority, LYNX, HART (Tampa), PSTA (Tampa), AC Transit, Santa Clara VTA,
BART, Omnitrans, LA County MTA, North County Transit (San Diego), Sound Transit (Seattle), HART (Honolulu), Denver RTD,
WMATA (DC), Massachusetts Bay Transportation Authority, MARTA (Atlanta), Port Authority of Allegheny County (Pittsburgh), City
of Charlotte, NC., APTA, NYC MTA, NYC Transit, Long Island Railroad, Metro-North Railroad and New Jersey Transit to name a few.
Additionally, K&A has a long history of recruiting senior-level executives and other senior operating, maintenance,
engineering/construction, development, labor, planning, financial/accounting and legal professionals for transportation agencies both
nationally and abroad.
It is imperative that the successful candidate possesses strong interpersonal, written and oral communication skills as well as
experience communicating with all relevant stakeholders, the public, passengers, staff and industry. The successful candidate will have
impeccable integrity and demonstrated records of providing leadership and management in senior operational positions and have
experience working with financial/accounting, funding, planning, procurement, maintenance, engineering/construction, legal,
administrative and general management departments in organizations facing similar needs as the Authority. The successful candidate will
lead the Authority by carrying out its mission and leveraging its resources through cooperation with other agencies. Additionally,
candidates will demonstrate visionary leadership and courage to move the Authority forward as a safe, clean, reliable, cost effective and
timely operation, thus making the Authority the preferred choice of transportation in the region.
The Executive Director will provide strategic direction to the Authority’s operations, finance, procurement, engineering,
maintenance, risk management, training, development, human resources, safety and security, labor relations and real estate functions. In
addition, candidates will have strong technical and management qualifications and will be sensitive and receptive to the needs of the
community and other critical stakeholders. The successful candidate will have the personality and appropriate background to add value to
the Authority’s already existing workforce and will have the ability to attract and hire additional talent that will also add to the diversity of
the organization. The successful candidate will also have proven records of adding value to the region by being active supporters and
participants in community events. We look forward to partnering with the Authority on this important search.
3
SECTION 2 – QUALIFICATIONS
A. Qualifications
K&A is one of the nation's leading executive search firms and one of the most experienced within the transportation
industry. Our practice extends nationally and internationally in both transportation and other industries. We have successfully
completed more than 4,500 engagements across a broad range of industries in both the public and private sectors. Nearly one quarter
of these searches have been in and around public transportation. We are devoted to the recruitment and retention of key senior
executives on behalf of many of the nation’s transportation systems. K&A also has a strong practice outside of transportation within
the public and private sectors and successfully recruits talented individuals between these sectors. This work has taken us into the
majority of Fortune 500 corporations, transportation systems, related associations, railroads, motor coach operators, airlines, utilities,
and major state and municipal government agencies in the U.S. and Europe, as well as major construction, engineering, consulting
and manufacturing firms associated with the transportation industry.
K&A’s search practice has recruited within every vertical of an organization. K&A has recruited individuals beginning with
the president/CEO/general manager who have superb administrative, management, operating and technical skills to oversee some of
the world's most ambitious and important public and private challenges of the past several decades, as well as assistant general
managers, chief operating officers, heads of transit operations, human resources and labor executives, capital development officers,
inspector generals, chief financial officers, chief architects, chief administrative officers, chief engineers, chief procurement officers
and directors of planning within transportation organizations. Whether it is overseeing large capital expansion programs,
maintaining the bottom-line, or addressing workforce development needs, we have an excellent performance record in recruiting
senior executives to respond to these unique and challenging environments.
K&A is recognized by its client base to be thoroughly skilled in the art of selecting candidates with not only the technical
expertise required for the specific role but those who possess the required leadership qualities to be successful in senior executive
positions. K&A’s principals are recognized as experts in the field of recruiting individuals with highly developed humanistic
qualities who can empower, nurture and motivate a diverse workforce to be effective in a dynamic and highly visible industry. We
have a proven ability to extract from our clients the essence of their business plan and community goals and have successfully
blended this knowledge with the culture of the organization encompassing the skills, personality and experience of executives to
introduce talented, productive candidates. Our clients retain us because they have come to rely on the fact that we will continue
working on an assignment until it is successfully completed and they are thoroughly satisfied, regardless of the constraints involved.
In addition, our clients have realized the importance of a close, strategic partnership between themselves and their executive search
firm, as it allows this partnership to work together to provide the human resources necessary to satisfy their goals and objectives.
This "team-building" approach to recruitment guarantees a high degree of success in executive recruitment and retention. K&A is
committed to partnering with the Authority to successfully recruit senior level executives.
Our success rate is measured not only upon the successful completion of the search assignment, but also by the long-term
relationship that is created with our client. We understand our clients’ needs and culture. This has enabled us to recruit candidates
whose experience, personality and values are in line with our clients to ensure that their working relationship extends well into the
future.
Additionally, K&A has established relationships with nearly every transportation system across the U.S., Europe and Asia as a
result of hundreds of prior search engagements. We also have relationships with executives in many of the Fortune 500 companies,
leading private businesses, non-profits, associations and federal, state and local government agencies. We will leverage our relationships
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with senior operating executives, industry professionals and related leaders in both the transportation industry and in other industries who
have similar experiences and qualifications to what the Authority is seeking in order to identify the appropriate candidate for the position
in a timely manner. We will also utilize our extensive database of over 60,000 contacts with whom we have formed trusted relationships
over the past 45+ years to identify potential candidates with strong management, technical and operational experience that can lead the
Authority through its next phase of growth. Our broad experience and commitment to the search process in transportation and non-
transportation searches at the senior level is described throughout this proposal.
As outlined below, K&A has successfully conducted thousands of executive searches for transportation and other
industries. We have a proven ability to recruit senior level executive talent to fit the personal needs of our clients as well as the
specific and often complex job requirements. Listed below are areas we have provided services for:
• Transportation industry (rail, bus, airports, ports)
• Public & quasi-public sectors
• Fortune 500 companies
• Federal, state & local governments
• Professional & financial
service industries
• Building & construction industries
• Architecture & engineering industries
• Major real estate developers
• Private equity firms
• National associations & not-for-
profit organizations
• Utilities/power industry
• Manufacturing firms
While K&A’s expertise is in the recruitment of the most senior level executives in an organization, we also take great
pride in our "team-building" approach to recruitment -- working deep within an organizational chart to assist the client's senior
staff in accomplishing company-wide goals and objectives. In many instances, our clients have relied upon us to search for senior
executives and also to build an entire management team for that specific function.
K&A has one of the industry’s most successful records of completed search assignments. In many of these assignments,
the critical aspect of the position involved managing billions of dollars’ worth of infrastructure and capital programs while
providing strategic operational management for large and complex transportation systems during critical times of development and
fiscal constraints. Additionally, the position required an individual with strong management principles, impeccable leadership
abilities and personal sensitivity to a diverse organization providing a safe and secure public service to its community. K&A has
conducted over 50,000 in-person interviews and over 100,000 telephone interviews and has developed a methodology to our
questioning and interviewing that allows us to understand an individual’s technical strengths and weaknesses.
B. Relevant Experience
Listed below is a short select list of relevant senior level searches in a variety of industries recently conducted by our firm:
Transportation/Public Sector
• For the Jacksonville Transportation Authority, recruited its executive director and CFO.
• For LYNX (Orlando, FL), recruited its CEO, COO, director of planning and development and director of
transportation maintenance.
• For the Florida East Coast Commuter Rail, recruited its SVP.
• For Hillsborough Area Rapid Transit (HART), worked closely with the Chief Administrative Officer and the
CEO in recruiting the director of human resources.
• For the Pinellas Suncoast Transit Authority (St. Petersburg, FL), recruited its Executive Director/CEO.
• For the Port Authority of Allegheny County, recruited its past two CEO’s, CFO and assistant general manager
of planning and service development.
• For the Port Authority of NY/NJ, recruited its CFO, treasurer, chief mechanical engineer, director of PATH,
deputy director of PATH and superintendent of PATH.
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• For the MTA NYC Transit, recruited key members of the senior management team including the president
(multiple times including current president), COO, CFO, chief mechanical officer, AVP of operational planning,
deputy director of capital planning, director of financial planning, director of revenue planning and many other
executives in administrative, operating, engineering, procurement, construction and real estate.
• For the MTA Metro North Railroad, recruited its president, CIO and director of regulatory oversight.
• For the MTA Long Island Rail Road, recruited its president, CFO, chief mechanical officer, senior human
resource manager, chief construction engineer, chief information officer, chief contracting officer, vice president
of labor relations, deputy chief program executive for the east access project, a planned extension of the rail line.
• For the NYC MTA Bridges and Tunnels, recruited its president (two different presidents) and chief health and
safety officer.
• For the MBTA, recruiting its senior director of power, senior director of engineering/maintenance, AGM
engineering/maintenance, deputy chief operations and director of bus maintenance.
• For SEPTA, recruited its general manager, chief mechanical officer (who was promoted to chief operating
officer), treasurer, assistant treasurer, VP of finance, chief engineer of vehicle, chief of engineering and capital
design construction and head of bus operations.
• For New Jersey Transit, recruited its executive director, deputy executive director, CFO, treasurer, chief system
safety officer, VP/general manager, rail and VP/general manager, bus.
• For Amtrak, over a 15-year period, recruited key members of every department including the chief executive
officer, executive vice president, chief operating officer, chief mechanical officer, chief financial officer, chief
marketing officer, senior customer services officer, chief engineer for construction, general superintendent for
West Coast commuter operations and critical technical positions.
• For Capital Metro (Austin), recruited its CEO, VP, Commuter Rail, EVP/CFO and controller.
• For CalTrain, recruited its director of safety and security, CFO, Deputy Director, Rail Systems Engineering.
• For Omnitrans (CA), recruited a GM/CEO.
• For AC Transit, recruited its general manager, CFO, executive director of engineering/planning, executive
director of HR, CIO and executive director of safety and security.
• For the Santa Clara VTA, recruited two of its recent past general managers, its CFO, chief of staff, controller,
director of HR and directors of maintenance, transit operations and marketing.
• For BART, most recently recruited its current general manager and formerly recruited its deputy general
manager (who became its general manager), AGM HR, executive manager of transit systems development, head
of capital construction, senior contracting officer, senior system integration engineer, manager of labor relations,
chief engineer and chief transportation officer.
• For the North County Transit District, recruited its chief rail engineer.
• For the Los Angeles County Metropolitan Transportation Authority, recruited its deputy general manager
(who became the chief executive officer), director of strategic planning, CFO, controller, executive vice
president, senior safety officer and chief information officer.
• For the Denver Rapid Transit District, recruited a GM/CEO.
• For Sound Transit (Seattle), recruited its deputy CEO.
• For Nashville DTO, recruited the CAO.
• For SORTA (Cincinnati), recruited its CEO, CFO and SVP operations.
• For the Honolulu Authority for Rapid Transportation, recruited its CEO, deputy executive director, deputy
chief of planning and environment and grants manager.
• For the Washington Metropolitan Area Transit Authority (WMATA), recruited its general manager, deputy
general manager, CFO, treasurer, comptroller, assistant general manager and chief architect, assistant general
manager of transit system development, assistant general manager of design and construction, director of station
access and asset management, chief operating officers of bus and rail, chief information officer, inspector
general, managing director of procurement and materials, director of human resource operation systems and
director of labor relations, among other executives.
• For the NYC Thruway, recruited its COO.
• For the NYS DOT, recruited its Commissioner.
• For TRANSDEV, recruited its general manager.
• For TRANSCOM, recruited its executive director.
• For Houston Metro, recruited its CEO/president and vice president of engineering and construction.
• For Keolis Transportation, recruited its chief engineer (MBTA).
• For Metra (IL), recruited its COO, chief engineer and chief safety officer.
• For Systra USA, recruited its SVP Design/Building/Program Manager.
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• For Cubic, recruited its VP data analytics.
• For the Virginia Railway Express, recruited its CEO.
• For Veolia Transportation, recruited its VP rail development.
• For DASH (Alexandria, VA), recruited its CEO.
• For MassPort, recruited its director of aviation operations.
• For the San Antonio Airport System, recruited its executive director.
• For Maryland’s and Virginia’s Steamship Trade Associations (ports), recruited their CEOs.
• For the Transport for London, recruited its managing director and chief programmes officer.
• For the Maryland Department of Transportation, recruited its executive director for the Baltimore-
Washington International aviation department.
K&A also has practice areas in the not-for-profit, government and private sectors where we have successfully recruited
for numerous clients in various industries. Some of these include:
Associations/Not-for-Profit Work
• For APTA, recruited its current and past presidents/CEOs.
• For the Humane Society, recruited its director of development and controller.
• For the International Economic Development Council, recruited its executive director.
• For the Flight Safety Foundation, recruited its CEO and director of business development.
• For the National Capital Planning Commission, recruited its executive director.
• For the National Institute for Dispute Resolution, recruited its president.
• For the Crime Prevention Association, recruited its executive director.
• For the Wings Club, one of the world’s most prestigious aviation organizations, recruited its president/CEO.
• For the Washington Convention Center, recruited its general manager/director of development.
• For the Governor of Maryland, recruited various senior level profit and loss positions including executive directors
of the Maryland Port Administration and Maryland Stadium Authority. Recruited the head of construction and
development for Maryland’s Orioles Park at Camden Yards in Baltimore (one of the most successfully performed
construction projects in the nation).
• For the Electric Generation Association, recruited its executive director and director of policy.
• For the Jewish Council for Aging, recruited its chief financial officer.
• For the Legal Aid Society, recruited its chief financial officer.
• For the American Gas Association, recruited its vice president of marketing.
• For the American Security Council, recruited its director of development.
• For the American International Health Alliance, recruited its director of administration and program manager.
• For the MD National Capital Park & Planning Commission (for Prince Georges County), recruited its deputy
planning director.
• For the Electric Power Supply Association, recruited its manager of policy, senior manager of regulatory affairs and
senior manager of environmental policy.
Government
• For the Montgomery County Liquor Control Board, recruited its executive director.
• For Montgomery County Government, recruited its division chief fleet.
• For the District of Columbia, recruited its chief financial officer (appointed by Mayor Gray and confirmed by City
Council and U.S. House of Representatives and Senate and its inspector general.
• For the past three Mayors of the District of Columbia, assisted their transition teams in recruiting heads of various
city agencies.
• For the City of Charlotte (NC), recruited the deputy aviation director, transit director, deputy transit director and
director of economic development.
• For the Cities of Fayetteville and Greensboro, North Carolina, recruited three assistant city managers and their
director of planning for overall city planning, development and strategic growth and direction.
Private
• For DC Water, recruited its COO, CFO, general counsel, CIO and director of customer service.
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• For WSSC, recruited its general manager/CEO and general counsel.
• For Airbus, recruited two of its chairmen, its COO/president and chief commercial officer as well as several other
senior executives.
• For iJet, recruited its CEO.
• For Virgin America, recruited its controller.
• For Federal Realty Investment Trust, recruited its CFO.
• For General Motors, recruited its general auditor and chief accounting officer
• For GMAC, recruits its assistant controller
• For SenecaOne Finance, recruited its SVP of finance and controller.
• For PricewaterhouseCoopers, recruited its VP/controller and director of financial planning/analysis.
• For Kaempfer Real Estate, recruited its CFO.
• For Horning Brothers, recruited its CFO, VP of finance & accounting and controller.
• For the Stephen A. Goldberg Co., recruited its CFO, controllers and project accountants.
• For the Potomac Hotel Group, recruited its CFO/controller
• For Stellar Advisors, recruited its CFO.
• For Walker & Dunlop, recruited its CFO.
• For Republic Properties Trust, recruited its CFO.
• For Carl M. Freeman Associates, recruited its CFO.
• For Americhoice (a UnitedHealthcare company), recruited its COO, CEO, CFO, controller, directors of HR and
other leadership positions.
• For Beers & Cutler, recruited its COO, CFO and senior manager of government contracts.
• For CIT Aerospace, recruited its CFO.
• For Northeast Health, recruited its CEO.
• For Ford Motor Co., recruited various senior level healthcare and financial executives.
• For Republic Financial Corporation, recruited presidents of the aircraft leasing and structured finance groups,
advisory board members, CFOs, managing directors of their operating companies and directors of capital markets
group.
• For JetBlue Airways, recruited the senior vice president of people, vice president of financial planning and analysis,
vice president of compensation and vice president of talent acquisition.
SECTION 3 – SCOPE OF WORK/WORK PLAN
A. Work Plan
K&A will dedicate its resources to successfully assist the Authority in completing the executive director search. K&A
recognizes how critical confidentiality is for all parties involved in the search and will maintain confidentiality between the Authority
and itself throughout the process. As outlined later in this proposal, K&A will utilize the following steps to assist the Authority in
finding and selecting the best qualified candidate for executive director:
• define job qualifications and requirements for the position and develop a job descriptions/profile;
• identify and recruit qualified candidates; and
• interview and evaluate prospective candidates, make recommendations, assist in the selection process and assist with
on-boarding of the successful candidate.
K&A will recruit, screen and recommend candidates by providing a broad and diverse pool of candidates who will add value
to the Authority’s workforce and who will reflect the diversity of the community. These candidates will adhere to the recruiting
specifications outlined in conjunction with the Authority and K&A, which addresses the specific duties, responsibilities, education and
training, personal characteristics and traits, operational issues and relevant qualifications necessary for candidates. Below is a detailed
summary of K&A’s work plan and recruitment strategy/process that we will undertake to identify candidates. While this plan serves as
the framework for the recruitment process, at the onset of the search we work to tailor this process to our clients’ specific needs to
advance the recruitment as efficiently and cost effectively as possible and to ultimately identify candidates whose skills and experience
most closely match the position requirements.
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Additionally, our years of experience in transportation-specific search engagements, as well as the public, quasi-public
and private sectors, allow us to identify highly competent individuals with direct and indirect industry experience who will lead
our clients’ organizations through the complicated challenges that they will face in the future. These challenges include effectively
managing the operational and administrative needs of transportation systems during a period of time when there is a greater focus
from the community, budget constraints that are limiting an agency’s ability to provide uninterrupted service and the external
pressures to re-engineer and lead the systems in a smart, safe, cost effective and strategic manner.
During the initial recruitment meetings, K&A will discuss with the Authority the option of expanding its recruitment
efforts to allow K&A to also identify potential candidates with diverse industry experiences beyond traditional transportation.
These potential candidates would have demonstrated leadership capabilities and a successful track record in addressing challenges
and accomplishing goals similar to those of the Authority. Given K&A’s experience successfully recruiting executives in other
industries as demonstrated by the experience described above, K&A has a strong network beyond public transportation and a
successful track record of identifying candidates from other industries who have successfully transitioned to the transportation
industry. K&A’s executive search process consists of carefully conducted and sequenced phases that ensure the recruitment of the
most highly qualified candidates. Thoroughly involved in all phases of the process would be any individuals and organizations deemed
appropriate by the Authority. While each phase will be tailored to the specific needs of the Authority, the broad approach that
would be adapted for the Authority is as follows:
Step l - Pre-Recruitment Preparation
K&A’s pre-recruitment preparation will begin immediately. The first and most important task is to gain a comprehensive
understanding of the candidate profile that the Authority believes would bring the most success to meet and exceed its goals and
objectives. K&A would like to personally meet with and obtain input from each person involved in the hiring process.
These meetings will:
• Facilitate the formation of a complete candidate profile that will provide K&A with the short- and long-term
goals that are most important to the Authority;
• Provide K&A with a better understanding of the Authority and community culture necessary to identify
candidates who will add the most value to the Authority;
• Allow K&A to understand the expectations of the desired candidates;
• Allow K&A to develop a search strategy and timeline that will be accepted by the Authority; and
• Allow K&A to successfully manage the entire search process and to recruit successful candidates as efficiently
as possible.
K&A will use this feedback to augment and shape the discussions we have with our networks and potential candidates.
While we will draw upon our own knowledge and experiences, we will more importantly listen carefully to the Authority and any
other stakeholders to ensure that we present candidates with these perspectives as well.
Step 2 - Formulation of Candidate Profile
The profile of a successful candidate will emerge through a compilation of the following key elements:
• Pre-assignment interviews and research conducted by K&A; and
• Communication between the Authority and K&A (and other key stakeholders as deemed necessary and appropriate
by the Authority) regarding the responsibilities of the candidate, the interpersonal characteristics of a successful
candidate, academic background, industry preference, length and depth of management experience, leadership and
vision and any other special talents the Authority feels necessary.
K&A will combine information gathered during this process to develop a comprehensive job description/candidate profile
which will be the basis upon which all candidates are benchmarked. It will also serve as the tool upon which candidates can better
understand what the Authority is looking for in successful candidates.
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Step 3 - Selection of Industry Resources
K&A will conduct a comprehensive search for potential candidates and will leave no transportation agency, association,
governmental agency, engineering, consulting firm or other industry or field untouched in its diligent search for candidates. We
will look locally, nationally and even globally to identify the most qualified candidates. We will also scrutinize any individual or
company recommended by the Authority.
Additionally, K&A will advertise the position at the direction and with prior approval of the Authority. These
advertisements will be presented to association members at APTA, COMTO and WTS and appear in publications including
Passenger Transport, Transit Executive, Transit Talent and other local and national news outlets, leadership publications and on-
line venues deemed appropriate by the Authority.
Step 4 - Identification & Interview of Internal Candidates
During many recruitment assignments, internal candidates often come forward. K&A recognizes the importance of
vetting and listening to internal candidates. Our contact and interview of internal candidates is carried out with great respect and
sensitivity to the internal candidates. K&A places the same emphasis and value on the interview of internal candidates as it does
external candidates. Interviewing internal candidates also serves several other important functions:
• It provides an important benchmark for the comparison to external candidates;
• It recognizes the fine achievements of, and potential advancement for, existing team members; and
• It allows us to listen carefully to peer recommendations for the search itself.
Together, this validates the recruitment process being carried out by the Authority and provides us with a more sound
understanding of the search. After completing these interviews, K&A will present the Authority with feedback based upon its
interview of internal candidates.
Step 5 - Search for Potential Candidates and Networking
K&A employs a “reverse-engineering” technique to our recruitment:
• Network directly with industry leaders and organizations (within and outside of transportation) most knowledgeable
about the relevant position/skill set;
• Conduct an outreach effort to the most highly regarded active practitioners and thought leaders in their respective
industries;
• Leverage our existing relationships with key organizations and industry leaders;
• Identify the next generation of industry leaders who may be ready to lead the Authority; and
• Begin a targeted search to recruit and develop an expanded network from this potential candidate pool.
A detailed search will begin and will include a review of individuals with appropriate backgrounds and experience.
K&A's database and network contacts, which have been compiled over the last 45+ years, equals thousands of candidates with
diverse industry-related experience located in the U.S. and abroad. A majority of these contacts are associated with and working in
and around the transportation industry. K&A will utilize this network to identify highly respected and talented candidates. In
addition, the firm will initiate personal contact with transportation systems, professional associations, engineering and consulting
firms, corporations, public and private individuals, financial institutions, city and state governments, universities and not-for-profit
organizations to network and identify potential candidates. K&A takes a direct outreach effort to personally call every person that
it networks and recruits, as we believe the personal outreach is critical to confidentiality as well obtaining the best referrals and
interest. Direct phone and in person conversations lead to identifying candidates who would not otherwise have been available or
may not have considered a new opportunity. K&A will use this networking as an opportunity to identify potential candidates who
are quickly ascending towards the pinnacle of their career and possess the leadership and business acumen to lead the Authority.
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Step 6 – Reference Checking and Candidate Screening
Pre-screen
K&A conducts a rigorous prescreen of all qualified candidates prior to presenting them to the Authority.
This includes:
• In-person interviews of the candidate to understand strengths and weaknesses;
• Identifying any personal or professional limitations that would prevent them from being able to leave their current
employer or relocate to the Authority;
• Asking about any personal information, activities, businesses, financial, civil, criminal or other activities that would be
embarrassing to them, the Authority or the community if such information was revealed;
• A social media search and detailed investigative background check; and
• Conducting in-depth references of past employers, employees and other individuals who have worked closely with
the candidate.
After the pre-screening and reference process, K&A will refer the leading candidates' resumes, together with an
assessment of their strengths and weaknesses to the Authority. During this time, we will obtain feedback from the Authority and
schedule individual interviews with the candidates.
Throughout this process, discussions with the candidates will be on-going after the interview to resolve any questions,
review the candidates’ strengths and weaknesses in-depth, maintain continuous communication and obtain additional information.
This information will be provided to the Authority to augment the Authority’s previous assessment. Throughout the entire process,
additional candidates will be simultaneously identified and screened by K&A to maintain a continual flow of interviews by the
Authority in order to ensure a timely conclusion of the search.
Candidates referred by K&A to the Authority will have impeccable qualifications and references as well as outstanding
careers in an environment similar to that of the Authority -- that is -- an environment where potential external factors (such as
capital budget diminution, change in political climate, locally and nationally, or new capital programs) might lead to the reshaping
of goals and priorities from the analytical, budget, technology and strategic planning viewpoints. These individuals will
demonstrate strong management disciplines, visionary leadership and have excellent communication skills, both internally and
externally. They will also have demonstrated and proven experience developing financial, capital, operational, growth, planning
risk management, procurement, administrative and human capital strategies. They will have a diverse set of skills and experiences
both personally and professionally that will add additional value to the Authority and the community.
Final Screening
At the finalist stage of the search process (when the Authority has narrowed its selection down to a short list) further
reference checking will be conducted by K&A of references not provided by the candidates. A third party firm will also be
engaged to conduct investigative background checks and these results will be provided directly from the investigative firm to K&A
and the Authority for their review.
K&A recommends conducting these background checks at this time in order to maintain confidentiality. Doing so will
help to attract the best candidates to the process who feel that they are applying confidentially. This final process potentially
exposes each of the finalist’s involvement in the process to their peers, colleagues, direct reports and employers. It also exposes
private information such as social security numbers, dates of birth, driver’s license numbers, bank account information and real
estate records. Candidates will understand that any information obtained during this process that is inconsistent with information
previously provided or that was not furnished will need to be explained and could be the basis for disqualification.
Step 7 – Selection, Negotiation and Conclusion
K&A will continue to identify and recruit candidates to ensure that the most qualified candidates are identified and
presented to the Authority for consideration and to ensure additional candidates are available in the event that a candidate exits the
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process. Once a candidate is selected, K&A will assist the Authority in negotiating compensation, benefits and start date with the
selected candidate. After the successful candidate begins work and during this transition period, K&A will continue to remain in
contact with the Authority to facilitate a smooth transition.
Step 8 – On-Boarding
One of the most sensitive and important aspects of any recruitment is the on-boarding of the new employee. On-boarding
is often overlooked and can easily impact the future success of a candidate. After the employment contract is signed, K&A will
stay in contact with the candidate to discuss their transition. Whether it be relocation, transition from their employer or any other
items needed for the first day, we will ensure that these needs are addressed. After the candidate begins work, we will have follow-
up discussions as well. At the same time, both before and after the start date, we will work with the Authority to facilitate an open
dialogue between the candidate and the Authority to ensure that this transition is successful.
B. Diversity
In order to provide effective recruitment services to the Authority, K&A will offer a well-crafted outreach program to
attract a diverse pool of candidates that will include females and minorities, a program K&A has successfully created and
implemented throughout all its search engagements.
K&A is aware of and embraces the importance placed on the inclusion of all segments of the population in its recruitment
efforts. The firm also recognizes that diversity is a critical component to the success of any organization and its community. The
recruiters at K&A recognize that diversity exists in many forms and are adept at recruiting individuals from varied backgrounds.
In the search conducted, K&A makes every effort to identify and introduce to its clients the most highly qualified and
diverse slate of candidates available in the marketplace. We commit our recruiting strategy to not only identifying the most
successful candidates, but also identifying the most successful and diverse slate of candidates. We ensure to our clients that this
candidate pool will consist of a well-established and diverse spectrum of candidates with different ethnic, religious, cultural and
personal lifestyle differences thus ensuring that a well-balanced search is conducted. To ensure this, we have developed a dynamic
national networking system designed to identify highly qualified minority and female candidates. Efforts to identify an inclusive
slate of candidates include:
• On-going participation in highly visible minority and women organizations and conferences including the Eno
Foundation, APTA, AREMA, COMTO and WTS;
• Outreach to women and minority leaders in relevant industries and sectors;
• Advertising and outreach in minority and female leadership organizations and associations; and
• Counseling clients on internal strategies to recruit and retain diverse talent.
As an indication of our vigorous efforts and commitment to inclusion, a significant number of completed searches have
resulted in the placement of minorities and females. In every search we conduct, we ensure that there is a diverse slate of
candidates and we are sensitive to these issues throughout all phases of our recruiting process. Within our public transportation
practice, 75% of executives placed have been females and minorities. During the last 10 years, 65% of K&A’s searches for
presidents/CEOs, deputy CEOs, COOs and other senior executives have resulted in the placement of minority and female
candidates. Additionally, Deloitte engaged K&A to assist its executive leadership team and its human resources department with
the implementation of a global diversity and inclusion initiative that has successfully been launched and is being used today.
As a small business, K&A is extremely committed to the inclusion and promotion of DBE/SBE, minority and women
owned firms in the workplace. Additionally, K&A takes great pride in the inclusion and success of minority and women in the
workforce. Since its inception in 1971, K&A has contracted with and hired women and minorities to work for and provide services
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to our firm. While K&A does not normally subcontract our search services or anticipate the need to contract our services, we do
(with approval from our clients), contract with The Jake Group, a small business woman owned firm, to manage all aspects of our
computer, data, internet and technology needs as well as our contracted data and information research needs. Additionally, The
Jake Group manages all of our office needs including office supplies and other resources. When necessary, K&A hires a small
minority owned sedan service to provide ground transportation needs to our clients and candidates and a female owned small
business to provide catering services to our firm.
K&A also has a proven track record of employing and mentoring women and minorities within our own company; some
of whom have gone on to pursue successful careers both within and outside the executive recruiting field. Currently, one-half of
K&A’s employees are women and minorities. K&A is proud of its efforts to promote and advance DBE/SBE, minority and women
owned firms in the workplace.
K&A provides equal employment opportunities (EEO) to all employees and applicants for employment within its own
firm and its client organizations without regard to race, color, religion, sex, national origin, age, disability or genetics. In addition
to federal law requirements, K&A complies with applicable state and local laws governing nondiscrimination in employment. This
policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff,
recall, transfer, leaves of absence, compensation and training. K&A prohibits any form of workplace harassment based on race,
color, religion, gender, sexual orientation, gender identity or expression, national origin, age, genetic information, disability, or
veteran status.
C. Deliverables
K&A will provide the Authority with a variety of materials in order to keep the Authority informed and educated throughout
the search process. This will include a detailed report of the recruiting strategy, plan and status on a continuous basis to ensure that the
Authority is fully informed and involved in the recruiting process. Below is a description of other deliverables that K&A will prepare:
Pre-Recruitment Meeting
Prior to the search engagement and based upon our meetings with the Authority, K&A will prepare pre-recruitment search
strategies that will highlight the methods, approach, location and professionals that we will target as candidates. As a product of over 45
years of executive recruiting experience within the transportation industry, we have put together a proprietary analysis of transportation
executives that are leaders in the industry who may be qualified for positions at the Authority. This same analysis has also been done for
other industries including government, non-profit, associations as well as private sector. This work product is continuously updated and
benchmarked against current conditions and occurrences in the marketplace. We will share this with the Authority to help shape the
direction of the search process.
Additionally, K&A will prepare reports that will highlight possible approaches and strategies for the search process. Once an
approach is selected by the Authority, we will utilize this as a basis by which we will conduct the search and will coordinate an open
dialogue with the Authority and any other parties who are to be involved in the search to gain insight and input as to ideal candidates.
During the Search Process
At the beginning of the search, K&A will meet in-person or via phone with all stakeholders that the Authority would like us to
meet. We will provide a confidential summary of feedback from these meetings to the Authority so that they are aware of its
stakeholder’s thoughts. This summary will also be utilized to enhance and finalize a position description. K&A will then prepare draft a
position description for the Authority’s review and after obtaining feedback, will finalize the position description. Throughout the
search process, K&A will provide a weekly search summary that will summarize in detail the search progress. This report will provide a
detailed analysis of who has been identified, recruited, targeted and how many people the firm has networked. Additionally, the report
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will provide an analysis of feedback from the marketplace with regards to the position and the search. K&A will also provide detailed
summaries of its research and its networking lists for additional candidates. K&A will continue to provide any other reports and
presentations in-person, via phone or video conference as requested by the Authority.
Once candidates are identified, K&A will provide detailed summaries of the candidates’ backgrounds including strengths and
weaknesses. We will also provide all necessary materials prior to interviews so that the Authority is fully prepared for the interviews.
This information will include, but not be limited to, a candidate summary, resume, detailed references and salary history.
Post-Recruitment Meeting Output
Finally, at the time when the Authority is ready to make a hiring decision, K&A will provide the Authority with additional
references beyond those provided by candidates. We will also prepare a detailed summary of the search and an analysis of the search
process to date. These summaries will be available to assist in the hiring decision. Additionally, K&A will prepare reports that will
provide details of negotiation options for candidates including salary, bonus and other benefits available. We will provide guidance,
advice and industry comparisons to ensure competitive offers. Once a candidate is hired, K&A will prepare a summary of the executive
search process for the benefit of the Authority highlighting strengths and opportunities for increased efficiency to better the Authority’s
future recruitment strategy.
D. Search Capacity and Timeline
K&A tailors its approach and timeline to the needs of its clients. K&A understands the sensitive timing under which the
Authority operates and pledges its full resources to accommodate its needs. On average, we are able to provide initial
recommendations of potential candidates within 10 to 15 days from the initiation of the search and commence interviews within 30
to 45 days from the initiation of the search based upon our vast knowledge of the transportation industry and experience recruiting
at this level. Our experienced team of recruiters, researchers and administrative staff are capable of successfully pursuing and
completing multiple and complex search assignments and will tailor the process to move quickly.
Upon initiation of the search, K&A will schedule a “kick-off” meeting with the Authority as early as possibly in order to gain
as much information and insight into the Authority’s vision of ideal candidates. At that time and shortly thereafter, we will also conduct
interviews with anyone else the Authority deems appropriate to gain insight and information to ensure a successful candidate is
identified and hired. We will prepare and provide the Authority with a draft position description within two days of the initial meeting
and will turn around any revised drafts within a day to reach a final description as quickly as possible. On a weekly basis, we will
provide the Authority with a detailed search summary including candidate tracking summaries that will highlight persons and
organizations contacted as well as the status of potential candidates. K&A will communicate in-person, electronically and via
telephone and/or videoconference with the Authority on a daily or weekly basis as needed. K&A will personally visit and meet
with the Authority throughout the search process as requested until the search engagement is successfully completed. K&A will
continue referring qualified candidates until the position is filled.
SECTION 4 – COST SUMMARY
K&A has the capacity and experience to effectively conduct executive search services for the Authority.
K&A is a retained search firm. Our typical fee is based on 33-1/3% of the first year total annual expected compensation,
including any bonuses (sign-on or year-end) and/or any deferred compensation that is provided by the Authority to candidates on
an annual basis. K&A will continue to refer candidates until the search is complete and the Authority employs a successful
candidate.
14
Expenses
K&A does not bill for any indirect overhead expenses nor does it bill hourly rates. The Authority will only be responsible
for direct expenses including advertising, reasonable expenses associated with interviews (candidate and consultant's travel) and
any background investigations. Care will be given to keeping these expenses at a minimum and with appropriate prior approvals.
On average, these expenses are 7.5% of the fee.
Relocation
The Authority will also be responsible for relocation costs, if any, on the candidate selected for hire.
Billing
K&A bills according to the following schedule. Please note that K&A does not bill the final one-third fee until the search
is completed.
1) One-third (1/3rd) of the established recruitment fee would be due when the search is initiated,
2) One-third (1/3rd) at the end of sixty (60) days, and
3) One-third (1/3rd) when the search is concluded. Any and all adjustments will be billed at that time.
Guarantee
When any candidate referred by K&A and subsequently hired by the Authority is: (l) terminated for cause by the
Authority other than for reasons related to reduction in scope of duties or related issues or (2) voluntarily leaves the employment of
the Authority within one (l) calendar year from the initial date of employment, K&A shall replace that individual without any
additional recruitment fee except for out-of-pocket expenses attributed to the replacement, which are closely monitored so that
they are kept to a minimum.
When any candidate referred to the Authority by K&A is hired without respect to a specific assignment, within one year
following referral to the Authority, a fee due to K&A will be computed and billed in accordance with the above fee rate.
Summary
Executive search is a personal service conducted entirely for the benefit of the client. K&A has the well-earned
reputation of a firm where the principals are involved in all aspects of the search process. We are uniquely qualified to assist the
Authority in the strategic selection of successful candidates. All work performed under this contract will be at the direction of and
to the satisfaction of the Authority. We look forward to the opportunity of working with the Authority.
Confidentiality Statement
This proposal in its parts and in its entirety is submitted by K&A to the Authority in confidence for internal use only by
the Authority staff for the purposes of identifying, reviewing and selecting an executive search firm to conduct searches for the
Authority. This proposal is deemed by K&A to be a confidential document and a trade secret as defined under state law. It
constitutes proprietary business, technical and financial information and neither it nor any of the information contained therein
may be disclosed, used or reproduced in any manner, or for any purpose, except by written permission of K&A.
KRAUTHAMER & ASSOCIATES, INC.
5530 Wisconsin Avenue, Suite 1202
Chevy Chase, MD 20815
301-654-7533
By: ____________________ Date: 5/15/2018
Gregg A. Moser
gmoser@krauthamerinc.com
15
SECTION 5 – APPENDIX
A. Resumes
K&A has operated under the same title since the firm’s incorporation in 1971 in the State of Maryland. K&A’s ownership
structure is a corporation. Gary L. Krauthamer, Gregg A. Moser and Todd A. Dorfman are authorized to negotiate on behalf of
K&A and can be contacted at:
Gary L. Krauthamer, Founder/Principal / Gregg A. Moser, Principal / Todd A. Dorfman, Principal
Krauthamer & Associates, Inc.
5530 Wisconsin Avenue, Suite 1202, Chevy Chase, MD 20815
(301) 654-7533 (office) / (301) 654-0136 (facsimile)
gkrauthamer@krauthamerinc.com / gmoser@krauthamerinc.com / tdorfman@krauthamerinc.com
Gregg A. Moser will be the lead recruiter assigned to this search and will be supported by the following search team: Gary
Krauthamer, Founder and Principal; Todd A. Dorfman, Principal; Guy McLeod, Principal; Neal Lieberman, Senior Associate; Blake
Astran, Senior Associate; Eric Hong, Senior Associate; Abigail Eddy, Research Associate; and Pamela Kolick, Office
Administrator, who have over 100 combined years of recruiting experience for clients in the public and private sectors ranging from
transportation agencies, railroads, transportation consulting and advisory firms, airports, aviation related companies, Fortune 500
companies, emerging growth organizations, non-profit organizations and federal, state and municipal governments. This search team
will assist in recruiting and identifying potential candidates. Together, their personal attention, vast experience, team based approach
and proven effectiveness in the executive search field assures a level of quality control over the services being provided that few
firms can match.
As a team, K&A will dedicate its full resources to meet and exceed the expectations of the Authority. Because of this
dedication, we have established a proven track record of completing every search within the time expectations of our clients.
K&A’s approach to executing the search process is to view it as an on-going cycle that will continually evolve from beginning to
end until the search is complete ensuring that new research is conducted, communication with the Authority is continuous and new
candidates are identified, recruited and referred to the Authority until a candidate is hired and begins work with the Authority.
K&A was designed by its founding partners to provide the highest level and quality of service to its clients by maintaining a
closely controlled team in which all members are active participants in all aspects of the engagement. This team-based approach allows
us to commit the full resources of the firm to the search process. The lead recruiter assigned to this search will be Gregg A. Moser who
heads K&A’s public transportation practice. Mr. Moser has successfully conducted hundreds of searches with both transit and non-
transit agencies. He has extensive experience working with public and private boards, elected officials, community leaders,
general managers, CEOs, CFOs and other executives. Beyond transit, Mr. Moser also has experience recruiting for Fortune 100
firms and public and private organizations, airports, non-profits and in the following industries:
• Aerospace
• Federal, State & Local Governments
• Utilities
• Financial Services
• Technology
• Banking
• Defense
• Healthcare
• Education
• Real Estate
Mr. Moser is recognized as a leader and expert in the transportation industry and has assisted his clients in some of the most
challenging recruitments for their organizations as well as some of the most critical needs in the industry. Below are some of the
most recent searches he has conducted:
16
Client: Position:
LYNX (FL) CEO / COO / Director, Planning/Development /
Director, Maintenance
PSTA (FL) CEO
Jacksonville Chamber Commerce President/CEO
Jacksonville Transp. Authority Executive Director, CEO / CFO
FL East Coast Commuter Rail SVP
HART (Hillsborough, FL) CAO / Director, Human Resources
Port Authority Allegheny County CEO / CFO / AGM Planning/Service Development
Port Authority NY/NJ General Manager-PATH / Deputy General Manager-PATH / CMO /
Superintendent of Rail-PATH / CFO / Treasurer
Caltrain Chief Safety & Security Officer / CFO / Deputy Director, Rail Systems
AC Transit General Manager / CAO / CFO / CHRO / Chief, Engineering / Chief Safety
Officer / CIO
Omnitrans CEO
Denver RTD Past and Current CEOs
BART General Manager / Executive Director, Transit System Development /
Superintendent, Mechanical / Super of Way-Facilities
Sound Transit Deputy CEO
Santa Clara VTA CFO / CAO / COO/ controller / Chief of Staff
Capital Metro (Austin) CEO/ VP, Commuter Rail / EVP/CFO / Controller
North County Transit District Chief Rail Engineer
HART (Honolulu) CEO, Deputy CEO, Deputy Chief Planning/Environment Grants Manager
SORTA CEO / COO / CFO
NYC MTA Chairman/CEO / Managing Director / COO / Chief Safety Officer / Sr.
Director Business Service Center / Chief Applications Development / Chief
Procurement Officer
MTA Metro North Railroad President / Chief Safety Officer / Director of HR / ACMO / CIO
MTA Bridges & Tunnels President / Chief Health & Safety
MTA Long Island Rail Road President / COO / CFO / chief mechanical officer / CIO
MTA NYCT President / EVP / Chief Mechanical Officer
NYC Thruway COO
NYS DOT Commissioner
TRANSDEV General Manager
TRANSCOM Executive Director
NJ Transit Executive Director / Deputy Executive Director / GM, Bus / GM, Rail / Chief
System Safety
DC WATER CFO / COO / CIO / General Counsel / Director, Labor Relations / Director,
Construction / Director, SCADA
Washington Suburban Sanitation CEO / General Counsel
Commission
DC Government CFO / Inspector General
SEPTA Chief Engineer, Vehicle / Director/Manager, Track / Director/Manager,
Structures / Director/Manager, Civil / Director/Manager, Power
APTA Past and Current Presidents/CEO
MBTA Deputy COO, AGM, Engineering, Sr. Director, Facilities, Sr. Director, Track
& Power
WMATA Deputy CEO / Inspector General / Chief Procurement / CFO / Deputy Chief,
HR / AGM, TIES / Chief Engineer / Treasurer / Comptroller / Chief Safety
Officer / CHRO / Director, Talent Mgmt. / CIO / Director HRIS / Director,
Labor Relations/ Director, Station Access/Asset Management
Virginia Railway Express CEO
DASH (Alexandria, VA) CEO
Metra Rail (Chicago) COO / Chief Engineer / Chief Safety Officer / Chief, Internal Audit
Director, Transportation Maintenance
Flight Safety Foundation Past and Current Presidents/CEO
17
Wings Club President/CEO
CATS (Charlotte) CEO
San Antonio Airport Executive Director
Houston Metro CEO/President / VP, Engineering & Construction
GoTriangle Project Director-Engineering
Nashville DTO CAO
Veolia Transportation VP, Rail Development
Keolis Chief Engineer, MBTA / CMO
MARTA (Atlanta) CEO / AGM, Infrastructure / AGM, Safety
Massport Director, Aviation Operations
Covenant House CEO
Specifically in transportation, Mr. Moser’s experience recruiting across all verticals of an organization and across all levels
of senior management includes recruiting CEOs, general managers, executive directors, CFOs, contracts and procurement officers,
information technology officers, safety and security officers, chief human resources officers, heads of rail and bus operations,
planning, real estate, engineering and maintenance, administration and capital development to name a few. He has also recruited
inspector generals for transportation authorities who act as independent auditors of the agency and report directly to the board.
Mr. Moser is currently a member of APTA and WTS and serves on APTA’s Human Resources Committee, the HR
Nominating Subcommittee, the HR Bylaws Subcommittee, and the Business Member Board of Governors. Mr. Moser was selected
to serve on APTA’s 2008-2009 and 2009-2010 Blue Ribbon Panel’s addressing workforce development issues in the industry.
Additionally, Mr. Moser was asked to apply and was elected (as one of 25 out of approximately 65 applicants) to participate in the
2012 Leadership APTA program. He successfully completed this program in October 2012 and was recognized by APTA for this
accomplishment. Mr. Moser has been asked to present at APTA’s CEO conference and APTA’s Board of Directors Conference on
compensation and negotiation, succession planning, and career development. Mr. Moser has been asked and has participated in
numerous TRB panels focusing on a variety of issues aimed at advancing and improving the transportation industry. He has also
been invited to present at COMTO events and Board meetings on how to identify, recruit, retain and promote the next generation of
leaders in the industry. Mr. Moser is also a member of the Wings Club membership committee, the AeroClub of Washington, D.C.
and the Airports Council International. He lends his expertise to clients on succession planning and leadership development in each
of his search engagements as well as consulting on improved internal recruitment strategies. He received his JD, with Honors, from
the University of Maryland and is a member of the Maryland Bar. Additionally, he graduated Magna Cum Laude with a BS in
Accounting from the Robert H. Smith School of Business at the University of Maryland.
B. Standard Contract Provisions (attached)
THE COMMUNITYThe City of Delray Beach comprises approximately 16½square miles and is located on the Atlantic Coast of PalmBeach County about 50 miles north of Miami and within anhour’s drive of three international airports. The City is hometo over 67,000 residents and an additional estimated13,000 seasonal residents.
Settlement of the area began around 1884, when African-Americans from the Panhandle of Florida purchased land andbegan farming. In 1894 William S. Linton bought a tract ofland and began selling plots in what he hoped would becomea farming community. Initially, this community was namedafter Linton. In 1896 Henry Flagler extended his Florida EastCoast Railroad south from West Palm Beach to Miami, with astation at Linton. The Linton settlers began to achieve success,with truck farming of winter vegetables for the northernmarket. A hard freeze in 1898 was a setback, and many ofthe settlers left, including William Linton.
The settlement's name was changed in 1901 to Delray and in1911, the area was chartered by the State of Florida as anincorporated town. In the same year, pineapple and tomatocanning plants were built and pineapples became the primarycrop of the area. Prior to 1909, the Delray settlement landwas within Dade County. That year, Palm Beach County wascarved out of the northern portion of the region and in 1915Palm Beach County and Dade County contributed nearlyequal portions of land to create what is now Broward Countybetween the two, leaving Delray situated within thesoutheastern portion of Palm Beach County.
By 1920, Delray's population had reached 1,051 and theFlorida land boom of the 1920s brought prosperity toDelray. Tourism and real estate speculation becameimportant parts of the local economy. Delray was separatedfrom the Atlantic Ocean beach by the Florida East CoastCanal (now part of the Intracoastal Waterway). In 1923 thearea between the canal and the ocean was incorporated asDelray Beach and in 1927 Delray and Delray Beachmerged into one town named Delray Beach.
Downtown Delray Beach has had a building boom since roughly2003. Recent development reflects trends of New Urbanismdowntown, and mansionization of waterfront property,sometimes creating pressures on Historic Districts and historicsites. New mixed-use development projects have recently beenconstructed, and more are planned, in the areas immediatelynorth and south of Atlantic Avenue. To accommodate theanticipated growth the city has also built two new municipalparking garages. Delray Beach stands as the only Florida cityto receive the All-American City Award three times.
With three international airports within an hour’s drive, twoInterstate 95 highway exchanges, and nearby access to railand ports, Delray Beach has resources in place to helpexisting businesses expand into international trade marketsand compete on a global scale
Learn more by visiting the official site of the City ofDelray Beach, Florida
www.mydelraybeach.com
THE ORGANIZATION Delray Beach is a full-service City operating under a CityCommission-City Manager form of government. The CityManager is appointed by the City Commission and is thechief administrative officer of the City. He/She is responsiblefor the administration of all City affairs and appoints alladministrative officers. The guiding principles of the Cityare multi-year integrated planning and budgeting process,grow and diversify the revenue base, implement level ofservice and scheduled repairs and replacement ofinfrastructure, focus on and invest in high valueassets/programs and align the organization and staffing toapproved objectives and level of service.
The Fiscal year 2016-17 Annual Operating Budgets total$194,800,000, supplemented with Capital Improvement Planfunds of $33,150,000 to produce a total financial program of$227,950,000 with approximately 850 full time employees.General Fund Revenues total approximately $116,800,000.
DELRAY BEACH – AN EXCEPTIONAL OPPORTUNITY
THE IDEAL CANDIDATE The Mayor and City Commissioners are looking for a strong,experienced professional manager who is comfortable workingwith people from all walks of life. The successful candidate willhave outstanding communication skills, be a strong leader who isambitious, inspirational and understands the need to keep theMayor and Commissioners equally well informed with unfilteredinformation, readily sharing information and promotingtransparency. The new City Manager will be a change agent, risktaker and comfortable telling the Commissioners what they needto hear and not just what they want to hear. Delray Beach is aninvolved community so he/she will need to be friendly, outgoingwith a sense of humor and a sincere commitment to diversity. TheMayor and Commissioners are looking for someone who willrepresent the City, have an untarnished integrity with a personalwork ethic, maintain an open-door policy, enjoy communityinvolvement and become well known in the community.
The ideal candidate is a relationship builder with a passionfor public service and a commitment to public safety. Thesuccessful candidate will exercise a value system based ontransparency and integrity that creates a high level of trustand confidence throughout the organization. He/She will beskillful in leading by example, developing consensus, andfacilitating a positive team environment. He/She will inspirestaff to achieve mutually developed goals and objectives andwill hold staff accountable for results.
The new City Manager of Delray Beach is expected to possess aBachelor’s degree with seven to ten years’ CEO or senior levelexperience in a municipal government organization comparablein size and services to Delray Beach; private sector experience isa “plus.” The new City Manager will be a member in goodstanding or eligible for membership with ICMA.
The new City Manager will have the followingKnowledge, Skills, and Abilities:
• Well versed with a working knowledge of Finance andBudgeting.
• Politically astute without being politically involved.
• Professional, consistent and impartial in dealing with staff,citizens and the City Commission.
• Practical knowledge of public safety services including FireRescue and Police.
• A demonstrated knowledge of economic development.
• A good grasp of Community Redevelopment Agencies.
• An understanding of the City’s Comprehensive Plan andEAR.
• Knowledge and understanding of Federal EmergencyManagement Agency (FEMA) disaster preparedness anddisaster recovery policies and procedures.
• A demonstrated ability to successfully work with otherlegislative bodies, elected and appointed officials; county,municipal, state and federal.
• IImplement short and long term capital improvement plans,projects and budgets.
RESIDENCY While the City Manager is not required to live within the City limits, it is preferred.
COMPENSATION AND BENEFITS The salary for the City Manager, depending on qualifications and experience, is expected to be in therange of:
$200,000 - $275,000
In addition, the City Commission expects to provide a competitive fringe benefit package to thesuccessful candidate. Reasonable relocation expenses will also be negotiable with the successfulcandidate.
HOW TO APPLYFor additional information on this outstanding opportunity, please contact W. D. Higginbotham, Jr.,Senior Vice President, The Mercer Group, Inc. at 727-214-8673, WDHiggin@mercergroupinc.com
Qualified candidates are encouraged to send a letter of interest and resumeelectronically by the close of business on September 15, 2017:
W. D. Higginbotham, Jr.Senior Vice PresidentThe Mercer Group, Inc.Daytona Beach Shores, FLEmail - WDHiggin@mercergroupinc.com
Resumes are subject to the provisions of Florida Public Records Statutes
The City of Delray Beach, is an Equal Opportunity Employer. The City of Delray Beach does notdiscriminate on the basis of race, color, religion, creed, sex, age, marital status, national origin, politicalideas, or disability in employment or in the provision of services.
A PROPOSAL TO CONDUCT
EXECUTIVE RECRUITMENT SERVICES FOR
EEXXEECCUUTTIIVVEE DDIIRREECCTTOORR ON BEHALF OF THE
SSOOUUTTHH FFLLOORRIIDDAA RREEGGIIOONNAALL
TTRRAANNSSPPOORRTTAATTIIOONN AAUUTTHHOORRIITTYY,, FFLL
S. RENÉE NARLOCH, PRESIDENT2910 Kerry Forest Pkwy D4-242, Tallahassee, FL 32309
P 850.391.0000 | F 850.391.0002 info@srnsearch.com
1102 S. Austin Ave 110-296, Georgetown, TX 78626 P 512.843.5439 | F 850.391.0002
infotx@srnsearch.com
www.srnsearch.com
2910 Kerry Forest Pkwy D4-242, Tallahassee, FL 32309 ♦ T 850.391.0000 | F 850.391.0002
May 14, 2018
Mr. Christopher Bross Procurement Director South Florida Regional Transportation Authority 801 Northwest 33rd Street Pompano Beach, FL 33064
Submitted via email to: brossc@sfrta.fl.gov
Dear Mr. Bross:
We appreciate the opportunity to provide the South Florida Regional Transportation Authority with a proposal to conduct a search for the Executive Director. Our proposal includes an overview of our qualifications and costs related to our services.
With respect to this recruitment for the South Florida Regional Transportation Authority, you should know:
S. Renée Narloch & Associates has extensive experience conducting quality searches that resultin the placement of candidates ideally suited to clients’ needs. S. Renée Narloch & Associates isincorporated in the State of Florida and is a small, woman-owned business. For many years, Ms.Narloch, President, served as the Senior Vice President of Recruitment for a national publicsector consulting firm, responsible for recruitments in 40 states. Her career in public sectorrecruitment spans over 25 years, during which time she has participated in hundreds of publicsector searches nationwide.
S. Renée Narloch & Associates is currently conducting recruitments on behalf of the Toho WaterAuthority (Kissimmee), FL (Executive Director; General Counsel); City of Dania Beach, FL (CityManager); City of Coral Springs, FL (Director of Finance); City of Lake Worth, FL (Director ofFinance); City of Dunedin, FL (Director of Finance); City of Margate, FL (City Attorney);Cincinnati Metropolitan Housing Authority (CMHA), OH (Director of Accounting); Centre AreaTransportation Authority (CATA), PA (Director of Transportation; Director of Finance; DataAnalyst); and Norfolk Redevelopment and Housing Authority (NRHA), VA (Chief FinancialOfficer; Chief Community Engagement Officer).
Ms. S. Renée Narloch, President, has extensive experience conducting public sector executive recruitments throughout the nation, including more than 400 searches for clients such as Florida Public Transportation Association (FPTA), FL (Executive Director); Broward County, FL (Port
2910 Kerry Forest Pkwy D4-242, Tallahassee, FL 32309 ♦ T 850.391.0000 | F 850.391.0002
Everglades CEO/Executive Director; County Attorney; and several other positions); Children’s Board of Hillsborough County, FL (Executive Director); Portsmouth Redevelopment & Housing Authority (PRHA), VA (Executive Director); Workforce Development Board (WDB) of Central Ohio Inc., OH (Executive Director); New Orleans Redevelopment Authority, LA (Executive Director); Louisiana Housing Corporation, LA (Executive Director); City of Fort Lauderdale, FL (City Manager; City Attorney; Building Official; Sustainability Director); City of Coral Springs, FL (City Manager; Deputy City Manager); City of Dunedin, FL (City Manager); Palm Beach County, FL (County Administrator); Town of Palm Beach, FL (Town Manager); Town of Jupiter, FL (Town Manager); City of Miami Beach, FL (City Manager in 2002 and 2013); City of Dallas, TX (City Manager; Assistant Director of Water Utilities; Assistant Director of Transportation Operations); City of Virginia Beach, VA (Deputy City Manager; Deputy Director Human Services); City of Topeka, KS (City Manager); Wake County (Raleigh), NC (County Manager); Sumter County, FL (Public Works Director; Assistant Public Works Director); Dallas County, TX (Director of Human Resources); and many others. Ms. Narloch will conduct the recruitment for the Executive Director for the South Florida Regional Transportation Authority. A sample of her past clients is included in our proposal (Clients, Page 7).
S. Renée Narloch & Associates has highly trained staff, a vast network of contacts andprofessional affiliations in public sector management, and a proven recruitment process tailoredto our clients’ needs which will result in a quality pool of candidates.
Thank you for your consideration. Please do not hesitate to contact us at 850.391.0000 should you have questions or need additional information.
Sincerely,
S. Renée Narloch, President
TABLE OF CONTENTS
ABOUT US _______________________________________________________ 2 OUR UNDERSTANDING OF THE REQUESTED SERVICES .................................................... 2 PRIMARY CONTACT .................................................................................................................................................. 2 OUR FIRM HISTORY AND EXPERIENCE .................................................................................................. 2 SMALL BUSINESS/MINORITY BUSINESS ................................................................................................ 3 STATEMENT OF PROFESSIONAL STANDARDS ............................................................................ 3
OUR RECRUITMENT PROCESS __________________________________ 4 DEVELOPING THE CANDIDATE PROFILE ............................................................................................. 4 ADVERTISING CAMPAIGN AND RECRUITMENT BROCHURE ...................................... 4 RECRUITING CANDIDATES ................................................................................................................................ 4 SCREENING CANDIDATES ................................................................................................................................ 5 PRELIMINARY INTERVIEWS ................................................................................................................................... 5 PUBLIC RECORDS SEARCH ................................................................................................................................. 5 RECOMMENDATIONS ........................................................................................................................................... 5 FINAL INTERVIEWS ........................................................................................................................................................ 5 BACKGROUND CHECKS/DETAILED REFERENCE CHECKS ............................................. 6 NEGOTIATIONS ............................................................................................................................................................. 6 COMPLETE ADMINISTRATIVE ASSISTANCE ..................................................................................... 6
THE TEAM _______________________________________________________ 7 S. RENÉE NARLOCH, PRESIDENT ................................................................................................................... 7 ELLIOTT S. PERVINICH, VICE PRESIDENT ................................................................................................. 7 LIANA VELEZ THOMPSON, SENIOR CONSULTANT ................................................................ 7
CLIENTS/REFERENCES __________________________________________ 8 CLIENTS.................................................................................................................................................................................... 8 REFERENCES ....................................................................................................................................................................... 8
COST PROPOSAL _______________________________________________ 9 PROFESSIONAL FEE AND EXPENSES ....................................................................................................... 9 CANDIDATE TRAVEL .................................................................................................................................................. 9 PAYMENT .............................................................................................................................................................................. 9 GUARANTEE ....................................................................................................................................................................... 9 SCHEDULE ........................................................................................................................................................................ 10
S. RENÉE NARLOCH & ASSOCIATES ABOUT US PAGE 1
OUR UNDERSTANDING OF THE REQUESTED SERVICES
S. Renée Narloch & Associates is highly qualified to assist the South Florida Regional TransportationAuthority in the recruitment of the new Executive Director. We have extensive experience providingrecruitment services, ranging from the initial contact with candidates to the successful hiring andplacement of candidates.
We are able to successfully manage all aspects of the recruitment process and will work closely with SFRTA to protect the integrity of the recruitment and to ensure a successful outcome. SFRTA can be assured we will place a high priority on this recruitment, and our dedicated staff will provide their full attention throughout the entire recruitment process. Our recruiters have serviced hundreds of public sector clients, and we understand the importance of an objective and thorough process.
PRIMARY CONTACT
Ms. S. Renée Narloch, President, will conduct the Executive Director recruitment for the South Florida Regional Transportation Authority. Her contact information is as follows:
S. Renée Narloch, President2910 Kerry Forest Pkwy D4-242Tallahassee, FL 32309P: 850.391.0000 | F: 850.391.0002Email: reneen@srnsearch.comWebsite: www.srnsearch.com
OUR FIRM HISTORY AND EXPERIENCE
S. Renée Narloch & Associates’ recruiters are known throughout the industry as leading public sectorrecruiters by both clients and candidates. We have a reputation for conducting quality searches thatresult in the placement of candidates ideally suited to meet our clients’ needs. We pride ourselves onour responsiveness to clients and candidates, and we assure the South Florida RegionalTransportation Authority that the highest caliber of service will be provided throughout therecruitment process.
S. Renée Narloch & Associates is incorporated in the State of Florida and is a small, woman-ownedbusiness. For many years, Ms. Narloch served as the Senior Vice President of Recruitment for anationwide public sector consulting firm. Her career in public sector recruitment spans over 25years, during which time she has participated in hundreds of public sector searches nationwide. Inaddition, our firm is comprised of individuals who are highly trained and experienced in therecruitment of public sector executives. We have offices in Tallahassee, Florida, and Georgetown(Austin), Texas.
Ms. S. Renée Narloch, President, has extensive experience conducting public sector executive recruitments throughout the nation, including more than 400 searches for clients such as Florida Public Transportation Association (FPTA), FL (Executive Director); Broward County, FL (Port Everglades CEO/Executive Director; County Attorney; and several other positions); Children’s Board
ABOUT US
S. RENÉE NARLOCH & ASSOCIATES ABOUT US PAGE 2
of Hillsborough County, FL (Executive Director); Portsmouth Redevelopment & Housing Authority (PRHA), VA (Executive Director); Workforce Development Board (WDB) of Central Ohio Inc., OH (Executive Director); New Orleans Redevelopment Authority, LA (Executive Director); Louisiana Housing Corporation, LA (Executive Director); City of Fort Lauderdale, FL (City Manager; City Attorney; Building Official; Sustainability Director); City of Coral Springs, FL (City Manager; Deputy City Manager); City of Dunedin, FL (City Manager); Palm Beach County, FL (County Administrator); Town of Palm Beach, FL (Town Manager); Town of Jupiter, FL (Town Manager); City of Miami Beach, FL (City Manager in 2002 and 2013); City of Dallas, TX (City Manager; Assistant Director of Water Utilities; Assistant Director of Transportation Operations); City of Virginia Beach, VA (Deputy City Manager; Deputy Director Human Services); City of Topeka, KS (City Manager); Wake County (Raleigh), NC (County Manager); Sumter County, FL (Public Works Director; Assistant Public Works Director); Dallas County, TX (Director of Human Resources); and many others. Ms. Narloch will conduct the recruitment for the Executive Director for the South Florida Regional Transportation Authority. A sample of her past clients is included in our proposal (Clients, Page 7). She will be assisted by other senior staff members, as outlined in this proposal (The Team, Page 6). We maintain a database of potential candidates, and our nationwide network of contacts and resources will be invaluable in identifying outstanding candidates, including those who may not be currently looking for opportunities. Our experience, combined with our proven recruitment process, expansive network of contacts, and knowledge of outstanding candidates nationwide, will ensure the South Florida Regional Transportation Authority has a quality group of finalists from which to select the new Executive Director.
SMALL BUSINESS/MINORITY BUSINESS
S. Renée Narloch & Associates is, by federal and state guidelines, considered a small, woman-owned business based on the size of our firm, our annual business earnings, and the percentage of ownership held (100%) by a woman/minority.
STATEMENT OF PROFESSIONAL STANDARDS
S. Renée Narloch & Associates believes in sound and ethical business practices. We understand that confidence and respect are imperative to our success. Our services to clients and candidates involve relationships which depend on good faith efforts. We conduct business forthrightly with no intentional misrepresentations which could mislead clients or candidates. We refrain from using any sourcing techniques that involve deception or falsehood and do not engage in activities which violate antitrust laws. Communication between us, our clients, and candidates are impartial and accurate, and we make a concerted effort to see that the position, our clients, and candidates are represented honestly and factually. We honor the confidentiality of proprietary information received from clients and candidates and will disclose any knowledge of potential conflicts of interest to client agencies and candidates.
S. RENÉE NARLOCH & ASSOCIATES OUR RECRUITMENT PROCESS PAGE 3
OUR RECRUITMENT PROCESS
S. Renée Narloch & Associates’ unique, client-driven approach to executive search will ensure thatthe South Florida Regional Transportation Authority has a pool of high-quality candidates from whichto select the new Executive Director. Outlined below are the services we provide in our recruitmentprocess.
DEVELOPING THE CANDIDATE PROFILE
Our understanding of SFRTA’s requirements will be the foundation to a successful search. We will work directly with SFRTA staff and others involved in the process in order to learn as much as possible about what the organization expects of a new Executive Director. We can also meet with other key staff or community members to gather information. We want to learn about the values and culture of the organization, as well as understand the current issues, challenges, and opportunities that face the South Florida Regional Transportation Authority. We also want to be fully acquainted with SFRTA’s expectations regarding the knowledge, skills, and abilities sought in the ideal candidate, and we will work with your organization to identify expectations regarding education and experience. Additionally, we want to discuss expectations regarding compensation and other items necessary to complete the successful appointment of the ideal candidate. As part of this process, we will provide an evaluation of the compensation and benefits of the Executive Director position. Based on these discussions, we will develop a profile that addresses the responsibilities, core competencies and professional characteristics and traits, education and training, operational and organizations issues, and other factors relevant to this position. The profile that we develop together at this stage will guide our recruitment efforts.
ADVERTISING CAMPAIGN AND RECRUITMENT BROCHURE
After gaining an understanding of SFRTA’s needs, we will design an effective advertising campaign that is appropriate for the recruitment. We will focus on professional journals that are specifically suited to the Executive Director search, utilizing venues that will ensure a diverse pool of applicants, including qualified minority and women candidates. We will also utilize social media and will develop a professional recruitment brochure on SFRTA’s behalf that will discuss the community, organization, position, and compensation. Once completed, we will mail the brochure to an extensive audience, making them aware of the exciting opportunity with the South Florida Regional Transportation Authority.
RECRUITING CANDIDATES
After cross-referencing the profile of the ideal candidate with our database of thousands of candidates and our contacts in the field, we will conduct an aggressive outreach effort that includes making personal calls to prospective applicants in order to identify and recruit outstanding candidates, including qualified minority and women candidates. We realize that the best candidate is often not looking for a new job, and this is the person that we actively pursue to become a candidate. Aggressively marketing the Executive Director position to prospective candidates will be essential to the success of the search.
S. RENÉE NARLOCH & ASSOCIATES OUR RECRUITMENT PROCESS PAGE 4
SCREENING CANDIDATES
Following the closing date for the recruitment, we will screen all resumes and cover letters using the criteria established in our initial meetings to narrow the field of candidates.
PRELIMINARY INTERVIEWS
We will conduct preliminary interviews with the top 10 to 12 candidates in order to determine which candidates have the greatest potential to succeed in your organization. During the interviews, we will explore each candidate’s background and experience as it pertains to the Executive Director position. In addition, we will discuss the candidate’s motivation for applying for the position and make an assessment of his/her knowledge, skills, and abilities. We will devote specific attention to determining the likelihood of the candidate’s acceptance of the position if an offer of employment is made.
PUBLIC RECORDS SEARCH
Following the interviews, we will conduct a review of published articles that reference each candidate. Various sources will be consulted, including Lexis-Nexis™, a newspaper/magazine search engine, Google, and local papers from the communities in which the candidates have worked. This brings to our attention any further detailed inquiries that we may need to make at this time.
RECOMMENDATIONS
Based on the information gathered through meetings with your organization and preliminary interviews with candidates, we will typically recommend three to five candidates for your consideration. We will prepare a report on each candidate that focuses on the results of our interviews and public record searches; these reports include detailed information pertaining to the candidates’ professional experiences and accomplishments, strengths and potential gaps, and background information. We will make specific recommendations, but the final selection of those to be considered will be up to you.
FINAL INTERVIEWS
Our years of experience will be invaluable as we help you to develop an interview process that objectively assesses the qualifications of each candidate. We will adopt an approach that fits your needs, whether it is a traditional interview, multiple interview panel, or assessment center process. We will provide you with suggested interview questions and rating forms, and we will be present at the interviews to facilitate the process. Our expertise lies in facilitating the discussion that can bring about a consensus regarding the final candidates.
We will work closely with your staff to coordinate and schedule interviews and candidate travel. Our goal is to ensure that each candidate has a very positive experience, since the manner in which the entire process is conducted will have an effect on the candidates’ perception of your organization.
S. RENÉE NARLOCH & ASSOCIATES OUR RECRUITMENT PROCESS PAGE 5
BACKGROUND CHECKS/DETAILED REFERENCE CHECKS
Based on final interviews, we will conduct credit, criminal, civil litigation, and motor vehicle record checks for the top one to three candidates. In addition, those candidates will be the subjects of detailed, confidential reference checks. In order to gain an accurate and honest appraisal of the candidates’ strengths and weaknesses, we will talk candidly with people who have direct knowledge of their work and management style. We will ask candidates to provide the names of their supervisors, subordinates, and peers for the past several years. Additionally, we will make a point of speaking confidentially to individuals known to have insight into a candidate’s abilities, but who may not be on his/her preferred list of contacts. At this stage in the recruitment, we will also verify candidates’ educational backgrounds and any required certifications.
NEGOTIATIONS
We recognize the critical importance of successful negotiations and can serve as your representative during this process. Our experience provides us with insight into current industry standards and expectations in negotiating contracts, and we will be available to advise you regarding current approaches to difficult issues such as housing and relocation. Working to secure the appointment of your chosen candidate, we will represent your interests and advise you regarding salary, benefits, and employment agreements. We have the expertise to turn a very sensitive aspect of the recruitment into one that is viewed positively by both you and the candidate.
COMPLETE ADMINISTRATIVE ASSISTANCE
Throughout the recruitment, we will provide SFRTA with updates on the status of the search, and we will provide a schedule for actions and deliverables at the beginning of the process. We will also take care of all administrative details on your behalf. Candidates will receive personal correspondence advising them of their status at each critical point during the recruitment. In addition, we will respond to inquiries about the status of their candidacy within 24 hours. Every administrative detail will receive our attention.
S. RENÉE NARLOCH & ASSOCIATES THE TEAM PAGE 6
THE TEAM
Our team at S. Renée Narloch & Associates is comprised of a diverse group of individuals who have extensive experience in the recruitment of public sector executives. Ms. Narloch will be the lead consultant for the Executive Director recruitment for the South Florida Regional Transportation Authority, with assistance from Mr. Elliott Pervinich and Ms. Liana Velez Thompson.
S. RENÉE NARLOCH, PRESIDENT
Ms. Narloch is the President of S. Renée Narloch & Associates and the Director of our offices located in Tallahassee, Florida, and Georgetown (Austin), Texas. She is recognized as one of the nation’s leading recruiters. She has more than 25 years of experience conducting public sector recruitments and has participated in more than 400 searches nationwide. Prior to forming S. Renée Narloch & Associates, Ms. Narloch spent 10 years as the Senior Vice President of a public sector executive search firm with responsibilities for clients in 40 states from Texas northward to the East Coast. She also previously served as a Senior Recruiter with DMG and MAXIMUS with sole responsibility for the firm’s executive search practice in the Southeastern, Mid-Atlantic, and Mid-Western states. Ms. Narloch is an expert in public sector recruitment and is often a guest speaker at the National ICMA Conference. Ms. Narloch received her Bachelor of Science degree in Information Studies, summa cum laude, from Florida State University, Tallahassee, Florida.
ELLIOTT S. PERVINICH, VICE PRESIDENT
Mr. Pervinich is the Vice President of S. Renée Narloch & Associates offices located in Tallahassee, Florida and Georgetown (Austin), Texas. He concentrates on client outreach and business operations. Mr. Pervinich previously worked for a local city government in central Texas as a team building trainer and facilitator in corporate development, which has given him great insight into the needs of our clients. He has eight years of experience working in executive administration in both local government and the for-profit sectors. Mr. Pervinich received his Bachelor of Science degree in Recreation and Leisure Services Administration from Florida State University, Tallahassee, Florida.
LIANA VELEZ THOMPSON, SENIOR CONSULTANT
As a Senior Consultant with S. Renée Narloch & Associates, Ms. Thompson is responsible for research, candidate recruitment, screening, reference checks, and background verifications. She focuses on client communication and works closely with clients to coordinate candidate outreach and ensure a successful search. Prior to joining S. Renée Narloch & Associates, Ms. Thompson spent several years in the field of special education. Ms. Thompson received her Bachelors of Arts degree, magna cum laude, and Master degree in Special Education from Florida State University, Tallahassee, Florida.
S. RENÉE NARLOCH & ASSOCIATES CLIENTS/REFERENCES PAGE 7
CLIENTS/REFERENCES
CLIENTS
S. Renée Narloch & Associates' recruiters have extensive experience, placing more than 400 publicsector professionals. Below is a list of some of the clients for which Ms. Narloch has recruited in the last few years. For a complete client list, please contact us.
Florida Public Transportation Association (FPTA) Executive Director Early Learning Coalition of Broward County, FL Chief Executive Officer Louisiana Housing Corporation, LA Executive Director Children’s Board of Hillsborough County, FL Executive Director Broward County, FL Port Everglades Chief Executive/Port Director Assistant Director of Economic & Small Business Development/; County Attorney; Port Everglades Director of Business Development Portsmouth Redevelopment & Housing Authority (PRHA), VA Executive Director New Orleans Redevelopment Authority, LA Executive Director Workforce Development Board (WDB), OH Executive Director/CEO City of Dunedin, FL City Manager City of Coral Springs, FL City Manager City of Delray, FL City Attorney Sumter County, FL Public Works Director; Fire Chief; Development Services Director; Assistant Public Works Director Engineer; Staff Engineer San Antonio Housing Authority (SAHA), TX Development Services & Neighborhood Revitalization Officer and Director of Human Resources & Employee Development; Director of Community Development Initiatives; Director of Information Technology; Chief Operations Officer SOS Children’s Villages – Florida Chief Executive Officer Alexandria Redevelopment and Housing Authority (ARHA), VA Chief Executive Officer Housing Authority of the City of Tulsa, OK President/CEO City of Oak Creek, WI City Administrator Houston Housing Authority, Houston, TX President/CEO City of Durham, NC Director of Technology Solutions
City of Fort Lauderdale, FL City Manager; Building Official; City Attorney; Director of Sustainable Development Rochester-Genesee Regional Transportation Authority (RGRTA), NY Chief Executive Officer (CEO City of Arlington, TX Deputy City Manager; Parks & Recreation Director City of Gainesville, FL City Attorney; City Auditor; Chief Plans Examiner; Building Inspector IV Housing Authority of the City of Austin (HACA), TX Vice President/Chief Financial Officer; President/CEO City of Dallas, TX Assistant Director of Transportation Operations; Assistant Director of Water Utilities; City Manager; Managing Director of Environmental Quality; Assistant Director of Street Services (Maintenance) El Paso Water Utilities-Public Service Board, TX President/CEO Housing Authority of the City of Brownsville, TX Chief Executive Officer Pinellas Suncoast Transit Authority (PSTA), FL Chief Financial Officer City of Tallahassee, FL Human Resources Manager; Fire Chief; and Director of Airport Fort Worth Housing Authority, TX President/CEO Wake County, NC County Manager Scott Consolidated Emergency Communications Center (Scott County, IA) Emergency Services Dispatch Director City of Virginia Beach, VA Deputy City Manager; Assistant Human Services Director City of West Palm Beach, FL Director of Public Utilities; Director of Engineering Services Franklin County, OH County Administrator; Animal Care & Control Services Director; Director of Job & Family Services
S. RENÉE NARLOCH & ASSOCIATES CLIENTS/REFERENCES PAGE 8
REFERENCES
Clients and candidates provide the best testament of our ability to conduct quality searches. Listed below are a few clients for whom Ms. Narloch has conducted searches. The average tenure of placements is approximately five years. CLIENT: Florida Public Transportation Association (FPTA), FL POSITION: Executive Director REFERENCE: Mr. Brad Miller, Board Member 2003 Apalachee Pkwy #208, Tallahassee, FL 32301 (727) 540-1807; bmiller@psta.net CLIENT: City of Coral Springs, FL POSITIONS: City Manager; Deputy City Manager REFERENCE: Mr. Dale Pazdra, Human Resources Director
9551 W. Sample Road, Coral Springs, FL 33065 (954) 344-1152; dpazdra@coralsprings.org
CLIENT: City of Fort Lauderdale, FL POSITIONS: City Manager; City Attorney; Director of Sustainable Development; Deputy Director of Human Resources REFERENCE: Ms. Averill Dorsett, Director Human Resources
100 N. Andrews Avenue, Fort Lauderdale, Florida 33301 (954) 828-5307; Fax: (954) 828-5837; adorsett@fortlauderdale.gov
S. RENÉE NARLOCH & ASSOCIATES COST PROPOSAL PAGE 9
COST PROPOSAL
PROFESSIONAL FEE AND EXPENSES
The professional fee for conducting this recruitment on behalf of the South Florida Regional Transportation Authority is $17,450, plus actual expenses. Services covered by the fee consist of all steps outlined in this proposal, including up to three (3) onsite visits. Expenses are estimated to not exceed $7,450 and include items such as the cost of consultant travel, clerical support, placement of ads, newspaper searches, education verification, as well as credit, criminal, and civil checks. In addition, postage, photocopying, and telephone charges are included and will be allocated. Expenses related to the use of audio/video conferencing equipment for interviews, and candidates’ travel for interviews, are the responsibility of the South Florida Regional Transportation Authority.
CANDIDATE TRAVEL
With respect to candidate travel for interviews, we typically ask candidates to make their travel arrangements and advise them SFRTA will reimburse them directly for reasonable airfare, hotel, and auto expenses, if allowed. We advise candidates what is standard and customary in the industry, as well as SFRTA’s expectations and parameters regarding travel. Our experience has been that candidates use discretion and stay within reasonable limits both in pricing and scheduling.
PAYMENT
We will invoice the South Florida Regional Transportation Authority monthly for professional fees and expenses for services incurred as of the date of the invoice. We expect payment of invoice within 30 days of receipt by SFRTA. Typically, this results in three monthly invoices of 30% of professional fees and expenses, with a final invoice for the remaining ten percent of professional fees due upon the selection of the finalist.
GUARANTEE
We guarantee that, should the selected candidate be terminated for cause within the first year of employment, we will conduct the search again at no cost (with the exception of expenses) to SFRTA. We are confident in our ability to recruit outstanding candidates and do not expect SFRTA to find it necessary to exercise this provision.
S. RENÉE NARLOCH & ASSOCIATES COST PROPOSAL PAGE 10
SCHEDULE
We are available to begin the search for the Executive Director immediately, and our current workload is such that we can ensure SFRTA will receive our full attention throughout the entire recruitment process. We will be prepared to make our recommendation regarding finalists within 75 to 90 days from the start of the search. A standard recruitment can typically be completed in less than 16 weeks and follows an approach and schedule similar to the one below:
WEEK TASK: 1 Conduct meeting with SFRTA staff and others involved in the process 2 Develop recruitment brochure and advertisements 3 SFRTA reviews recruitment brochure and advertisements 4 Recruitment brochure printed and advertisements placed 5 Active recruitment of candidates begins 9 Closing date
10 Screen resumes 11-12 Recruiter interviews top candidates 12-13 Public records search
14 Review recommendations with SFRTA staff and others involved in the process 15 Candidates interview with SFRTA, follow-up interviews, and consultant
reference/background checks 16 Candidate selected
within the Central Florida region and the state. The Authority is a founding member of
the Central Florida Water Cooperative to partner with four other utilities
in the planning and development of regional water supply solutions. TWA is also an active member of the National Association of Clean Water Agencies, the Association of Municipal Water Agencies, and
the Florida Water Environment Association Utility Council.
THE POSITIONThe Executive Director is tasked with
overseeing the operations of the organization and implementing the policies and directives of the Board of
Supervisors. The Executive Director directs and coordinates operations and planning for all facets of TWA, including administering the annual and capital budgets and working with the Board of Supervisors to plan and implement the Strategic Plan. Strategic areas of responsibility for the Executive Director include organization responsiveness; regulatory compliance; financial performance; workforce initiatives; customer service performance; and infrastructure reliability.
Essential job functions of the Executive Director include:
• Supports and coordinates activities and operations of theAuthority.
• Coordinates the development of the overall budget.
• Oversees arbitration and mediation of issues both withinand external to the Authority.
• Provides review, approval, and general oversight topurchasing and procurement operations. Approves majorpurchases between $15,000 and $50,000.
• Prepares the governing board agenda, coordinates meetings, and maintains positive board relations.
• Coordinates intergovernmental relations for city, county,regulatory, peer utility, state, and federal members andregulatory agencies.
• Oversees and directs policy development for the Authority.
• Provides program leadership, support, and oversightfor strategic planning development, revision, andimplementation.
• Reviews and approves hiring, termination, and discipline ofpersonnel throughout the Authority.
• Reviews payroll, leave requests, and routine personnelissues for direct reports.
• Develops, administers, and monitors project budgets;
THE organizationEstablished in October 2003 by a special act of the Florida legislature, Tohopekaliga Water Authority (TWA) is the largest provider of water, wastewater and reclaimed water services in Osceola County and also serves parts of Orange and Polk Counties. TWA is a partnership of the City of Kissimmee and Osceola and Polk Counties to provide regional stewardship over water resources within its service area and currently serves approximately 102,500 water, 96,500 wastewater, and 17,000 reclaimed water customers in Kissimmee, Poinciana and the unincorporated areas of Osceola County. The Authority has approximately 136,500 service connections (water, irrigation, and reclaimed water) providing service to a diverse population of more than 300,000. TWA’s service area is located in both the South Florida Water Management District (SFWMD) and the St. Johns River Water Management District (SJRWMD).
TWA owns and operates 13 water plants and 8 water reclamation facilities. With approximately 340 full-time employees, TWA treats and distributes approximately 35 million gallons per day of potable water and produces approximately 27 million gallons per day of reclaimed water from its water reclamation facilities.
TWA is governed by a five-member Board of Supervisors responsible for approving all of its operating policies. The Authority has a $115 million operating budget and $30 million CIP budget for 2018. The Board hires the Executive Director and the General Counsel. Divisions within TWA include Administration, General Counsel, Business Services, Customer Service, Information Technology, Human Resources, Treatment Operations, Engineering Services, Field Services and Public Information.
Strategic focus areas of the Authority include delivering exceptional service to customers; developing employees to their fullest potential; addressing infrastructure needs to ensure its capacity to meet future demands; preserving and sustaining a long-term water supply which meets the needs of a growing community and protects the environment; and maintaining the long-term financial strength of the Authority as it continues to grow.
The Authority received several awards for excellence in 2017, including being recognized for the eleventh consecutive year as one of the Orlando Sentinel Top Employers in Central Florida for Families. The Authority operates in a stable economic environment as evidenced by a steadily growing customer base, along with some of the most affordable rates in Central Florida. TWA has a AA + bond rating reflective of its financial strength. The Authority has a history of working regionally and collaboratively
The ideal candidate will have knowledge of:
• Administrative, financial, budgetary,and managerial principles, policies andprocedures applied to water utilityoperations.
• Engineering methods and theories appliedto design and operation of municipal waterand wastewater systems and facilities.
• Water and wastewater constructionpractices and quality control techniques.
• Legal and financial issues affecting a waterand wastewater and utility.
• Environmental, regional land use andwater utilities planning.
• Services needs assessments.
• Innovative industry trends such as energyand resource recovery from bio-solids.
• Customer service, billing, collections, andcustomer engagement.
The ideal candidate must have skills in:
• Establishing and maintaining effective andinnovative public relations.
• Establishing and maintaining effectiveworking relationships with city/countyofficials, regulatory agencies, consultants,contractors, other agencies, civicorganizations and the general public.
• Developing and managing projects.
• Promoting productivity and anenvironment of cooperation to achievehigh-quality services promptly throughteam-building, responsible decisionmaking, and problem-solving.
• Effective negotiation skills toadvocate and resolve differencesof opinion or interpretation andachieve an effective compromise with competing interests.
• Effective oral and writtencommunication to persuasively
make presentations and composecorrespondence on controversial
or complex topics to the Board, stakeholders, and other agencies.
• Developing and leading teams and beinga team player.
coordinates the preparation of the annual department operating budget.
• Develops, implements, and evaluates the department’s five-year strategic andcapital plans.
• Coordinates activities with city/county departments, developers, engineers,contractors, regulatory agencies, other utilities, and customers.
• Supervises division professional, technical, and support staff. Supervisoryduties include instructing, assigning, reviewing, and planning work of others;maintaining standards; coordinating activities; allocating personnel; selectingnew employees; acting on employee problems; approving discipline, andrecommending transfers, promotions, discharge, and salary increases.
• Reviews the work of subordinates for completeness and accuracy; evaluatesand makes recommendations as appropriate; offers advice and assistance asneeded.
• Receives and responds to inquiries, concerns and complaints from employees,agencies, and the general public regarding Authority activities and projects.
• Receives, reviews, prepares and/or submits various records and reportsincluding plans and specifications, budget reports, permits, contracts, payrequests, performance evaluations, studies, analytical reports, memos, etc.
• Performs administrative/office duties as required, including attending andconducting meetings, preparing reports and correspondence.
• Performs any additional duties as required, or through necessity of thesituation.
Current issues and challenges for TWA include:
• Providing for the development and growth of the community while beingconscientious of environmental concerns. Osceola County is the fastestgrowing county in Florida and has been one of the fastest growing countiesfor a number of years.
• Development and maintenance of a high level of Customer Service throughoutthe Authority.
• Maintaining, upgrading and replacement of infrastructure as needed.
• The implementation of a long-term water supply strategyincluding the development of alternative water supplysources in cooperation with regional partners,including on-going collaborative water supplyplanning efforts as outlined in the CentralFlorida Water Initiative (CFWI).
• Interacting with the City, County and manyother stakeholder agencies.
• Providing full compliance with regulatoryrequirements.
• Interacting and educating customers,neighborhood groups and other local, stateand international agencies.
• Expanding the workforce and providing continuedtraining for the existing workforce.
TO APPLYIf interested in this outstanding opportunity,
please visit our website at www.srnsearch.com and apply online. First review of résumés will begin on May 14, 2018; position is open until filled.
Résumés will be screened according to the qualifications outlined above.
Screening interviews with the most qualified applicants will be conducted by S.
Renée Narloch & Associates to determine a select group of finalist candidates who will
be asked to provide references; references will be contacted only following candidate consent. Final interviews
will be held with TWA. Candidates will be advised of the status of the recruitment following the selection of the Executive Director.
Employees of the TWA may be required to work before, during and/or after a natural or manmade disaster or hurricane.
Questions regarding recruitment may be directed to:
Ms. S. Renée Narloch, PresidentS. Renée Narloch & Associates
info@srnsearch.com | 850.391.0000www.srnsearch.com
TWA is an Equal Opportunity/ADA Employer. According to Florida’s broad Public Records/Sunshine Law, employment applications and résumés are subject to disclosure.
The Executive Director will be a leader who is a visionary with a team-oriented management style that promotes customer service and productivity throughout TWA. Must be politically astute and a strategic and proactive leader who can make tough decisions. The Executive Director will work collaboratively and strategically, in partnership with stakeholders, to build consensus and demonstrate results using creative innovations and initiatives.
The selected candidate will be confident, flexible, solutions-oriented, and results-driven, as well as honest, ethical and a person of integrity. Must be customer service-oriented, approachable, accessible, and possess excellent communication skills. Candidates must embrace best practices and performance management and will be supportive of staff, encourage professional development, and hold staff accountable.
The current Executive Director is retiring after more than 30 years of service to the Authority and its predecessor organization, the City of Kissimmee.
Requirements include a Bachelor’s degree in Environmental or Civil Engineering or a related field. Must also have at least seven (7) years of progressively responsible experience in water/wastewater/stormwater utility operations; utility engineering and planning; utility financial management; or related fields, some of which have been in a supervisory and managerial capacity; or an equivalent combination of education, training and experience that provides the required knowledge, skills and abilities. A Master’s degree in Environmental Engineering, Public or Business Administration is preferred.
COMPENSATIONThe starting salary will be based upon the knowledge and experience of the individual selected. TWA offers an attractive benefits package. The State of Florida does not have a state income tax.
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PROFESSIONAL SERVICES AGREEMENT
This agreement is made by and between the _____________________ (the Agency), and NP&S Management, Inc. d/b/a S. Renée Narloch & Associates (the Consultant).
A. Engagement: The Agency agrees to engage the Consultant to performthe services described below, the project described as an executiverecruitment for _______________________________________________ (theSearch).
B. Services: The Consultant agrees to perform certain services necessaryfor the completion of the search, these services shall include thefollowing:
a. Develop the Candidate Profileb. Develop Advertising Campaign and Recruitment Brochurec. Recruit Candidatesd. Screen Candidatese. Conduct Personal Interviewsf. Conduct Public Record Searchg. Provide Recommendationsh. Assist with Final Interviewsi. Conduct Detailed Reference and Background Checksj. Assist with Negotiationsk. Provide Complete Administrative Assistance
As described in the proposal dated ___________, 2018 attached hereto and incorporated herein by reference.
C. Relationship: The Consultant is an independent contractor and is not tobe considered an agent or employee of the Agency.
D. Compensation: As full compensation for the Consultant’s professionalservices performed hereunder, the Agency shall pay the Consultant thefixed amount of $____________ (________________________ Dollars).
E. Expense Reimbursement: The Consultant shall be entitled toreimbursement for expenses from the _______ for consultant travel,advertising, printing and binding, clerical, long distance charges,postage and delivery, civil, criminal and newspaper checks, and creditchecks. Postage, photocopying, and telephone charges are allocatedcosts. Expenses to be reimbursed shall not exceed $__________(______________________ Dollars) without prior approval from the _______ .Copies of receipts will not be provided unless specifically requested andmade part of this contract. Expenses related to the use of audio/videoconferencing equipment for interviews and for candidates’ travel forinterviews are the responsibility of _________________.
F. Compensation for Additional Services: In the event the Agency elects torequire additional services of the Consultant in addition to thosedescribed in paragraph B, the Consultant shall be compensated at anagreed upon rate.
G. Method of Payment: The Agency shall be billed monthly by theConsultant for the work completed as of that date. Expenses shall bebilled and due at the same time.
H. Term: The term of this agreement shall commence on ________________,at which time Consultant shall begin work on the Search and shallcontinue until the search is completed.
I. Termination: This agreement may be terminated; (a) by either party atany time for failure of the other party to comply with the terms andconditions of this Agreement; (b) by either party upon 10 days priorwritten notice to the other party; or (c) upon mutual written agreement ofboth parties. In the event of termination, the Consultant shall stop workimmediately and shall be entitled to compensation for professional feesand expense reimbursement to the date of termination and for any worknecessitated by that termination.
J. Indemnity: Except for loss, damages, liability, claims, suits, costs andexpenses whatsoever, including reasonable attorney’s fees, causedsolely by the negligence of the Agency, its Council, boards,commissions, officers and employees, Consultant shall indemnify,defend and hold harmless the Agency, its Council, boards andcommissions, officers, and employees from and against any and all loss,damages, liability, claims, suits, costs and expenses whatsoever,including reasonable attorney’s fees, regardless of the merits or outcomeof any such claim or suit arising from or in any manner connected toConsultant’s negligent act or omission regarding performance ofservices or work conducted or performed pursuant to this Agreement.
K. Miscellaneous:
a. The entire agreement between the parties with respect to thesubject matter hereunder is contained in this agreement.
b. Neither this agreement nor any rights or obligations hereundershall be assigned or delegated by the Consultant without the priorwritten consent of the Agency.
c. This agreement shall be modified only by written agreement dulyexecuted by the Agency and the Consultant.
d. Should any of the provisions hereunder be found to be invalid, voidor voidable by a court, the remaining provisions shall remain infull force and effect. This agreement shall be governed by andconstrued in accordance with the laws of the State of __________.
e. All notices required or permitted under this agreement shall bedeemed to have been given if and when deposited in the UnitedStates mail, properly stamped and addressed to the party for
whom intended at such party’s address listed below, or when delivered personally to such party. A party may change its address for notice hereunder by giving written notice to the other party.
Wherefore, the parties have entered into this agreement as of the later of the dates stated below.
Approved:
NP&S Management, Inc. d/b/a Dated: ______________, 2018 S. Renée Narloch & Associates
By: __________________________________ Title: President 2910 Kerry Forest Pkwy D4-242 Tallahassee, FL 32309
Dated: ______________, 2018 Client Name: _________________________________
Address: ____________________________
_______________________________________
City, State, Zip:_______________________
_______________________________________
By: ___________________________________
Title: __________________________________
SOUTH FLORIDA REGIONALTRANSPORTATION AUTHORITY
Tri-Rail Recruitment Proposal for
Executive Director
Prepared by Robert E. Slavin on May 14, 2018
3040 Holcomb Bridge Rd. Suite A-1 ! Norcross, Georgia 30071 ! (770) 449-4656 ! FAX (770) 416-0848 ! E-m ail:
slavin@bellsouth.net www.slavinweb.com
With affiliates in Burlington, NC; Cincinnati, OH; Dallas, TX; Dunedin, FL; Wallingford, CT; Mackinac Island, MI and Mesa, AZ
Prepared for the SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITY by Slavin Management Consultants
TABLE OF CONTENTS
PROPOSAL COVER . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
TRANSMITTAL LETTER . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
DESCRIPTION OF FIRM AND RELEVANT EXPERIENCE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
PROPOSED PROJECT TEAM . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Robert E. Slavin, President . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Randi Frank, Managing Consultant . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
David Krings , ICMA-CM, SMC Midwest Regional Manager . . . . . . . . . . . . . . . . . . . . . . 5
SMC Organizational Chart . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
PROJECT METHODOLOGY . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Develop Position Profile . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Identify Qualified Candidates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Evaluate Prospective Candidates . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Preliminary Screening and Progress Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Selection and Employment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
In-depth Screening and Final Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Establish Evaluation Criteria . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Follow-up . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Deliverables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Guarantees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
PROJECT SCHEDULE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
FEE STRUCTURE . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Professional Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
EXHIBITS
Sample Recruitment Profile
Pro Forma Invoice
Clients
EEO Statement
Minority and Female Placements
1Prepared for the SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITY by Slavin Management Consultants
PROPOSAL COVER
South Florida Regional Transportation Authority (RTA)
Tri-Rail Executive Director Recruitment
Slavin Management Consultants Contact
Slavin Management Consultants3040 Holcomb Bridge Road, Suite #A-1 Norcross, Georgia 30071
Phone: (770) 449-4656Fax: (770) 416-0848email: slavin@bellsouth.netweb site: www.slavinweb.com
Hours of Business: 8:00 a.m. to 5:00 p.m Eastern Time
Contact: Robert E. Slavin, President
2Prepared for the SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITY by Slavin Management Consultants
TRANSMITTAL LETTER
May 14, 2018
Christopher C, Bross, CPPO, FCPM, FCCN
Director, Procurement
South Florida Regional Transportation Authority
801 N.W . 33 Streetrd
Pompano Beach, Florida 33064
Re: Tri-Rail Executive Director Recruitment
Slavin Management Consultants (SMC) is pleased to submit this proposal to conduct an executive search
for the next Executive Director for the South Florida Regional Transportation Authority (SFRTA).
SMC is a high quality, independent management consulting SMC is incorporated in Georgia and based at
3040 Holcomb Bridge Road, A1, Norcross, GA 30071. The company is certified to conduct business in
Florida. Our Federal Taxpayer ID Number is 58-2377314. SMC provides a variety of consulting services
primarily to local government and nonprofit clients. Our speciality is executive recruitment. Over the years
SMC has completed more than 850 executive recruitments for clients in forty-six states.
This proposal commits the highest level of our firm 's resources. As SMC’s president I have the authority
to bind the corporation. I will manage this search and Randi Frank and I will serve as its primary
consultants. I have a strong and proven commitment to providing exceptional recruitment services to
public agencies and have received many accolades supporting this work. Mr. Paul W enbert and Mr. David
Krings will also assist with the project. All four project team members are available to begin this project
within two weeks and to complete it within ninety days.
SMC is a national firm, strategically based in Norcross, Georgia for easy access to Atlanta’s Hartsfield-
Jackson International Airport - the world’s busiest airport. W e have affiliates in Burlington, NC; Cincinnati,
OH; Dallas, TX; Dunedin, FL; W allingford, CT; CA; Mackinac Island, MI and Mesa, AZ. This work will be
conducted from our Norcross, Georgia headquarters.
The purpose of this project is to help the SFRTA Board to develop and agree to a comprehensive position
profile for Executive Director and then to identify, recruit and present outstanding candidates who meet
these criteria. SMC is most capable and interested in providing these services to the SFRTA.
Thank you for the opportunity to submit this proposal. W e look forward to working with the SFRTA on this
highly challenging and very important assignment. If you have questions concerning this proposal, please
contact me at (770) 449-4656.
Very truly yours,
SLAVIN MANAGEMENT CONSULTANTS
Robert E. Slavin, President
RES/jf
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DESCRIPTION OF FIRM AND RELEVANT EXPERIENCE
Robert E. Slavin, Inc. (dba Slavin Management Consultants (SMC) is an independent management
consulting firm formed in 1991 and incorporated in the State of Georgia. W e operate nationwide from our
home office near Atlanta, Georgia. The principal and only stock holder of the firm is Robert E. Slavin. Mr.
Slavin has extensive experience as a local government executive and as a management consultant. W e
have affiliates in Burlington, NC; Cincinnati, OH; Dallas, TX; W allingford, CT; Dunedin, FL; Los Angeles,
CA; Mackinac Island, MI and Mesa, AZ.
The company provides exceptionally high-quality consulting services to state and local governments,
health care providers, transit authorities, utilities, special districts, and private sector clients. Specialty
practice areas include executive recruitment, pay and classification, performance appraisal systems, and
organization development and training. Our key consultants have conducted successful assignments for
hundreds of public sector organizations nationally and offer many references as testimony of our work.
This important engagement will be personally conducted by Mr. Robert E. Slavin. Mr. Slavin has
conducted or assisted in the conduct of more than 850 successful executive searches throughout his
career. Members of the proposed search team have conducted executive searches for Slavin
Management Consultants as well as for others before joining the firm. All are professional public human
resources practitioners with significant direct management experience. All are long-term, active members
of a variety of professional organizations and stay abreast of new and changing laws, developments and
trends by regularly attending specialized workshops, seminars and annual conferences.
SMC has significant experience recruiting and placing Executive Directors in organizations with similar
function and/or governance structures to that of SFRTA. Our related experience includes:
• Chapel Hill Transit (General Manager)
• Chatham County/Savannah Metropolitan Planning Commission (Executive Director)
• Greater Dayton (OH) Regional Transportation Authority (Chief Executive Officer)
• Los Angeles County (Community Development Director)
• Metra Chicago (Executive Director)
• MetroPlan Orlando (Executive Director)
• Metropolitan W ashington (DC) Council of Governments (Director of Transportation Planning -
MPO Director)
• Miami Valley (Ohio) Regional Planning Commission - MPO (Executive Director)
• Naugatuck Valley Council of Governments (Executive Director - W aterbury, CT)
• Southwest Florida Regional Planning Council - MPO (Executive Director)
• Southeastern Regional Planning Council (Executive Director - Taunton, MA).
W e are familiar with this type of organization and have a proven record in placing talented professionals
within them.
W e use a "critical path" search process which allows our clients to focus attention on the selection process
rather than on identifying, recruiting, screening and evaluating candidates. W e understand that each
client's need for key executives is different and that there is no "best" person for all situations. The best
prospects are typically happily employed and not responding to advertisements. These people need to be
found and encouraged to become candidates. They are understandably reluctant to apply for positions
when their interest could become a matter of public information prior to being assured that the SFRTA is
interested in their candidacy. Our approach to this assignment will reflect the unique qualities of the
SFRTA. It will honor the interests of candidates to the extent possible under State of Florida law.
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PROPOSED PROJECT TEAM
Robert E. Slavin, President
Mr. Slavin will manage this project and along with Randi Frank and David Krings. Mr. Slavin is a pioneer
in public sector and nonprofit executive search. He is among the best known and respected professional
recruiters in the business. He is a frequent speaker before professional groups and he has written
several articles for professional journals concerning governmental management. By special invitation,
Mr. Slavin assisted the United States Office of Personnel Management to define and set up the Senior
Executive Service for the Federal Government.
Mr. Slavin began his local government career in 1967. His experience includes twelve years working
directly for local governments and it includes seven years as a principal consultant with the government
search practice of Korn/Ferry International, the largest private sector search firm in the world. He headed
the local government search practices for Mercer/Slavin, Incorporated, Mercer, Slavin & Nevins and
Slavin, Nevins and Associates, Inc. Mr. Slavin now heads the executive search practice for Slavin
Management Consultants. Clients include state and local governments, nonprofit and private sector
businesses all over the United States. His experience includes search assignments for the 1984 Los
Angeles Olympic’s Organizing Committee.
Mr. Slavin's experience and qualifications include organizational analysis, classification and
compensation studies, and assessment centers and human resource’s systems studies.
Before being invited to join Korn/Ferry International, Mr. Slavin served as Assistant City Manager/Director
of Human Resources for the City of Beverly Hills, California.
W hile at Beverly Hills, Mr. Slavin conducted many executive level recruitment assignments involving
nationwide search and placement. Before joining the City of Beverly Hills, Mr. Slavin was the Assistant
Personnel Director for the City of San Leandro, California.
Before San Leandro, Mr. Slavin was on the personnel staff of Santa Clara County, California. His
assignments included recruitment, classification and selection for the County's Health Department,
Medical Center, Transportation Agency, Sheriff's Office, Superintendent of Schools, Fire Marshall,
Assessor's Office, Library System and County Recorder's Office.
Mr. Slavin received his Bachelor of Science degree in Political Science from the University of Santa
Clara, and has completed the graduate course work for a Master's degree in Public Administration at
California State University at Hayward. He is a Certified Professional Consultant to Management by the
National Bureau of Certified Consultants.
Organizations
C International City/County Management Association
C American Society for Public Administration
C International Personnel Management Association
C IPMA - Human Relations Commission
C IPMA - Publications Review Committee
C Certified Management Consultant (National Bureau of Certified Consultants)
C Government Finance Officers Association
C National Forum for Black Public Administrators
C Southern California Public Labor Relations Council
C Southern California Municipal Assistants
C Bay Area Salary Survey Committee
Randi Frank, Managing Consultant
Ms. Randi Frank is an independent local government human resources management consultant based in
W allingford, Connecticut and an affiliate of Slavin Management Consultants. Her varied background
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includes more than thirty years of experience working with and for governments (including 10 years a
consultant conducting executive searches and 13 years as Human Resource Manager reporting to the
Town Manager). Ms Frank has experience in federal, county, and municipal experience. She has
experience working as an Assistant Manager, Assistant to the Manager, Budget Analyst, Research
Associate and Consultant to governments located in the Northeast, Mid-Atlantic and the W estern regions
of the United States. She holds a Master’s degree in Public Administration from the University of Southern
California and a Bachelor’s degree in Urban Affairs from the University of Rhode Island. Ms. Frank is
certified as a professional risk manager by the Insurance Institute of America and a certified woman
owned business in Connecticut.
From her diverse background, Ms. Frank’s has gained firsthand experience and in-depth knowledge in a
wide-variety of fields and expertise in several areas. These include Executive Recruitment, Human
Resources, Risk Management, Grantsmanship, Recycling, General Management and Purchasing.
Organizations
C International City Management Association - Conference Fellow
C Connecticut Town & City Manager’s Association - Board Member
C International Personnel Management Association
C NEPELRA & CONNPELRA
C CT PRIMA - President, Past-President, Secretary-Treasurer
C Truman Scholar & Member of Truman Scholarship Association
David Krings , ICMA-CM, SMC Midwest Regional Manager
Mr. Krings has more than 45 years of experience at the top levels of state, county, and municipal
governments. He is internationally recognized as a state and local government management practitioner and
consultant. Mr. Krings has been on the professional staff of governors in both Kansas and and
Arkansas. He served as the County Administrator in Peoria County, (Peoria) Illinois and Hamilton County,
(Cincinnati) Ohio. Both Hamilton County and Peoria County received national recognition for innovative ,
quality management during Mr. Krings' tenure. Mr. Krings also served as the Assistant Executive Director for
Ramsey County (St. Paul) Minnesota .
Mr. Krings has a M.A. in Public Policy and Administration from the University of W isconsin-Madison and a BA
from Carroll College (W aukesha, W isconsin) . He has also studied at schools in Denmark and Mexico.
In 2005 Mr. Krings began his encore career, still in public service, but in a much broader capacity than in prior
years. He was the part-time Administrator of Lockland, Ohio. He served as the part-time Advisor to the Mayor
in Newtown, Ohio. He has had scores of consulting engagements with local jurisdictions and not-for-profits
(largely through TechSolve, a not-for-profit consulting firm). He has been certified as a local government
expert in litigation involving local governments.
Highlights from Mr. Krings' 13 years as Hamilton County Administrator include:
• Responsible for $2.3 billion total budget;
• Oversaw more than $1 billion in development of Cincinnati riverfront including construction of a new
NFL football stadium and a MLB baseball park;
• Developed small, minority, and female business development program;
• Governing Magazine and Syracuse University gave Hamilton County fourth highest grade among
America's large urban counties for overall management;
• Gold Seal for Good E-Governance from National Academy of Public Administration;
• Top rated web site from National Association of Counties;
• Numerous Government Finance Officers Association of United States and Canada awards for
Distinguished Budget Presentation; and
• ICMA Center for Performance Measurement Certificate of Distinction;
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Organizations
• International City/County Management Association (ICMA) -Past President and Board Member
• National Association of County Administrators (NACA)-Past President and Board Member
• First person to be President of both ICMA and NACA
• Recipient of American Society for Public Administration Chapter Good Government Award
• Former adjunct professor for University of Cincinnati and faculty member of University of Illinois
Community Information and Education Service
SMC Organizational Chart
PROJECT METHODOLOGY
W e recommend a proven and comprehensive five-step process to complete this project. The steps are as
follows:
! Develop job qualifications and requirements for the position -- the Recruitment Profile.
! Identify and recruit qualified candidates.
! Evaluate prospective candidates.
! Make recommendations, help in selection and facilitate employment.
! Establish evaluation criteria and follow-up.
Each step of this process is described below.
A. Develop Position Profile
W e will meet with the SFRTA Board of Directors (Board) members individually and others chosen by the
Prepared for the SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITY by Slavin Management Consultants 7
Board to learn the SFRTA’s needs, focus and requirements such as experience, education and training as
well as preferred management style and personal traits. In developing the recruitment profile, we will spend
a considerable amount of time at the beginning of the process in Pompano Beach to gather additional
information about the organization and the Executive Director position as well as to ascertain, the unique
challenges of the job and the general environment within which it functions.
Once we have gained the necessary information, we will prepare a draft recruitment profile and review it with
the Board to arrive at a general agreement regarding the specifications for the position. The final profile will
include information about the Regional Transportation Authority, the organization, the Executive Director
position, major issues to be faced and the selection criteria established.
B. Identify Qualified Candidates
W e will first review our database to find those candidates whom we may already know and/or already have
on file who may meet your specifications. Although the above process is valuable, we will rely most heavily
on our own contacts in related fields and on our own experience. In other words, through "networking," we
will conduct a professional search for the best-qualified candidates and invite them to apply for the position.
In this effort, we utilize appropriate professional organizations, our established contacts, and our knowledge
of quality jurisdictions and their employees.
W e will prepare and place advertisements in professional publications. W e will acknowledge all resumes
received and thoroughly screen all potential candidates.
C. Evaluate Prospective Candidates
Preliminary Screening and Progress Report
Criteria for the preliminary screening will be contained in the approved recruitment profile. They may include
such items as education, technical knowledge, experience, accomplishments, management style, personal
traits, etc. Screening of candidates against those criteria will be based on data contained in the resume and
other data provided by the candidates and on our knowledge of the organizations in which they work. At this
stage, each must meet the minimum qualifications specified in the recruitment profile.
W e request that all candidates provide us, in writing, substantial information about their accomplishments and
their management style and philosophy. This information is verified and, at the Board's option, may be further
tested by having the finalists respond to a supplemental questionnaire and/or complete management and
leadership style inventories. W e interpret these instruments for the Board as well.
W e will meet with the Board to provide a progress report on a number of semifinalist candidates. These
individuals will be top prospects who clearly meet the Board's specifications for the position. W ith guidance
from the Board, we will narrow the semifinalist candidate group on the basis of refined criteria. During this
meeting we will determine the SFRTA’s expectations relative to interview questions that we will write as well
as the candidate rating and scoring processes which will be included in our final report.
D. Selection and Employment
In-depth Screening and Final Report
At this point, we will interview those semifinalist candidates whom the Board has the greatest interest in.
Proper “fit” is as important as technical ability. W e assess both. In order to better assess candidates’
management style and interpersonal characteristics, we personally interview each in his or her present work
environment. W e will closely examine each candidate's experience, qualifications, achievements,
management style and interpersonal skills in view of the selection criteria and our professional expertise in
evaluating the quality of such qualifications, skills and achievements.
W e conduct in-depth background checks on those individuals who continue to demonstrate their overall
suitability for the position. Included are detailed and extensive reference checks which cover a minimum period
of ten years. In conducting these, it is our practice to speak directly to individuals who are now or have been
in positions to evaluate the candidate's job performance. W e ask each candidate to provide us with a large
number of references. W e then network these references to other persons who know the candidate. In this
way, we thoroughly evaluate each candidate. These references and evaluations are combined to provide
Prepared for the SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITY by Slavin Management Consultants 8
frank and objective appraisals of the top candidates.
As part of our evaluation process we conduct credit checks and verify undergraduate and graduate college
degrees. W e also conduct criminal history, civil court records and driving record checks. At the Board's
option, we can arrange for assessment centers and/or psychological (or similar) testing of the candidates.
These optional items will result in extra cost.
W e will then meet with the Board to present a group of well-qualified finalist candidates for interviews in
Pompano Beach. These final candidates will not be ranked because, at this point, they will all be qualified and
it will then be a matter of chemistry between the candidates and the Board that should produce the final
selection decision.
Our final report will be presented in a meeting with the Board. This written report is a comprehensive
document. It contains our candidate recommendations, details about the search, interview tips, interview
questions, candidate evaluation forms and information about legal vs. illegal inquiries. The report also
includes the candidate interview schedule as well as our recommendations relative to timing, sequencing,
location, setting, format, and conduct of interviews. The report contains comprehensive information about
each recommended candidate. This includes educational and experience information, an evaluation of the
candidate's experience relative to the criteria established by the Board, a summary of reference comments
and a statement of accomplishments and management style prepared by the candidate. Present
compensation is also provided for each recommended candidate.
W e will provide information about trends in employment, employment contracts and agreements, relocation
expenses, perquisites, appropriate roles for spouses, receptions, etc. W e arrange schedules for top candidate
interviews with the Board and we will coordinate the entire process.
W e will properly handle any and all media relations. Unless otherwise directed, it is our standard practice to
tell all media that we are working on behalf of the Board and that any public statement should come from the
Board directly. Under no conditions will we release information to the media unless specifically directed by
the Board to do so.
W e will notify all unsuccessful candidates of the final decision reached. Finally, will continue to work for the
SFRTA until a suitable candidate is recruited and hired by the Board.
SMC is an equal opportunity employer and recruiter, and will not discrim inate against any employee or
applicant for employment because of race, religion, creed, color, sex, disability or national origin.
E. Establish Evaluation Criteria
Once the new Executive Director has been on board for 30 days or so, we will conduct a session with the
appointing authority and with the new Executive Director to establish mutual performance criteria and goals
for the position.
F. Follow-up
W e will follow-up with the Board and the new Executive Director during the first year and assist in making any
adjustments that may be necessary.
G. Reporting
W e will keep the SFRTA informed, involved in decisions and involved in the search process. W e will provide
frequent progress reports to the Board.
H. Deliverables
Deliverables include the recruitment profile (draft and final), the advertisement (draft and final), the progress
report (presented in person), the final report with interview tips, interview schedule, interview questions,
candidate resumes, candidate evaluations, candidate writing samples, rating sheets, ranking forms, tabulation
forms and appropriate/inappropriate question list and negotiated employment agreement between the Board
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and the selected candidate.
I. Guarantees
W e provide a comprehensive set of assurances and guarantees to out executive recruitment clients that
include:
! W e are committed to excellence. W e guarantee the highest quality of work and its success in your
environment. To accomplish this, we will continue to work with the SFRTA until the Board is satisfied
with the candidates and a satisfactory candidate is selected and accepts employment.
! W e guarantee our work and will redo the search if the position is vacated, for any reason, within two
years of the employment date of a candidate selected by the Board through our efforts.
! W e will never actively recruit any candidate who we have placed nor will we actively recruit any
employee from a client organization for at least two years from the completion date of an assignment.
J. References
Mr. Chuck Bean
Executive Director
W ashington Metropolitan Council of Governments
777 North Capitol Street N.E.; Suite 300
W ashington, DC 20002
Phone: 202.962.3200
Director of Transportation Planning (MPO Director)
Search (2014)
Program Management Office Director (2014)
Ms. Gwen Johns
City Clerk
City of Mount Dora
510 N. Baker St.
Mount Dora, FL 32757
Ph: (352) 735-7126
City Manager Search (2016)
johnsg@cityofmountdora.com
Mr. Charles F, McMillan
McMillan and Associates
100 Bull Street, Suite 200
Savannah, GA 31401
(912) 233-4343
Chatham County/Savannah Metropolitan Planning
Commission Executive Director (2018)
cmcmillan@msn.com
Jason Loschiavo
Director of Finance and Administration
MetroPlan Orlando
250 South Orange Avenue, Suite 200
Orlando, Florida 32801
(407) 481-5672 Ext 310
Executive Director Search (Current Search)
jloschiavo@metroplanorlando.org
Mr. Tim Gilliland
Director of Finance & Administration
Miami Valley Regional Planning Commission
1 South Main Street #260
Dayton, OH 45402
(937) 223-6363
Executive Director (MPO Director) Search (2012)
tgilliland@mvrpc.org
Ellen M. Clyatt, CMS, PHR, SHRM-CP
Director of Human Resources
City of Fort Myers
2200 Second Street
Fort Myers, FL 33901
(239) 321-7064
Fire Chief Search (2017)
eclyatt@cityftmyers.com
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PROJECT SCHEDULE
The search process normally takes between sixty (60) and ninety (90) days to complete and typically follows
the following pattern:
DAYS
STEPS 1-30 30-45 45-60 60-360
1. DEVELOP SEARCH PROCESS, RECRUITMENT PROFILE
AND ADVERTISING PROGRAM FOR SFRTA APPROVAL T
2. IDENTIFY QUALIFIED CANDIDATES, REVIEW DATA
BASE, NETW ORK, RECEIVE AND REVIEW RESUMES T T
3. SCREEN & EVALUATE PROSPECTIVE CANDIDATES T
4. PROGRESS MEETING AND REPORT T
5. INTERVIEW AND EVALUATE PROSPECTIVE
CANDIDATES
T T
6. SUBMIT FINAL REPORT AND RECOMMENDATIONS,
ASSIST IN SELECTION, FACILITATE EMPLOYMENT
T
7. ESTABLISH EVALUATION CRITERIA AND FOLLOW -UP T
Approximately twelve semifinalist candidates are presented to SFRTA at the progress meeting. Generally,
about five finalist candidates are presented for interviews with the Board.
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FEE STRUCTURE
Professional Fees
Our fees are based on a rate schedule that reflects the experience of the individual assigned. W e use a flat
fee rate schedule. Therefore, there are no project limitations based on annual salary. For this assignment
we are proposing to use only consultants who have specific experience on similar assignments for other
clients. W e will use senior consultants where appropriate and to reduce the overall cost. W e will use staff
consultants when feasible. The following tables show the level of involvement by project step and cost.
PROJECT COSTS
STEPS
ASSIGNED HOURS (Approximate)
RATE (Hr) FEESProject
Manager
Consultant Total
1. Project Planning/Develop Position Profile/
Prepare and Place Advertising
36 36 80 $2,880
2. Identify & Recruit Candidate/Acknowledge
Resumes
32 32 80 $2,560
40 40 30 $1,200
3. Preliminary Candidate Screening 12 12 80 $960
4 4 30 $120
4. Progress Report to the Selection
Committee/Reduce Candidate Pool
10 10 80 $800
8 8 30 $240
5. In-depth Candidate Evaluation (Includes
on-site consultant interviews w ith semi-
finalist candidates)
36 36 80 $2,880
16 16 30 $480
6. Arrange for & Schedule Final Interviews 4 4 80 $320
7. Prepare Final Report w ith Interview
Questions and Selection Criteria
12 12 80 $960
16 16 30 $480
8. Present Final Report and Attend
Interviews
10 10 80 $800
9. Assist in Employee Selection 2 2 80 $160
10. Negotiate Employment Agreement 4 4 80 $320
11. Establish Performance Goals 6 6 No Charge $0
12. Follow-up 4 4 No Charge $0
TOTAL HOURS 168 84 252
TOTAL COSTS $15,160
Expenses
Consultant Travel Costs: The client pays direct cost for all necessary consultant travel using coach or,
when available, lower air rates, corporate hotel rates at moderately priced properties (Holiday Inn or
equivalent), rental cars, using the corporate discount and normal meals. Client controls these costs in the
following ways: (1) when appropriate, consultants will accomplish multiple purposes when traveling and will
allocate costs to multiple clients; (2) the client pre-approves all work plans including all consultant (and
candidate) travel.
Prepared for the SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITY by Slavin Management Consultants 12
Office Costs Include: Telephone ($350 flat fee, billed in two installments), FAX, postage, messenger,
copier, and clerical costs. Average Advertising Costs: Normally about $2,500. Client controls these costs
because the advertising program will be approved by the SFRTA prior to implementation.
Expenses for the executive search project described in this proposal will not exceed 55% of the professional
fee ($8,338.00). Therefore, the total cost for this project will not exceed $23,498,00. The cost for final
candidates to travel to Pompano Beach for interviews is not covered by this proposal. Such costs are
typically paid by the SFRTA on a reimbursement basis, directly to the candidates, and controlled through the
SFRTA's prior approval of the finalist candidates. These costs vary depending on candidate location,
espousal involvement, time required for candidates to be in Pompano Beach, etc. For budgeting purposes,
an average cost of between $450.00 and $650.00 per candidate would be appropriate. About five candidates
are normally recommended for interviews.
Should the SFRTA’s needs result in additional project scope that significantly increases consultant travel
and/or advertising costs, it may be necessary to increase the expense budget for the project.
Your liability to Slavin Management Consultants for services rendered under this agreement will not exceed
the agreed upon price unless an increase is authorized by you in writing.
W e will submit monthly invoices for fees and expenses. It is our practice to bill 30% at the start of the
searches, 30% at the end of thirty days, 30% at the end of sixty days, and the remaining 10% shortly after
the time the new Executive Director accepts employment with the SFRTA. Each invoice will be payable upon
receipt for professional services.
Expenses will be billed in addition and shown as a separate figure. Attached is a pro-forma invoice showing
the level of accounting detail we will provide.
W e will comply with all applicable laws, rules, and regulations of federal, state, and local government entities.
Our ability to carry out the work required will be heavily dependent upon our experience in providing similar
services to others, and we expect to continue such work in the future. W e will, to the degree possible,
preserve the confidential nature of any information received from you or developed during the work in
accordance with our professional standards.
W e assure you that we will devote our best efforts to carrying out the engagements. The results obtained,
our recommendations, and any written material provided by us will represent our best judgment based on
the information available to us. Our liability, if any, will not be greater than the amount paid to us for the
services rendered.
This proposal constitutes the agreement between us. It cannot be modified except in writing by both parties.
Our agreement will be interpreted according to the laws of the State of Florida.
Are you MetroPlan Orlando’s next
Executive Director?
Inside: The Opportunity of a Lifetime
About MetroPlan Orlando
The Executive Director Position
The Ideal Candidate
How to Apply
Page 2 of 7
The Opportunity of Lifetime
An exceptional staff. Harold (Harry) Barley, MetroPlan Orlando’s first and only Executive Director, will retire this year. He will leave an exceptional organization of highly motivated, well-qualified and high-achieving employees.
A collaborative board of directors. The MetroPlan Orlando Board members are respected for working collaboratively. Some member changes will take place as the result of the November 2018 elections.
A regional focus. Although each MetroPlan Orlando Board member represents his or her own constituency, as a group they have developed the ability to focus regionally and into the future. MetroPlan Orlando is a prime contributor to building a strong regional image for the region.
The chance to serve a diverse population. MetroPlan Orlando is committed to proactively serving all users of the transportation system, including the disadvantaged. The organization serves all constituencies fairly and impartially.
A prosperous region. Central Florida’s population has doubled in the past 25 years. By the year 2040, the region is expected to add one million people. In addition to residents, the Orlando area is one of the most visited destinations in the U.S., with 68 million visitors annually. This equates to about 500,000 guests using the transportation system on any given day. Having one of the fastest-growing and most dynamic areas in the nation comes with its transportation challenges.
Financially healthy organization. In addition to federal funds which support all metropolitan planning organizations (MPOs), MetroPlan Orlando receives approximately $1M annually in unrestricted local funds.
Leaders in transportation planning. Under current leadership, MetroPlan Orlando has become the major force in regional transportation planning in Central Florida. The United States Department of Transportation’s certifications of the organization are consistently outstanding.
Page 3 of 7
About MetroPlan Orlando The transportation system affects the experiences of every resident, visitor, and business in Central Florida. Planning done years ago touches us today, and the planning done today shapes tomorrow.
MetroPlan Orlando leads transportation planning efforts in Orange, Osceola, and Seminole Counties. It works with elected officials, industry experts, and citizens to set transportation priorities and shape a future system that offers travel options. MetroPlan Orlando also determines how federal and state transportation dollars are spent in the region.
MetroPlan Orlando Board
The MetroPlan Orlando Board is ultimately responsible for the transportation planning process in the three-county area. Board membership is apportioned by the Governor of Florida and interlocal agreements among the various governmental entities on the basis of equitable population ratio and federal and state laws.
Board membership includes elected officials from: Orange County (6); Osceola County (1); Seminole County (2); City of Orlando (2); (1) each for the Cities of Altamonte Springs, Apopka, Kissimmee, and Sanford. Additionally, representatives from the policy boards of these operating agencies serve on the board: Greater Orlando Aviation Authority (1); Central Florida Expressway Authority (1); Sanford Airport Authority (1); Central Florida Regional Transportation Authority (LYNX) (1); and the Municipal Advisory Committee (MAC) (1).
Representatives from the Florida Department of Transportation and Kissimmee Gateway Airport and the Chairpersons of the Technical Advisory Committee, the Transportation System Management & Operations Advisory Committee, and the Community Advisory Committee serve as non-voting board advisors.
Page 4 of 7
The Executive Director Position The Executive Director of MetroPlan Orlando is responsible for executing the policies and direction established by the board in support of transportation needs of the Orlando and Kissimmee urbanized areas. The Executive Director oversees the operation of the organization and its staff and reports to the board. Essential Functions
• Providing leadership and working with the board to assure comprehensive, cooperative and continuing policies, plans and processes are developed and reflect the current and future transportation and growth management needs of Central Florida's three counties. (15% of time)
• Assuring that the responsibilities of the organization as defined by Federal regulations, Florida Statutes and rules adopted by the board are conducted appropriately and successfully. (15%)
• Ensuring that communications and coordination among all stakeholders take place in a timely and cooperative manner and providing a framework for building understanding and consensus. (15%)
• Facilitating the successful achievement of all the goals and objectives that are explicit or implied in the organization's understanding of the area's "comprehensive transportation system." (10%)
• Continually educating and informing the board of current issues and directions in transportation planning and funding, including providing relevant and timely reports. (10%)
• Acting as a primary advocate within the community, including the media, on the organization's priorities. (10%)
• Setting parameters, guidelines, scope, accountability and performance standards for all consultants, firms and agencies engaged by the organization. (5%)
Page 5 of 7
• Overseeing and assuring the highest quality of all products. (5%)
• Providing leadership beyond the geographical borders of the organization to promote the development of an effective regional transportation system with neighboring metropolitan planning organizations serving the larger Central Florida market. (5%)
• Providing a safe, secure, discrimination- and harassment-free working environment for all staff members. (5%)
• Assuring that the MPO in all its dealings with other agencies, consultants and suppliers maintains the highest standards of fiscal control and integrity, consistent with all applicable federal and state requirements. (5%)
Other Functions
• Managing the Deputy Executive Director, Director of Finance and Administration, and the Director of Regional Partnerships. Also, indirectly supervising all other staff members.
• Providing overall direction, coordination and evaluation of all departments.
• Carrying out supervisory responsibilities in accordance with the organization's policies and applicable laws.
• Responsibilities include: interviewing, hiring, and training staff members; planning, assigning, and directing work; appraising performance; rewarding and
disciplining employees; succession planning; addressing complaints, and resolving problems.
• Developing and managing relationships with other transportation agencies and strategic business partners.
• Attending relevant meetings involving member organizations and business partners.
• Performing additional duties as assigned by the board.
• Continually projecting a professional image for the organization.
Education, Experience, & Training Bachelor's degree in transportation planning, urban or regional planning, engineering, public administration or business administration; master's degree preferred Minimum of ten years' experience directing an organization or business unit with previous transportation planning experience AICP certification preferred Equivalent combination of education and experience Full Job Description Online
To view the job description in its entirety, please visit http://metroplanorlando.org/about-us/job-opportunities/
Page 6 of 7
The Ideal Candidate This is how MetroPlan Orlando Board members have described their ideal candidate. Characteristics
• Embraces MetroPlan Orlando’s regional mission and is fervently committed to multi-modal transportation excellence in the region.
• Masterful at keeping board members thoroughly and equally informed.
• Sees the need to provide board members with thoughtful, unbiased and clear counsel crafted to form the basis for collaboration, cooperation and, when appropriate, compromise.
• Skillful at “reading a room” and situations with the ability to reach win-win outcomes without pitting participants against each other.
• Anticipates and resolves problems before they become larger issues.
• Adept at managing expectations well; solution-oriented but will say “no” when appropriate.
• Politically aware and sensitive but apolitical and objective.
• Steadfast leader who makes things happen.
• Skilled at leading change among diverse groups.
• A skilled mediator and negotiator. • Knows and understands the MPO process.
• Strives for continuous improvement; not overly wedded to status quo; seeks and is receptive to new ideas and new technologies.
• Supportive of employees. • Is an effective conduit among elected
officials, MetroPlan Orlando staff, and member organization staffs.
• Can manage a crisis effectively. Traits
• A skilled communicator verbally and in writing,
• Listens, • Has finesse, • Charismatic, • Builds relationships and not merely
contacts, • Genuine, with personal integrity and the
courage of his or her convictions, • Collaborative by nature, • Deep community awareness (full
spectrum including the disabled), • Personally goes into the community and
encourages MetroPlan Orlando staff to do the same,
• Meets people on their own terms, • Connectivity with wide-spectrum of people, • Responsive; follows-up in a timely way, • Technically knowledgeable, • Forward thinking.
Page 7 of 7
How to Apply Please email your resume and cover letter with current salary by April 27, 2018 to:
Robert E. Slavin, President SLAVIN MANAGEMENT CONSULTANTS 3040 Holcomb Bridge Road, Suite A-1 Norcross, Georgia 30071 Phone: (770) 449-4656 Fax: (770) 416-0848 E-mail: slavin@bellsouth.net Website: www.slavinweb.com
Note: Under Florida Law, resumes are public documents and will be provided to the public upon request. Please call prior to submitting your resume if confidentiality is important to you. MetroPlan Orlando is an equal opportunity employer, a drug-free workplace, and a tobacco-free workplace. It is the policy of MetroPlan Orlando that all applicants selected for employment must sign an Affidavit for Non-Use of Tobacco Products in order to be hired by MetroPlan Orlando. The non-use of tobacco products must have been for a period of at least (6) months immediately preceding application for employment; and must be maintained and continued for the duration of employment with MetroPlan Orlando.
Exhibit 3 Overview of Key Provisions in Proposals
Experience Fee Work Plan & Timeline Vetting Guarantee(s) Other Hires Material Issues
with Standard Contract Provisions
KL2 Connects (“KL2”) National firm with focus on public transportation representing both private and public sector industry/transit (including rail) executives [page 3]
All-inclusive $49,500, for stated scope, excluding travel & costs for candidates [page 11]
Work Plan [pages7 and 8] Timeline- estimates will provide shortlisted candidates for interviews by August Board meeting [page 8]
Candidates’ backgrounds will be investigated & finalist will be further vetted by 3rd party investigator [pages7 & 9]
If selected ED leaves during 1st year, KL2 will repeat search at no cost to SFRTA (w/ few exceptions such as death, etc.) [page 12]
If SFRTA hires any of the ED candidates for another position within 1 year of the search, KL2 will be paid 10% of that position’s 1st year salary [page 11]
Termination for convenience should not be mutual given Agency’s short timeframe. Notice of unforeseen circumstances giving rise to delay should require less than 10 day notice to SFRTA. No indemnification provision provided.
Krauthamer & Associates (“K & A”)
National firm with a specialized division focused on private sector and public transportation industry/transit (including rail) executives [page 3]
“Our typical fee is based on 33-1/3% of first year total annual expected compensation (current ED earns $260,000/yr plus benefits), including any sign-on or year-end bonuses and/or any deferred compensation provided by the Authority to candidates on an annual basis.” Agency responsible for direct expenses(estimated at 7/5% of the fee)
Work Plan [page 7] Timeline [page 13] – will provide “initial recommendations of potential candidates within 10 to 15 days from the initiation of the search and commence interviews within 30 to 45 days from the initiation of the search.”
Reference checking and candidate screening for all qualified candidates, final screening of shortlisted candidates, including engagement of 3rd party firm to conduct investigative background checks [page 10]
If selected candidate is terminated for cause (with a few exceptions), voluntarily leaves within 1 year of initial date of employment, K & A will replace individual without any additional fee except for out of pocket expenses [page 14]
When any candidate referred by K & A is hired by SFRTA (w/o respect to a specific assignment, within 1 year following referral to SFRTA, K & A will be paid a fee based on their standard formula [page 14]
No indemnification provision provided.
Exhibit 3 Overview of Key Provisions in Proposals
Experience Fee Work Plan & Timeline Vetting Guarantee(s) Other Hires Material Issues with Standard Contract Provisions
The Mercer Group National firm with Florida & national local government recruiting expertise & some transit (minimal rail) [page 1, 3-4]
All-inclusive $16,750, excluding travel & costs for candidates , for stated scope [page 11] For items outside the scope, $150/hr fee [page 11]
Work Plan [pages 6-9] Timeline – will provide shortlisted candidates for interviews by August board meeting [page 10]
Candidate screening & detailed and extensive background investigations of top candidates [pages 7-8]
Include if selected ED leaves during first 2 years from date of placement for any reason, Mercer will replace for out of pocket expense, only for new replacement [page 12]
N/A Termination for convenience should not be mutual given Agency’s short timeframe. No indemnification provision provided.
S. Renee Narloch & Associates
National firm with local government recruiting expertise & some transit (no rail) [pages 1-2]
$17,450 plus actual expenses. Fee includes 3 on site visits
Work plan [pages 3 – 5] Timeline – will be prepared to make recommendations for finalists within 75-90 days from start of search [page 10]
Extensive vetting for top 1 – 3 candidates
If selected candidate is terminated for cause within first year, Narloch will redo search for replacement at no cost except for expenses
N/A Termination for convenience should not be mutual given Agency’s short timeframe.
Slavin Management Consultants
National firm with local government recruiting expertise & some transit (minimal rail) [page 3]
$15,160 with additional costs not to exceed $8,338 – travel, office, advertising, etc. [pages 11-12]
Work Plan – page 6 Timeline – will provide shortlisted candidates for interviews by August board meeting [page 10]
Preliminary & in-depth screening and background checks on of certain candidates [pages 7-8]
Include if selected ED leaves during first 2 years from date of placement for any reason, will redo the search for new replacement [page 9]
N/A Limitation on liability should be mutual (currently only refers to SFRTA’s liability to Firm). No indemnification provision provided.
Exhibit 3 Overview of Key Provisions in Proposals
Observations:
The Firms’ experience vary between those with broad and extensive expertise recruiting all types of senior level local government positions (some of which may be transit-related), i.e. (Mercer, Narloch and Slavin) and those who recruit extensively for the public transportation industry (KL2 Connects and Krauthamer).
The fee variances between the Firms may be related to: (1) the varying experience levels (as discussed above); (2) the transit expertise of the proposed teams (some personnel are former transit executives); and (3) difference in the scope and level of services provided by some of the Firms (e.g. candidate screening and contract negotiations).
SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITYFINANCE DEPARTMENT
Operating and Capital BudgetFiscal Year Ending 2018-2019
May 24, 2018
South Florida Regional Transportation AuthorityOperating Revenues
Fiscal Year Ending 2018-2019
2
FY 2017-2018 FY 2018-2019APPROVED PROPOSED
BUDGET BUDGET $ %TRAIN REVENUETrain Service Revenue 14,051,077$ 14,051,830$ 753$ 0.01%
Interest Income/ Other Income 325,000 325,000 - -
TOTAL TRAIN REVENUE 14,376,077 14,376,830 753 0.01%
OPERATING ASSISTANCEStatutory Dedicated Funding 15,000,000 15,000,000 - -
Statutory Operating Assistance 27,100,000 27,100,000 - -
Statutory Maintenance of Way 13,124,940 13,124,940 - -
FTA Preventive Maintenance 22,044,917 22,784,726 739,809 3.36%
FHWA 4,000,000 4,000,000 - 0.00%
FTA Hurricane Reimbursement 425,000 - (425,000) -100.00%
City of Boca Raton-Shuttle Service 172,081 176,821 4,740 2.75%
City of Opa Locka-Shuttle Service - 439,290 439,290 100.00%
CSX Reimbursements 100,000 100,000 - -
Miami-Dade Statutory Operating Assistance 1,565,000 1,565,000 - -
Broward Statutory Operating Assistance 1,565,000 1,565,000 - -
Palm Beach Statutory Operating Assistance 1,565,000 1,565,000 - -
Other Local Funding 100,000 100,000 - -
Gas Tax Transfer 1,896,895 1,896,895 - -
SFRTA Reserves 9,105,082 15,878,266 6,773,184 74.39%
TOTAL ASSISTANCE 97,763,915 105,295,938 7,532,023 7.70%TOTAL REVENUE 112,139,992$ 119,672,768$ 7,532,776$ 6.72%
Change
South Florida Regional Transportation AuthorityOperating Revenues
Fiscal Year Ending 2018-2019
Revenue Highlights
FTA Preventative Maintenance increase of $739,809
Hurricane Reimbursement decrease of $425,000
City of Opa-Locka Shuttle Service increase of $439,290
SFRTA Reserve increase of $6.8 million
3
South Florida Regional Transportation AuthorityOperating Expenses
Fiscal Year Ending 2018-2019
4
FY 2017-2018 FY 2018-2019APPROVED PROPOSED $ %
BUDGET BUDGET CHANGE CHANGE
Operations 75,499,651$ 81,455,593$ 5,955,942$ 7.89%
Train & Station Maintenance 22,426,917 23,292,755 865,838 3.86%
Personnel Expense 11,745,937 12,422,142 676,205 5.76%
General & Administrative 1,679,446 1,735,780 56,334 3.35%
Customer & Commuity Outreach 609,300 602,900 (6,400) -1.05%
Professional Fees 753,000 709,900 (43,100) -5.72%
Legal 875,741 903,698 27,957 3.19%
Expenditures Transferred to Capital Budget (1,450,000) (1,450,000) - -
TOTAL EXPENSES 112,139,992$ 119,672,768$ 7,532,776$ 6.72%
South Florida Regional Transportation AuthorityOperating Expenses
Fiscal Year Ending 2018-2019
Expense Highlights
PTC Maintenance $1.0 million
PTC Operations $1.7 million
Train Fuel increase of $2.0 million
Feeder Service increase of $722,796
Personnel Services Increase of $676,205
5
South Florida Regional Transportation AuthorityCapital Revenues
Fiscal Year Ending 2018-2019
6
FY 2018-2019 FIVE YEAR PLANPREVIOUS CAPITAL FY 2019-2020 FY 2020-2021 FY 2021-2022 FY 2022-2023 FY 2023-2024 TOTALFUNDING BUDGET PROJECTED PROJECTED PROJECTED PROJECTED PROJECTED
FTA Section 5307 - Formula Funds $109,182,232 $18,560,578 $18,560,578 $18,560,578 $18,560,578 $18,560,578 $18,560,578 220,545,700$ FTA Section 5307 - Flex Funds 26,715,944 - 26,715,944 FTA Section 5307 - CIG Program 1,250,000 - 1,250,000 FTA Section 5309 - Rail Mod. 15,305,611 - 15,305,611 FTA Section 5309 - SAFETEA (Earmark) 595,000 - 595,000 FTA Section 5337 - State of Good Repair 82,836,151 16,101,684 16,101,684 16,101,684 16,101,684 16,101,684 16,101,684 179,446,255 FTA Section 5308 - TIGGER Funds 1,800,000 - 1,800,000 FTA Section 3028 - PTC 31,633,176 - 31,633,176 American Recovery & Reinvestment Act 135,670 - 135,670 FDOT GMR Funds 5,900,000 - 13,250,000 13,250,000 32,400,000 FDOT PTO 500,000 - 500,000 FDOT JPA'S 11,007,815 602,027.00 11,609,842 FDOT JPA'S-District 6 8,000,000 8,000,000 FDOT JPA-PTC 11,060,478 - 11,060,478 FDOT Railroad Reimbursement Flagging 7,750,000 2,500,000 2,500,000 2,500,000 2,500,000 3,000,000 2,500,000 23,250,000 FDOT Railroad Reimbursement Grade Crossing - 2,569,000 12,329,800 11,981,924 11,993,382 12,005,183 50,879,289 FDOT Trip Funds 7,750,000 - 3,916,735 250,000 11,916,735 Insurance Proceeds 2,598,618 - 2,598,618 CSX Contribution 3,189,385 3,189,385 6,378,770 BMPO Funds 800,000 - 800,000 PBMPO Funds - 1,505,000 4,890,000 3,416,735 9,811,735 PTC Loan 5,531,977 11,077,588 3,680,435 20,290,000 SEOPW CRA-Debt Service/Bonds - 17,528,049 17,528,049 All Aboard Florida Loan 14,688,481 2,839,569 17,528,050 Omni CRA 3,143,433 606,567 3,750,000 City of Miami 6,786,865 1,310,165 8,097,030 Bayfront Park Trust 209,016 40,984 250,000 Miami DDA 1,061,472 205,528 1,267,000 Miami Dade County 11,647,506 2,252,494 13,900,000 SFRTA Investment Account 718,512 718,512 County Gas Tax 75,768,147 8,010,000 8,010,000 8,010,000 8,010,000 8,010,000 8,010,000 123,828,147 Permit Fees 27,000 - 27,000 Funding To Be Determined - 20,765,500 23,425,188 19,682,425 25,678,239 19,237,461 10,373,666 119,162,479
Total Capital Revenues 439,592,489$ 117,664,118$ 93,414,420$ 93,503,346$ 96,343,883$ 76,914,906$ 55,545,928$ 972,979,090$
Total Prior Year Funds Expended 288,632,859$
Remaining Prior Year Funds 150,959,630$
South Florida Regional Transportation AuthorityCapital Revenues
Fiscal Year Ending 2018-2019
7
Capital Revenue Highlights
FTA Funding $34.7 million FDOT Funding $13.7 million PTC Loan $11.1 million SEOPW CRA – Debt Service $17.5 million DTMS Funding Partners $4.4 million County Gas Tax $8.0 million
South Florida Regional Transportation AuthorityCapital Projects
Fiscal Year Ending 2018-2019
8
Capital Projects Highlights
Preventative Maintenance $22.8 million Grade Crossing and Signals $10.6 million Downtown Miami Link PTC $11.1 million South Florida Rail Corridor PTC $3.2 million Rehab of SFRTA Rolling Stock $3.9 million SFRTA Capital Replacement Program-Unfunded MOW Oversight-Unfunded
South Florida Regional Transportation AuthorityOperating and Capital BudgetFiscal Year Ending 2018-2019
Conclusion
Additional Questions and Comments
9
SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITYFINANCE DEPARTMENT
Operating and Capital BudgetFiscal Year Ending 2018-2019
May 24, 2018
South Florida Regional Transportation AuthorityOperating Revenues
Fiscal Year Ending 2018-2019
2
FY 2017-2018 FY 2018-2019APPROVED PROPOSED
BUDGET BUDGET $ %TRAIN REVENUETrain Service Revenue 14,051,077$ 14,051,830$ 753$ 0.01%
Interest Income/ Other Income 325,000 325,000 - -
TOTAL TRAIN REVENUE 14,376,077 14,376,830 753 0.01%
OPERATING ASSISTANCEStatutory Dedicated Funding 15,000,000 15,000,000 - -
Statutory Operating Assistance 27,100,000 27,100,000 - -
Statutory Maintenance of Way 13,124,940 13,124,940 - -
FTA Preventive Maintenance 22,044,917 22,784,726 739,809 3.36%
FHWA 4,000,000 4,000,000 - 0.00%
FTA Hurricane Reimbursement 425,000 - (425,000) -100.00%
City of Boca Raton-Shuttle Service 172,081 176,821 4,740 2.75%
City of Opa Locka-Shuttle Service - 439,290 439,290 100.00%
CSX Reimbursements 100,000 100,000 - -
Miami-Dade Statutory Operating Assistance 1,565,000 1,565,000 - -
Broward Statutory Operating Assistance 1,565,000 1,565,000 - -
Palm Beach Statutory Operating Assistance 1,565,000 1,565,000 - -
Other Local Funding 100,000 100,000 - -
Gas Tax Transfer 1,896,895 1,896,895 - -
SFRTA Reserves 9,105,082 15,878,266 6,773,184 74.39%
TOTAL ASSISTANCE 97,763,915 105,295,938 7,532,023 7.70%TOTAL REVENUE 112,139,992$ 119,672,768$ 7,532,776$ 6.72%
Change
South Florida Regional Transportation AuthorityOperating Revenues
Fiscal Year Ending 2018-2019
Revenue Highlights
FTA Preventative Maintenance increase of $739,809
Hurricane Reimbursement decrease of $425,000
City of Opa-Locka Shuttle Service increase of $439,290
SFRTA Reserve increase of $6.8 million
3
South Florida Regional Transportation AuthorityOperating Expenses
Fiscal Year Ending 2018-2019
4
FY 2017-2018 FY 2018-2019APPROVED PROPOSED $ %
BUDGET BUDGET CHANGE CHANGE
Operations 75,499,651$ 81,455,593$ 5,955,942$ 7.89%
Train & Station Maintenance 22,426,917 23,292,755 865,838 3.86%
Personnel Expense 11,745,937 12,422,142 676,205 5.76%
General & Administrative 1,679,446 1,735,780 56,334 3.35%
Customer & Commuity Outreach 609,300 602,900 (6,400) -1.05%
Professional Fees 753,000 709,900 (43,100) -5.72%
Legal 875,741 903,698 27,957 3.19%
Expenditures Transferred to Capital Budget (1,450,000) (1,450,000) - -
TOTAL EXPENSES 112,139,992$ 119,672,768$ 7,532,776$ 6.72%
South Florida Regional Transportation AuthorityOperating Expenses
Fiscal Year Ending 2018-2019
Expense Highlights
PTC Maintenance $1.0 million
PTC Operations $1.7 million
Train Fuel increase of $2.0 million
Feeder Service increase of $722,796
Personnel Services Increase of $676,205
5
South Florida Regional Transportation AuthorityCapital Revenues
Fiscal Year Ending 2018-2019
6
FY 2018-2019 FIVE YEAR PLANPREVIOUS CAPITAL FY 2019-2020 FY 2020-2021 FY 2021-2022 FY 2022-2023 FY 2023-2024 TOTALFUNDING BUDGET PROJECTED PROJECTED PROJECTED PROJECTED PROJECTED
FTA Section 5307 - Formula Funds $109,182,232 $18,560,578 $18,560,578 $18,560,578 $18,560,578 $18,560,578 $18,560,578 220,545,700$ FTA Section 5307 - Flex Funds 26,715,944 - 26,715,944 FTA Section 5307 - CIG Program 1,250,000 - 1,250,000 FTA Section 5309 - Rail Mod. 15,305,611 - 15,305,611 FTA Section 5309 - SAFETEA (Earmark) 595,000 - 595,000 FTA Section 5337 - State of Good Repair 82,836,151 16,101,684 16,101,684 16,101,684 16,101,684 16,101,684 16,101,684 179,446,255 FTA Section 5308 - TIGGER Funds 1,800,000 - 1,800,000 FTA Section 3028 - PTC 31,633,176 - 31,633,176 American Recovery & Reinvestment Act 135,670 - 135,670 FDOT GMR Funds 5,900,000 - 13,250,000 13,250,000 32,400,000 FDOT PTO 500,000 - 500,000 FDOT JPA'S 11,007,815 602,027.00 11,609,842 FDOT JPA'S-District 6 8,000,000 8,000,000 FDOT JPA-PTC 11,060,478 - 11,060,478 FDOT Railroad Reimbursement Flagging 7,750,000 2,500,000 2,500,000 2,500,000 2,500,000 3,000,000 2,500,000 23,250,000 FDOT Railroad Reimbursement Grade Crossing - 2,569,000 12,329,800 11,981,924 11,993,382 12,005,183 50,879,289 FDOT Trip Funds 7,750,000 - 3,916,735 250,000 11,916,735 Insurance Proceeds 2,598,618 - 2,598,618 CSX Contribution 3,189,385 3,189,385 6,378,770 BMPO Funds 800,000 - 800,000 PBMPO Funds - 1,505,000 4,890,000 3,416,735 9,811,735 PTC Loan 5,531,977 11,077,588 3,680,435 20,290,000 SEOPW CRA-Debt Service/Bonds - 17,528,049 17,528,049 All Aboard Florida Loan 14,688,481 2,839,569 17,528,050 Omni CRA 3,143,433 606,567 3,750,000 City of Miami 6,786,865 1,310,165 8,097,030 Bayfront Park Trust 209,016 40,984 250,000 Miami DDA 1,061,472 205,528 1,267,000 Miami Dade County 11,647,506 2,252,494 13,900,000 SFRTA Investment Account 718,512 718,512 County Gas Tax 75,768,147 8,010,000 8,010,000 8,010,000 8,010,000 8,010,000 8,010,000 123,828,147 Permit Fees 27,000 - 27,000 Funding To Be Determined - 20,765,500 23,425,188 19,682,425 25,678,239 19,237,461 10,373,666 119,162,479
Total Capital Revenues 439,592,489$ 117,664,118$ 93,414,420$ 93,503,346$ 96,343,883$ 76,914,906$ 55,545,928$ 972,979,090$
Total Prior Year Funds Expended 288,632,859$
Remaining Prior Year Funds 150,959,630$
South Florida Regional Transportation AuthorityCapital Revenues
Fiscal Year Ending 2018-2019
7
Capital Revenue Highlights
FTA Funding $34.7 million FDOT Funding $13.7 million PTC Loan $11.1 million SEOPW CRA – Debt Service $17.5 million DTMS Funding Partners $4.4 million County Gas Tax $8.0 million
South Florida Regional Transportation AuthorityCapital Projects
Fiscal Year Ending 2018-2019
8
Capital Projects Highlights
Preventative Maintenance $22.8 million Grade Crossing and Signals $10.6 million Downtown Miami Link PTC $11.1 million South Florida Rail Corridor PTC $3.2 million Rehab of SFRTA Rolling Stock $3.9 million SFRTA Capital Replacement Program-Unfunded MOW Oversight-Unfunded
South Florida Regional Transportation AuthorityOperating and Capital BudgetFiscal Year Ending 2018-2019
Conclusion
Additional Questions and Comments
9
PUBLIC TRANSPORTATION
JOINT PARTICIPATION AGREEMENT
STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION 725-030-06
PUBLIC
OGC - 6/2016
Page 1 of 15
Financial Project Number(s): Fund: FLAIR Category:
Function: Object Code:
Org. Code:
Vendor No.:
Federal Number:
DUNS No.:Contract Number:
CFDA Number: CSFA Number:
(item-segment-phase-sequence)
417983-1-84-01
DDR,DPTO
215
80-939-7102
55.010
088774
750000
55042010429
VF 650002789001
CSFA Title:CFDA Title:
Agency DUNS No.:
THIS JOINT PARTICIPATION AGREEMENT (“Agreement”), made and entered into this __________ day of
__________________ , _________ , by and between the STATE OF FLORIDA DEPARTMENT OF TRANSPORTATION, an
agency of the State of Florida, (“Department”), and South Florida Regional Transportation Authority , 800 NW 33rd Street,
Suite 100 Pompano Beach, FL 33064 (“Agency”). The Department and Agency agree that all terms of this Agreement will
be completed on or before and this Agreement will expire unless a time extension is provided in accordance with Section
16.00.
WITNESSETH:
WHEREAS, the Agency has the authority to enter into said Agreement and to undertake the Project hereinafter described, and
the Department has been granted the authority to function adequately in all areas of appropriate jurisdiction including the
implementation of an integrated and balanced transportation system and is authorized under 341.052,341.071 , Florida
Statutes, to enter into this Agreement.
NOW, THEREFORE, in consideration of the mutual covenants, promises and representations herein, the parties agree as follows:
1.00 Purpose of Agreement. The purpose of this Agreement is to provide for the Department’s participation in
providing Block Grant Funding for commuter bus operating assistance (as defined herein and shown in Sections 341.052, 341.071, 20.23(3)(a),
and 334.048(3) Florida Statutes (F.S.), Rule
and as further described in Exhibit ”A” attached to and incorporated into this Agreement (“Project”), and to provide Departmental
financial assistance to the Agency, state the terms and conditions upon which such assistance will be provided , and to set forth
the manner in which the Project will be undertaken and completed.
1.10 Exhibits. A,B,C & D are attached and incorporated into this Agreement.
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2.00 Accomplishment of the Project:
2.10 General Requirements. The Agency shall commence, and complete the Project, with all practical dispatch, in a sound,
economical, and efficient manner, and in accordance with the provisions of this Agreement, and all applicable laws.
2.20 Pursuant to Federal, State, and Local Law. In the event that any election, referendum, approval, permit, notice, or other
proceeding or authorization is requisite under applicable law to enable the Agency to enter into this Agreement or to undertake the
Project, or to observe, assume or carry out any of the provisions of the Agreement, the Agency will initiate and consummate, as
provided by law, all actions necessary with respect to any such matters so requisite.
2.30 Funds of the Agency. The Agency shall initiate and prosecute to completion all proceedings necessary , including federal aid
requirements, to enable the Agency to provide the necessary funds for completion of the Project .
2.40 Submission of Proceedings, Contracts and Other Documents. The Agency shall submit to the Department such data,
reports, records, contracts and other documents relating to the Project as the Department may require as listed in Exhibit "C"
attached to and incorporated into this Agreement. The Department has the option to require an activity report on a quarterly basis .
The activity report will include details of the progress of the Project towards completion.
3.00 Total Project Cost. The total estimated cost of the Project is 3,793,618.00 . This amount is based upon the estimate
summarized in Exhibit "B" attached to and incorporated into this Agreement. The Agency agrees to bear all expenses in excess
of the total estimated cost of the Project and any deficits involved.
4.00 Project Costs Participation and Eligibility:
4.10 Department Participation. The Department agrees to maximum participation, including contingencies, in the Project in the
amount of 1,896,809.00 as detailed in Exhibit "B", or in an amount equal to the percentage(s) of total cost shown in Exhibit
"B", whichever is less.
4.11 Agency Participation (Non-State Sources). The Agency agrees to minimum participation, including contingencies, in the
Project in the amount of as detailed in Exhibit "B", or in an amount equal to the percentage(s) of the total cost shown in
Exhibit "B", whichever is more.
4.12 Federal Awards. The Agency, a non-federal entity, þ is ¨ is not a recipient of a federal award, as detailed in Exhibit "B ."
4.20 Project Cost Eligibility. Project costs eligible for State participation will be allowed only from the effective date of this
Agreement. It is understood that State participation in eligible Project costs is subject to:
a) Legislative approval of the Department's appropriation request in the adopted work program year that the Project is
scheduled to be committed;
b) Availability of funds as stated in Section 15.00 of this Agreement; Approval of all plans, specifications, contracts or
other obligating documents as required by the Department, and all other terms of this Agreement;
c) Department approval of costs in excess of the approved funding or attributable to actions which have not received the
required approval of the Department and all other terms of this Agreement;
d) Department approval of the Project scope and budget (Exhibits “A” and “B”) at the time appropriation authority
becomes available.
4.30 Front End Funding. Front end funding ¨ is þ is not applicable. If applicable, the Department may initially pay 100% of the
total allowable incurred Project costs up to an amount equal to its total share of participation as shown in paragraph 4.10.
5.00 Project Budget and Payment Provisions:
5.10 The Project Budget. Prior to the execution of this Agreement, a Project schedule of funding shall be prepared by the
Agency and approved by the Department. The Agency shall maintain said schedule of funding, carry out the Project, and shall
incur obligations against and make disbursements of Project funds only in conformity with the latest approved schedule of funding
for the Project, attached and incorporated into this Agreement as Exhibit “B.” The schedule of funding may be revised by
725-030-06
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execution of a Supplemental Agreement between the Department and the Agency. The Agency acknowledges and agrees that
funding for this Project may be reduced upon determination of the Agency ’s contract award amount. If revised, a copy of the
Supplemental Agreement shall be forwarded to the Department's Comptroller. No increase or decrease shall be effective unless it
complies with fund participation requirements of this Agreement and is approved by the Department’s Comptroller.
5.20 Payment Provisions. Unless otherwise allowed, payment will begin in the year the Project or Project phase is scheduled in
the work program as of the date of the Agreement. Payment will be made for actual costs incurred as of the date the invoice is
submitted with the final payment due upon receipt of a final invoice. Payment shall be made only after receipt and approval of
goods and services unless advance payments are authorized by the Chief Financial Officer of the State of Florida under Chapters
215 and 216, Florida Statutes. If the Department determines that the performance of the Agency is unsatisfactory, the Department
shall notify the Agency of the deficiency to be corrected, which correction shall be made within a time -frame to be specified by the
Department. The Agency shall, within sixty (60) days after notice from the Department, provide the Department with a corrective
action plan describing how the Agency will address all issues of Agreement non -performance, unacceptable performance, failure to
meet the minimum performance levels, deliverable deficiencies, or Agreement non -compliance. If the corrective action plan is
unacceptable to the Department, the Agency shall be assessed a non-performance retainage equivalent to 10% of the total invoice
amount. The retainage shall be applied to the invoice for the then-current billing period. The retainage shall be withheld until the
Agency resolves the deficiency. If the deficiency is subsequently resolved, the Agency may bill the Department for the retained
amount during the next billing period. If the Agency is unable to resolve the deficiency, the funds retained may be forfeited at the
end of the Agreement's term.
6.00 Accounting Records:
6.10 Establishment and Maintenance of Accounting Records. The Agency shall establish for the Project, in conformity with
requirements established by Department's program guidelines /procedures and "Principles for State and Local Governments", 2
CFR Part 225, separate accounts to be maintained within its existing accounting system or establish independent accounts. Such
accounts are referred to herein collectively as the "Project account." Records of costs incurred under terms of this Agreement
shall be maintained in the Project account and made available upon request to the Department at all times during the period of this
Agreement and for five (5) years after final payment is made. Copies of these documents and records shall be furnished to the
Department upon request. Records of costs incurred include the Agency's general accounting records and the Project records,
together with supporting documents and records, of the Agency and all sub -consultants performing work on the Project and all
other records of the Agency and sub-consultants considered necessary by the Department for a proper audit of costs. If any
litigation, claim, or audit is started before the expiration of the five (5) year period, the records shall be retained until all litigation,
claims, or audit findings involving the records have been resolved.
6.20 Costs Incurred for the Project. The Agency shall charge to the Project account all eligible costs of the Project. Costs in
excess of the latest approved budget or attributable to actions which have not received the required approval of the Department
shall not be considered eligible costs.
6.30 Documentation of Project Costs. All costs charged to the Project, including any approved services contributed by the
Agency or others, shall be supported by properly executed payrolls, time records, invoices, contracts, or vouchers evidencing in
proper detail the nature and propriety of the charges.
6.40 Checks, Orders, and Vouchers. Any check or order drawn by the Agency with respect to any item which is or will be
chargeable against the Project account will be drawn only in accordance with a properly signed voucher then on file in the office of
the Agency stating in proper detail the purpose for which such check or order is drawn. All checks, payrolls, invoices, contracts,
vouchers, orders, or other accounting documents pertaining in whole or in part to the Project shall be clearly identified, readily
accessible, and, to the extent feasible, kept separate and apart from all other such documents.
6.50 Audits. The administration of Federal or State resources awarded through the Department to the Agency by this Agreement
may be subject to audits and/or monitoring by the Department. The following requirements do not limit the authority of the
Department to conduct or arrange for the conduct of additional audits or evaluations of Federal awards or State financial
assistance or limit the authority of any state agency inspector general, the State of Florida Auditor General, or any other state
official. The Agency shall comply with all audit and audit reporting requirements as specified below.
725-030-06
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1. Federal Funded
a) In addition to reviews of audits conducted in accordance with 2 CFR Part 200, Subpart F - Audit Requirements,
monitoring procedures may include but not be limited to on-site visits by Department staff and/or other procedures
including, reviewing any required performance and financial reports, following up, ensuring corrective action, and
issuing management decisions on weaknesses found through audits when those findings pertain to Federal
awards provided through the Department by this Agreement. By entering into this Agreement, the Agency agrees
to comply and cooperate fully with any monitoring procedures /processes deemed appropriate by the Department.
The Agency further agrees to comply and cooperate with any inspections, reviews, investigations, or audits
deemed necessary by the Department, State of Florida Chief Financial Officer (CFO) or State of Florida Auditor
General.
b) The Agency, a non-Federal entity as defined by 2 CFR Part 200, Subpart F - Audit Requirements, as a
subrecipient of a Federal award awarded by the Department through this Agreement is subject to the following
requirements:
i. In the event the Agency expends a total amount of Federal awards equal to or in excess of the
threshold established by 2 CFR Part 200, Subpart F - Audit Requirements, the Agency must have a
Federal single or program-specific audit conducted for such fiscal year in accordance with the
provisions of 2 CFR Part 200, Subpart F - Audit Requirements. Exhibit D to this Agreement
provides the required Federal award identification information needed by the Agency to further comply
with the requirements of 2 CFR Part 200, Subpart F - Audit Requirements. In determining Federal
awards expended in a fiscal year, the Agency must consider all sources of Federal awards based on
when the activity related to the Federal award occurs, including the Federal award provided through the
Department by this Agreement. The determination of amounts of Federal awards expended should be
in accordance with the guidelines established by 2 CFR Part 200, Subpart F - Audit Requirements. An
audit conducted by the State of Florida Auditor General in accordance with the provisions of 2 CFR
Part 200, Subpart F - Audit Requirements, will meet the requirements of this part.
ii. In connection with the audit requirements, the Agency shall fulfill the requirements relative to the
auditee responsibilities as provided in 2 CFR Part 200, Subpart F - Audit Requirements.
iii. In the event the Agency expends less than the threshold established by 2 CFR Part 200, Subpart F -
Audit Requirements, in Federal awards, the Agency is exempt from Federal audit requirements for that
fiscal year. However, the Agency must provide a single audit exemption statement to the Department
at FDOTSingleAudit@dot.state.fl.us no later than nine months after the end of the Agency’s audit
period for each applicable audit year. In the event the Agency expends less than the threshold
established by 2 CFR Part 200, Subpart F - Audit Requirements, in Federal awards in a fiscal year
and elects to have an audit conducted in accordance with the provisions of 2 CFR Part 200, Subpart F
- Audit Requirements, the cost of the audit must be paid from non-Federal resources (i.e., the cost of
such an audit must be paid from the Agency’s resources obtained from other than Federal entities).
iv. The Agency must electronically submit to the Federal Audit Clearinghouse (FAC) at
https://harvester.census.gov/facweb/ the audit reporting package as required by 2 CFR Part 200,
Subpart F - Audit Requirements, within the earlier of 30 calendar days after receipt of the auditor ’s
report(s) or nine months after the end of the audit period. The FAC is the repository of record for audits
required by 2 CFR Part 200, Subpart F - Audit Requirements. However, the Department requires a
copy of the audit reporting package also be submitted to FDOTSingleAudit@dot.state.fl.us within the
earlier of 30 calendar days after receipt of the auditor’s report(s) or nine months after the end of the
audit period as required by 2 CFR Part 200, Subpart F - Audit Requirements.
v. Within six months of acceptance of the audit report by the FAC, the Department will review the
Agency’s audit reporting package, including corrective action plans and management letters, to the
extent necessary to determine whether timely and appropriate action on all deficiencies has been
taken pertaining to the Federal award provided through the Department by this Agreement. If the
Agency fails to have an audit conducted in accordance with 2 CFR Part 200, Subpart F - Audit
725-030-06
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Requirements, the Department may impose additional conditions to remedy noncompliance. If the
Department determines that noncompliance cannot be remedied by imposing additional conditions,
the Department may take appropriate actions to enforce compliance, which actions may include but
not be limited to the following:
1. Temporarily withhold cash payments pending correction of the deficiency by the Agency or more
severe enforcement action by the Department;
2. Disallow (deny both use of funds and any applicable matching credit for) all or part of the cost of
the activity or action not in compliance;
3. Wholly or partly suspend or terminate the Federal award;
4. Initiate suspension or debarment proceedings as authorized under 2 CFR Part 180 and Federal
awarding agency regulations (or in the case of the Department, recommend such a proceeding
be initiated by the Federal awarding agency);
5. Withhold further Federal awards for the Project or program;
6. Take other remedies that may be legally available.
vi. As a condition of receiving this Federal award, the Agency shall permit the Department, or its
designee, the CFO or State of Florida Auditor General access to the Agency ’s records including
financial statements, the independent auditor ’s working papers and project records as necessary.
Records related to unresolved audit findings, appeals or litigation shall be retained until the action is
complete or the dispute is resolved.
vii. The Department’s contact information for requirements under this part is as follows:
Office of Comptroller, MS 24
605 Suwannee Street
Tallahassee, Florida 32399-0450
FDOTSingleAudit@dot.state.fl.us
2. State Funded
a) In addition to reviews of audits conducted in accordance with Section 215.97, Florida Statutes, monitoring
procedures to monitor the Agency’s use of state financial assistance may include but not be limited to on -site
visits by Department staff and/or other procedures including, reviewing any required performance and financial
reports, following up, ensuring corrective action, and issuing management decisions on weaknesses found
through audits when those findings pertain to state financial assistance awarded through the Department by this
Agreement. By entering into this Agreement, the Agency agrees to comply and cooperate fully with any
monitoring procedures/processes deemed appropriate by the Department. The Agency further agrees to comply
and cooperate with any inspections, reviews, investigations, or audits deemed necessary by the Department, the
Department of Financial Services (DFS) or State of Florida Auditor General.
b) The Agency, a nonstate entity as defined by Section 215.97(2)(m), Florida Statutes, as a recipient of state
financial assistance awarded by the Department through this Agreement is subject to the following requirements:
i. In the event the Agency meets the audit threshold requirements established by Section 215.97,
Florida Statutes, the Agency must have a State single or project -specific audit conducted for such
fiscal year in accordance with Section 215.97, Florida Statutes; applicable rules of the Department of
Financial Services; and Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for-profit
organizations), Rules of the Auditor General. Exhibit D to this Agreement indicates state financial
assistance awarded through the Department by this Agreement needed by the Agency to further
comply with the requirements of Section 215.97, Florida Statutes. In determining the state financial
assistance expended in a fiscal year, the Agency shall consider all sources of state financial
assistance, including state financial assistance received from the Department by this Agreement,
other state agencies and other nonstate entities. State financial assistance does not include Federal
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direct or pass-through awards and resources received by a nonstate entity for Federal program
matching requirements.
ii. In connection with the audit requirements, the Agency shall ensure that the audit complies with the
requirements of Section 215.97(8), Florida Statutes. This includes submission of a financial reporting
package as defined by Section 215.97(2)(e), Florida Statutes, and Chapters 10.550 (local
governmental entities) or 10.650 (nonprofit and for-profit organizations), Rules of the Auditor General.
iii. In the event the Agency does not meet the audit threshold requirements established by Section
215.97, Florida Statutes, the Agency is exempt for such fiscal year from the state single audit
requirements of Section 215.97, Florida Statutes. However, the Agency must provide a single audit
exemption statement to the Department at FDOTSingleAudit@dot.state.fl.us no later than nine
months after the end of the Agency’s audit period for each applicable audit year. In the event the
Agency does not meet the audit threshold requirements established by Section 215.97, Florida
Statutes, in a fiscal year and elects to have an audit conducted in accordance with the provisions of
Section 215.97, Florida Statutes, the cost of the audit must be paid from the Agency ’s resources (i.e.,
the cost of such an audit must be paid from the Agency’s resources obtained from other than State
entities).
iv. In accordance with Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for-profit
organizations), Rules of the Auditor General, copies of financial reporting packages required by this
Agreement shall be submitted to:
Florida Department of Transportation
Office of Comptroller, MS 24
605 Suwannee Street
Tallahassee, Florida 32399-0405
FDOTSingleAudit@dot.state.fl.us
And
State of Florida Auditor General
Local Government Audits/342
111 West Madison Street, Room 401
Tallahassee, FL 32399-1450
Email: flaudgen_localgovt@aud.state.fl.us
v. Any copies of financial reporting packages, reports or other information required to be submitted to
the Department shall be submitted timely in accordance with Section 215.97, Florida Statutes, and
Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for-profit organizations), Rules of
the Auditor General, as applicable.
vi. The Agency, when submitting financial reporting packages to the Department for audits done in
accordance with Chapters 10.550 (local governmental entities) or 10.650 (nonprofit and for-profit
organizations), Rules of the Auditor General, should indicate the date the reporting package was
delivered to the Agency in correspondence accompanying the reporting package.
vii. Upon receipt, and within six months, the Department will review the Agency ’s financial reporting
package, including corrective action plans and management letters, to the extent necessary to
determine whether timely and appropriate corrective action on all deficiencies has been taken
pertaining to the state financial assistance provided through the Department by this Agreement. If the
Agency fails to have an audit conducted consistent with Section 215.97, Florida Statutes, the
Department may take appropriate corrective action to enforce compliance.
viii. As a condition of receiving state financial assistance, the Agency shall permit the Department, or its
designee, DFS or the Auditor General access to the Agency’s records including financial statements,
725-030-06
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the independent auditor’s working papers and project records as necessary. Records related to
unresolved audit findings, appeals or litigation shall be retained until the action is complete or the
dispute is resolved.
3. The Agency shall retain sufficient records demonstrating its compliance with the terms of this Agreement for a period
of five years from the date the audit report is issued and shall allow the Department, or its designee, DFS or State of
Florida Auditor General access to such records upon request. The Agency shall ensure that the audit working papers
are made available to the Department, or its designee, DFS or State of Florida Auditor General upon request for a
period of five years from the date the audit report is issued unless extended in writing by the Department.
6.60 Insurance. Execution of this Agreement constitutes a certification that the Agency has and will maintain the ability to repair
or replace any Project equipment or facilities in the event of loss or damage due to any accident or casualty for the useful life of
such equipment or facilities. In the event of the loss of such equipment or facilities, the Agency shall either replace the equipment
or facilities or reimburse the Department to the extent of its interest in the lost equipment or facility. The Department may waive or
modify this section as appropriate.
7.00 Requisitions and Payments:
7.10 Action by the Agency. In order to obtain any Department funds, the Agency shall file with the Department of Transportation,
District Four Public Transportation Office 3400 W. Commercial Blvd Ft. Lauderdale , 33309 , its requisition on a form or
forms prescribed by the Department, and any other data pertaining to the Project account (as defined in Paragraph 6.10 hereof) to
justify and support the payment requisitions.
7.11 Deliverables. The Agency shall provide the following quantifiable, measurable and verifiable units of deliverables as
established in Exhibit "A." Each deliverable must specify the required minimum level of service to be performed and the criteria for
evaluating successful completion.
7.12 Invoices. Invoices for fees or other compensation for services or expenses shall be submitted in detail sufficient for a proper
pre-audit and post-audit thereof, based on the quantifiable, measurable and verifiable units of deliverables as established in Exhibit
"A." Deliverables must be received and accepted in writing by the Department's Project Manager prior to payments.
7.13 Supporting Documentation. Supporting documentation must establish that the deliverables were received and accepted in
writing by the Department and that the required minimum level of service to be performed based on the criteria for evaluating
successful completion as specified in Section 2.00 and Exhibit "A" has been met.
7.14 Travel Expenses. Invoices for any travel expenses by the Agency shall be submitted in accordance with Section 112.061,
Florida Statutes, and shall be submitted on the Department's Contractor Travel Form No. 300-000-06. The Department may
establish rates lower than the maximum provided in Chapter 112.061, Florida Statutes.
7.15 Property Acquisition. For real property acquired, submit:
a) The date the Agency acquired the real property .
b) A statement by the Agency certifying that the Agency has acquired said real property, and actual consideration paid
for real property.
c) A statement by the Agency certifying that the appraisal and acquisition of the real property together with any
attendant relocation of occupants was accomplished in compliance with all federal laws, rules and procedures
required by any federal oversight agency and with all state laws, rules and procedures that may apply to the Agency
acquiring the real property.
7.20 The Department's Obligations. Subject to other provisions of this Agreement, the Department will honor requests for
reimbursement to the Agency pursuant to this Agreement. However, notwithstanding any other provision of this Agreement, the
Department may elect by notice in writing not to make a payment if:
a) The Agency shall have made misrepresentation of a material nature in its application, or any supplement or
amendment to its application, or with respect to any document or data furnished with its application or pursuant to
725-030-06
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this Agreement;
b) There is any pending litigation with respect to the performance by the Agency of any of its duties or obligations which
may jeopardize or adversely affect the Project, the Agreement, or payments to the Project;
c) The Agency shall have taken any action pertaining to the Project which, under this Agreement, requires the approval
of the Department or has made related expenditures or incurred related obligations without having been advised by
the Department that same are approved;
d) There has been any violation of the conflict of interest provisions contained in this Agreement;
e) The Agency has been determined by the Department to be in default under any of the provisions of the Agreement; or
f) Any federal agency providing federal financial assistance to the Project suspends or terminates federal financial
assistance to the Project. In the event of suspension or termination of federal financial assistance, the Agency will
reimburse the Department for all disallowed costs, including any and all federal financial assistance as detailed in
Exhibit "B."
7.30 Disallowed Costs. In determining the amount of the payment, the Department will exclude all Project costs incurred by the
Agency prior to the effective date of this Agreement, after the expiration date of this Agreement, costs which are not provided for in
the latest approved scope and budget for the Project, costs attributable to goods or services received under a contract or other
arrangements which have not been approved by the Department, and costs invoiced prior to receipt of annual notification of fund
availability.
7.40 Payment Offset. If, after Project completion, any claim is made by the Department resulting from an audit or for work or
services performed pursuant to this Agreement, the Department may offset such amount from payments due for work or services
done under any public transportation joint participation agreement which it has with the Agency owing such amount if, upon
demand, payment of the amount is not made within sixty (60) days to the Department. Offsetting amounts shall not be considered
a breach of contract by the Department.
8.00 Termination or Suspension of Project:
8.10 Termination or Suspension Generally. If the Agency abandons or, before completion, finally discontinues the Project; or
for any other reason, the commencement, prosecution, or timely completion of the Project by the Agency is rendered improbable,
infeasible, impossible, or illegal, the Department will, by written notice to the Agency, suspend any or all of its obligations under
this Agreement until such time as the event or condition resulting in such suspension has ceased or been corrected, or the
Department may terminate any or all of its obligations under this Agreement.
8.11 Action Subsequent to Notice of Termination or Suspension. Upon receipt of any final termination or suspension notice
under this Section 8, the Agency shall proceed promptly to carry out the actions required in such notice, which may include any
or all of the following: (1) necessary action to terminate or suspend, as the case may be, Project activities and contracts and such
other action as may be required or desirable to keep to the minimum the costs upon the basis of which the financing is to be
computed; (2) furnish a statement of the Project activities and contracts, and other undertakings the cost of which are otherwise
includable as Project costs; and, (3) remit to the Department such portion of the financing and any advance payment previously
received as is determined by the Department to be due under the provisions of the Agreement. The termination or suspension shall
be carried out in conformity with the latest schedule, plan, and budget as approved by the Department or upon the basis of terms
and conditions imposed by the Department upon the failure of the Agency to furnish the schedule, plan, and budget within a
reasonable time. The approval of a remittance by the Agency or the closing out of federal financial participation in the Project shall
not constitute a waiver of any claim which the Department may otherwise have arising out of this Agreement.
8.12 Access to Documents and Materials. The Department reserves the right to unilaterally cancel this Agreement for refusal by
the Agency, contractor, sub-contractor, or materials vendor to comply with the provisions of Chapter 119, Florida Statutes.
9.00 Audit and Inspection. The Agency shall permit, and shall require its contractors to permit, the Department's authorized
representatives to inspect all work, materials, payrolls, records; and to audit the books, records and accounts pertaining to the
financing and development of the Project .
10.00 Contracts of the Agency:
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10.10 Third Party Agreements. The Department specifically reserves the right to review and approve any and all third party
contracts with respect to the Project before the Agency executes or obligates itself in any manner requiring the disbursement of
Department funds, including consultant, purchase of commodities contracts or amendments thereto. If the Department chooses to
review and approve third party contracts for this Project and the Agency fails to obtain such approval, that shall be sufficient cause
for nonpayment by the Department as provided in Section 7.20(c). The Department specifically reserves unto itself the right to
review the qualifications of any consultant or contractor and to approve or disapprove the employment of the same. If Federal
Transit Administration (FTA) funds are used in the Project, the Department must exercise the right to third party contract review.
10.20 Procurement of Personal Property and Services:
10.21 Compliance with Consultants' Competitive Negotiation Act. It is understood and agreed by the parties to this
Agreement that participation by the Department in a project with an Agency, where said project involves a consultant contract for
engineering, architecture or surveying services, is contingent on the Agency complying in full with provisions of Chapter 287.055,
Florida Statutes, Consultants' Competitive Negotiation Act, the federal Brooks Act, 23 CFR 172, and 23 U.S.C. 112.. At the
discretion of the Department, the Agency will involve the Department in the Consultant Selection Process for all projects funded
under this Agreement. In all cases, the Agency's Attorney shall certify to the Department that selection has been accomplished in
compliance with Chapter 287.055, Florida Statutes, the Consultants' Competitive Negotiation Act and the federal Brooks Act .
10.22 Procurement of Commodities or Contractual Services. It is understood and agreed by the parties hereto that
participation by the Department in a project with an Agency, where said project involves the purchase of commodities or
contractual services or the purchasing of capital equipment or the constructing and equipping of facilities, which includes
engineering, design, and/or construction activities, where purchases or costs exceed the Threshold Amount for CATEGORY TWO
per Chapter 287.017, Florida Statutes, is contingent on the Agency complying in full with the provisions of Chapter 287.057, Florida
Statutes. The Agency's Attorney shall certify to the Department that the purchase of commodities or contractual services has
been accomplished in compliance with Chapter 287.057, Florida Statutes. It shall be the sole responsibility of the Agency to
ensure that any obligations made in accordance with this Section comply with the current threshold limits. Contracts, purchase
orders, task orders, construction change orders, or any other agreement that would result in exceeding the current budget
contained in Exhibit “B”, or that is not consistent with the Project description and scope of services contained in Exhibit “A” must
be approved by the Department prior to Agency execution. Failure to obtain such approval, and subsequent execution of an
amendment to the Agreement if required, shall be sufficient cause for nonpayment by the Department as provided in Section
7.20(c).
10.30 Disadvantaged Business Enterprise (DBE) Policy and Obligation. It is the policy of the Department that DBE’s, as
defined in 49 CFR Part 26, as amended, shall have the opportunity to participate in the performance of contracts financed in whole
or in part with Department funds under this Agreement. The DBE requirements of applicable federal and state laws and
regulations apply to this Agreement.
The Agency and its contractors agree to ensure that DBE’s have the opportunity to participate in the performance of this
Agreement. In this regard, all recipients and contractors shall take all necessary and reasonable steps in accordance with
applicable federal and state laws and regulations to ensure that the DBE ’s have the opportunity to compete for and perform
contracts. The Agency and its contractors and subcontractors shall not discriminate on the basis of race, color, national origin or
sex in the award and performance of contracts, entered pursuant to this Agreement.
10.40 Procurement of Construction Services. If the Project is procured pursuant to Chapter 255 for construction services and at
the time of the competitive solicitation for the Project 50 percent or more of the cost of the Project is to be paid from
state-appropriated funds, then the Agency must comply with the requirements of Section 255.099(1), Florida Statutes.
11.00 Restrictions, Prohibitions, Controls, and Labor Provisions:
11.10 Equal Employment Opportunity. In connection with the carrying out of any project, the Agency shall not discriminate
against any employee or applicant for employment because of race, age, creed, color, sex or national origin. The Agency will take
affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to
their race, age, creed, color, sex, or national origin. 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
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compensation; and selection for training, including apprenticeship. The Agency shall insert the foregoing provision modified only to
show the particular contractual relationship in all its contracts in connection with the development or operation of the Project,
except contracts for standard commercial supplies or raw materials, and shall require all such contractors to insert a similar
provision in all subcontracts, except subcontracts for standard commercial supplies or raw materials. When the Project involves
installation, construction, demolition, removal, site improvement, or similar work, the Agency shall post, in conspicuous places
available to employees and applicants for employment for Project work, notices to be provided by the Department setting forth the
provisions of the nondiscrimination clause.
11.20 Title VI - Civil Rights Act of 1964. Execution of this Agreement constitutes a certification that the Agency will comply with
all the requirements imposed by Title VI of the Civil Rights Act of 1964 (42 U.S.C. 2000d, et seq.), the Regulations of the Federal
Department of Transportation issued thereunder, and the assurance by the Agency pursuant thereto.
11.30 Title VIII - Civil Rights Act of 1968. Execution of this Agreement constitutes a certification that the Agency will comply
with all the requirements imposed by Title VIII of the Civil Rights Act of 1968 (42 U.S.C. 3601, et seq.), which among other things,
prohibits discrimination in employment on the basis of race, color, national origin, creed, sex, and age.
11.40 Americans with Disabilities Act of 1990 (ADA). Execution of this Agreement constitutes a certification that the Agency
will comply with all the requirements imposed by the ADA (42 U.S.C. 12102, et seq.), the regulations of the federal government
issued thereunder, and the assurance by the Agency pursuant thereto.
11.50 Prohibited Interests. The Agency shall not enter into a contract or arrangement in connection with the Project or any
property included or planned to be included in the Project, with any officer, director or employee of the Agency, or any business
entity of which the officer, director or employee or the officer's, director ’s or employee's spouse or child is an officer, partner,
director, or proprietor or in which such officer, director or employee or the officer's, director ’s or employee's spouse or child, or any
combination of them, has a material interest.
a) “Material Interest” means direct or indirect ownership of more than 5% of the total assets or capital stock of any
business entity.
b) The Agency shall not enter into any contract or arrangement in connection with the Project or any property included or
planned to be included in the Project, with any person or entity who was represented before the Agency by any
person who at any time during the immediately preceding two (2) years was an officer, director or employee of the
Agency.
c) The provisions of this subsection shall not be applicable to any agreement between the Agency and its fiscal
depositories, any agreement for utility services the rates for which are fixed or controlled by the government, or any
agreement between the Agency and an agency of state government.
11.60 Interest of Members of, or Delegates to, Congress or Legislature. No member or delegate to the Congress of the
United States, or the State of Florida legislature, shall be admitted to any share or part of the Agreement or any benefit arising
therefrom.
12.00 Miscellaneous Provisions:
12.10 Environmental Regulations. Execution of this Agreement constitutes a certification by the Agency that the Project will be
carried out in conformance with all applicable environmental regulations including the securing of any applicable permits. The
Agency will be solely responsible for any liability in the event of non -compliance with applicable environmental regulations,
including the securing of any applicable permits, and will reimburse the Department for any loss incurred in connection therewith.
12.20 Department Not Obligated to Third Parties. The Department shall not be obligated or liable hereunder to any party other
than the Agency.
12.30 When Rights and Remedies Not Waived. In no event shall the making by the Department of any payment to the Agency
constitute or be construed as a waiver by the Department of any breach of covenant or any default which may then exist, on the
part of the Agency, and the making of such payment by the Department while any such breach or default shall exist shall in no
way impair or prejudice any right or remedy available to the Department with respect to such breach or default.
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12.40 Severability. If any provision of this Agreement is held invalid, the remainder of this Agreement shall not be affected. In
such an instance the remainder would then continue to conform to the terms and requirements of applicable law.
12.50 Bonus or Commission. By execution of the Agreement the Agency represents that it has not paid and, also, agrees not to
pay, any bonus or commission for the purpose of obtaining an approval of its application for the financing hereunder.
12.60 State or Territorial Law. Nothing in the Agreement shall require the Agency to observe or enforce compliance with any
provision thereof, perform any other act or do any other thing in contravention of any applicable State law: Provided, that if any of
the provisions of the Agreement violate any applicable State law, the Agency will at once notify the Department in writing in order
that appropriate changes and modifications may be made by the Department and the Agency to the end that the Agency may
proceed as soon as possible with the Project .
12.70 Use and Maintenance of Project Facilities and Equipment. The Agency agrees that the Project facilities and equipment
will be used by the Agency to provide or support public transportation for the period of the useful life of such facilities and
equipment as determined in accordance with general accounting principles and approved by the Department. The Agency further
agrees to maintain the Project facilities and equipment in good working order for the useful life of said facilities or equipment.
12.71 Property Records. The Agency agrees to maintain property records, conduct physical inventories and develop control
systems as required by 49 CFR Part 18, when applicable.
12.80 Disposal of Project Facilities or Equipment. If the Agency disposes of any Project facility or equipment during its useful
life for any purpose except its replacement with like facility or equipment for public transportation use, the Agency will comply with
the terms of 49 CFR Part 18 relating to property management standards. The Agency agrees to remit to the Department a
proportional amount of the proceeds from the disposal of the facility or equipment. Said proportional amount shall be determined
on the basis of the ratio of the Department financing of the facility or equipment as provided in this Agreement. The Agency must
remit said proportional amount to the Department within one (1) year after the official date of disposal.
12.90 Contractual Indemnity. To the extent provided by Section 768.28, Florida Statutes, the Agency shall indemnify, defend,
and hold harmless the Department and all of its officers, agents, and employees from any claim, loss, damage, cost, charge, or
expense arising out of any act, error, omission, or negligent act by the Agency, its agents, or employees, during the performance
of the Agreement, except that neither the Agency, its agents, or its employees will be liable under this paragraph for any claim,
loss, damage, cost, charge, or expense arising out of any act, error, omission, or negligent act by the Department or any of its
officers, agents, or employees during the performance of the Agreement. Nothing in this Agreement shall be construed as a waiver
by the Agency of any sovereign immunity protections that may be provided by Section 768.28, Florida Statutes.
When the Department receives a notice of claim for damages that may have been caused by the Agency in the performance of
services required under this Agreement, the Department will immediately forward the claim to the Agency. The Agency and the
Department will evaluate the claim and report their findings to each other within fourteen (14) working days and will jointly discuss
options in defending the claim. After reviewing the claim, the Department will determine whether to require the participation of the
Agency in the defense of the claim or to require that the Agency defend the Department in such claim as described in this section .
The Department's failure to promptly notify the Agency of a claim shall not act as a waiver of any right herein to require the
participation in or defense of the claim by Agency. The Department and the Agency will each pay its own expenses for the
evaluation, settlement negotiations, and trial, if any. However, if only one party participates in the defense of the claim at trial, that
party is responsible for all expenses at trial.
13.00 Plans and Specifications. In the event that this Agreement involves the purchasing of capital equipment or the constructing
and equipping of facilities, where plans and specifications have been developed, the Agency shall provide an Engineer's
Certification that certifies Project compliance as listed below, or in Exhibit “C” if applicable. For the plans, specifications,
construction contract documents, and any and all other engineering, construction, and contractual documents produced by the
Engineer, hereinafter collectively referred to as “plans”, the Agency will certify that:
a) All plans comply with federal, state, and professional standards as well as minimum standards established by the
Department as applicable;
b) The plans were developed in accordance with sound engineering and design principles, and with generally accepted
professional standards;
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c) The plans are consistent with the intent of the Project as defined in Exhibits “A” and “B” of this Agreement as well as
the Scope of Services; and
d) The plans comply with all applicable laws, ordinances, zoning and permitting requirements, public notice
requirements, and other similar regulations.
Notwithstanding the provisions of this paragraph, the Agency, upon request by the Department, shall provide plans and
specifications to the Department for review and approvals.
14.00 Project Completion, Agency Certification. The Agency will certify in writing on or attached to the final invoice, that the
Project was completed in accordance with applicable plans and specifications, is in place on the Agency facility, that adequate
title is in the Agency and that the Project is accepted by the Agency as suitable for the intended purpose.
15.00 Appropriation of Funds:
15.10 Contingency of Payment. The State of Florida's performance and obligation to pay under this Agreement is contingent
upon an annual appropriation by the Legislature. If the Department's funding for this Project is in multiple fiscal years, funds
approval from the Department's Comptroller must be received each fiscal year prior to costs being incurred. See Exhibit “B” for
funding levels by fiscal year. Project costs utilizing these fiscal year funds are not eligible for reimbursement if incurred prior to
funds approval being received. The Department will notify the Agency, in writing, when funds are available.
15.20 Multi-Year Commitment. In the event this Agreement is in excess of $25,000 and has a term for a period of more than one
(1) year, the provisions of Chapter 339.135(6)(a), Florida Statutes, are hereby incorporated:
"The Department, during any fiscal year, shall not expend money, incur any liability, or enter into any contract which,
by its terms, involves the expenditure of money in excess of the amounts budgeted as available for expenditure
during such fiscal year. Any contract, verbal or written, made in violation of this subsection is null and void, and no
money may be paid on such contract. The Department shall require a statement from the comptroller of the
Department that funds are available prior to entering into any such contract or other binding commitment of funds .
Nothing herein contained shall prevent the making of contracts for periods exceeding 1 year, but any contract so
made shall be executory only for the value of the services to be rendered or agreed to be paid for in succeeding fiscal
years; and this paragraph shall be incorporated verbatim in all contracts of the Department which are for an amount
in excess of $25,000 and which have a term for a period of more than 1 year."
16.00 Expiration of Agreement. The Agency agrees to complete the Project on or before . If the Agency does not complete
the Project within this time period, this Agreement will expire unless an extension of the time period is requested by the Agency
and granted in writing by the Department prior to expiration of this Agreement. Expiration of this Agreement will be considered
termination of the Project and the procedure established in Section 8.00 of this Agreement shall be initiated. The cost of any work
performed after the expiration date of this Agreement will not be reimbursed by the Department.
16.10 Final Invoice. The Agency must submit the final invoice on this Project to the Department within 120 days after the
expiration of this Agreement.
17.00 Agreement Format. All words used in this Agreement in the singular form shall extend to and include the plural. All words
used in the plural form shall extend to and include the singular. All words used in any gender shall extend to and include all
genders.
18.00 Execution of Agreement. This Agreement may be simultaneously executed in a minimum of two counterparts, each of
which so executed shall be deemed to be an original, and such counterparts together shall constitute one in the same instrument.
19.00 Restrictions on Lobbying:
19.10 Federal. The Agency agrees that no federally-appropriated funds have been paid , or will be paid by or on behalf of the
Agency, to any person for influencing or attempting to influence any officer or employee of any federal 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,
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and the extension, continuation, renewal, amendment or modification of any federal contract, grant, loan or cooperative agreement.
If any funds other than federally-appropriated funds have been paid by the Agency to any person for influencing or attempting to
influence an officer or employee of any federal agency, a Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with this Agreement, the undersigned shall complete and submit Standard
Form-LLL, "Disclosure of Lobbying Activities," in accordance with its instructions.
The Agency shall require that the language of this section 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.
19.20 State. No funds received pursuant to this Agreement may be expended for lobbying the Legislature, the judicial branch or a
state agency.
20.00 Vendors Rights. The Agency providing goods and services to the Department should be aware of the following time frames:
a) The Department has 20 days to deliver a request for payment (voucher) to DFS. The 20 days are measured from the latter
of the date the invoice is received or the date the goods or services are received, inspected , and approved. Approval and
inspection of goods or services shall take no longer than 20 days following the receipt of a complete and accurate invoice.
b) If a payment is not available within 40 days, then a separate interest penalty at a rate established pursuant to Section
55.03(1), Florida Statutes, will be due and payable, in addition to the invoice amount , to the Agency. The 40 days are
measured from the latter of the date the invoice is received or the date the goods or services are received, inspected, and
approved. Interest penalties of less than one (1) dollar will not be enforced unless the Agency requests payment. Invoices
that have to be returned to the Agency because of Agency preparation errors will result in a delay in the payment. The
invoice payment requirements do not start until a properly completed invoice is provided to the Department. A Vendor
Ombudsman has been established within DFS. The duties of this individual include acting as an advocate for Agencies
who may be experiencing problems in obtaining timely payment (s) from the Department. The Vendor Ombudsman may be
contacted at (850) 413-5516.
21.00 Restrictions, Prohibits, Controls, and Labor Provisions. During the performance of this Agreement, the Agency agrees
as follows, and shall require the following provisions to be included in each contract and subcontract entered into pursuant to this
Agreement:
a) A person or affiliate who has been placed on the convicted vendor list following a conviction for a public entity crime
may not submit a bid on a contract to provide any goods or services to a public entity, may not submit a bid on a
contract with a public entity for the construction or repair of a public building or public work, may not submit bids on
leases of real property to a public entity, may not be awarded or perform work as a contractor, supplier,
subcontractor, or consultant under a contract with any public entity, and may not transact business with any public
entity in excess of the threshold amount provided in Section 287.017, Florida Statutes for CATEGORY TWO for a
period of 36 months from the date of being placed on the convicted vendor list.
b) In accordance with Section 287.134, Florida Statutes, an entity or affiliate who has been placed on the discriminatory
vendor list may not submit a bid on a contract to provide any goods or services to a public entity, may not submit a
bid on a contract with a public entity for the construction or repair of a public building or public work, may not submit
bids on leases of real property to a public entity, may not be awarded or perform work as a contractor, supplier,
subcontractor, or consultant under a contract with any public entity, and may not transact business with any public
entity.
c) An entity or affiliate who has had its Certificate of Qualification suspended, revoked, denied or have further been
determined by the Department to be a non-responsible contractor may not submit a bid or perform work for the
construction or repair of a public building or public work on a contract with the Agency.
d) Neither the Agency nor any of its contractors or their subcontractors shall enter into any contract, subcontract or
arrangement in connection with the Project or any property included or planned to be included in the Project in which
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any member, officer or employee of the Agency or the locality during tenure or for two (2) years thereafter has any
interest, direct or indirect. If any such present or former member, officer or employee involuntarily acquires or had
acquired prior to the beginning of tenure any such interest, and if such interest is immediately disclosed to the
Agency, the Agency, with prior approval of the Department, may waive the prohibition contained in this paragraph
provided that any such present member, officer or employee shall not participate in any action by the Agency or the
locality relating to such contract, subcontract or arrangement. The Agency shall insert in all contracts entered into in
connection with the Project or any property included or planned to be included in any Project, and shall require its
contractors to insert in each of their subcontracts, the following provision:
"No member, officer or employee of the Agency or of the locality during his tenure or for 2 years
thereafter shall have any interest, direct or indirect, in this contract or the proceeds thereof."
The provisions of this paragraph shall not be applicable to any agreement between the Agency and its fiscal
depositories or to any agreement for utility services the rates for which are fixed or controlled by a governmental
agency.
23.00 Employment Eligibility (Using E-Verify). Agency/Vendors/Contractors:
a) Shall utilize the U.S. Department of Homeland Security's E-Verify system to verify the employment eligibility of all new
employees hired by the Agency during the term of the Agreement; and
b) Shall expressly require any contractors and subcontractors performing work or providing services pursuant to the
Agreement to likewise utilize the U.S. Department of Homeland Security's E-Verify system to verify the employment
eligibility of all new employees hired by the contractor or subcontractor during the Agreement term.
24.00 Inspector General Cooperation. The Parties agree to comply with Section 20.055(5), Florida Statutes, and to incorporate
in all subcontracts the obligation to comply with Section 20.055(5), Florida Statutes.
25.00 Maintenance of Project. The Agency agrees to maintain any project not on the State Highway System constructed under
this Agreement.
26.00 Federal Grant Number. If the Federal grant number is not available prior to execution of the Agreement, the Department
may unilaterally add the Federal grant number to the Agreement without approval of the Agency and without an amendment to the
Agreement. If this occurs, an updated Agreement that includes the Federal grant number will be provided to the Agency and
uploaded to the Department of Financial Services’ Florida Accountability Contract Tracking System (FACTS).
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Director of Transportation Development
Stacy Miller, P.E.South Florida Regional Transportation Authority
IN WITNESS WHEREOF, the parties hereto have caused these presents be executed, the day and year first above written.
AGENCY DEPARTMENT
AGENCY NAME
SIGNATORY (PRINTED OR TYPED)
SIGNATURE
TITLE
TITLE
DEPARTMENT OF TRANSPORTATION
LEGAL REVIEW, DEPARTMENT OF TRANSPORTATION
See attached Encumbrance Form for date of
Funding Approval by Comptroller
Financial Project No. 417983-1-84-01
Contract No.
Agreement Date
EXHIBIT "A"
PROJECTS DESCRIPTION AND RESPONSIBILITIES
This exhibit forms an integral part of that certain Joint Participation Agreement between the State of Florida,
Department of Transportation and South Florida Regional Transportation Authority
800 NW 33rd Street, Suite 100 Pompano Beach, FL 33064
referenced by the above Financial Project Number.
PROJECT LOCATION:
South Florida Regional Transportation Authority
PROJECT DESCRIPTION:
Is to provide Block Grant Funding for commuter bus operating assistance (as defined herein and shown in Sections 341.052,
341.071, 20.23(3)(a), and 334.048(3) Florida Statutes (F.S.), Rule
SPECIAL CONSIDERATIONS BY AGENCY:
The audit report(s) required in paragraph 6.50 of the Agreement shall include a schedule of project assistance that will reflect
the Department's contract number, Financial Project Number and the Federal Identification number, where applicable, and
the amount of state funding action (receipt and disbursement of funds) and any federal or local funding action and the funding
action from any other source with respect to the project.
The audit report(s) required in Section 6.50 of the Agreement to which this Exhibit is incorporated shall include a schedule of
Project assistance that will reflect the Department's contract number, Financial Project Number and the Federal Identification
number, where applicable, and the amount of state funding action (receipt and disbursement of funds) and any federal or
local funding action and the funding action from any other source with respect to the Project such as the Performance
Measures, Publishers Affidavit, NTD data submission to FTA, and the TDP Annual report?
Funding is to be used only for the Project, as defined in Section Sections 341.052, 341.071, 20.23(3)(a). No work performed
beyond the Project scope will be reimbursed.
DELIVERABLES by Agency:
Each invoice shall contain the following backup information supporting each of the performance measures listed above. The
performance measures will be for the period invoiced:
1. On-Time Performance — submit monthly the on-time performance data in a report consistent with the terms and
conditions of the Operating Agreement and applicable agreements ("On Time Performance Report").
2. Commuter Bus — submit monthly a spreadsheet which outlines Agency contractor performance.
3. Provide SFRTA Operating Budget by uploading a copy into TransCIP
3. Invoicing — submit invoice monthly for the Project. Invoices shall be submitted electronically as described in the
procedure below:
Agency Procedure:
· Scan the complete invoice and check to ensure all pages are legible
· All electronic invoice emails must use the following format in the subject line: FDOT PM Name, Contract #, Invoice #
· Email complete invoice to the OMD drop box: D4OMDID @dot.state.fl.us
· DO NOT mail the original hard copy, they will no longer be accepted
a. Include a detailed Project budget with each invoice that delineates the Project expenses and clearly defines the expenses
associated with the Project. Provide quarterly report of Project expenses vs Project budget. This will consist of a roll up
report which delineates each of the applicable Project Agreements for the provided quarterly invoice and how much of the
State Funding Contribution was used for payment.
All invoices must be accompanied by appropriate back-up, including check and/or check numbers that support the
Page 1 of 2
EXHIBIT "A"
PROJECTS DESCRIPTION AND RESPONSIBILITIES
categories within the invoicing and budget table.
b. Prepare and submit invoices, including supporting documentation, in accordance with Sections 6.0 and 7.0 of this
Agreement.
c. Supporting documentation for each amount for which reimbursement is being claimed must indicate that the item has
been paid.
d. Include a list of each performance measure not met during the invoice period and the applicable deduction imposed by
the Agency on its contractor.
SPECIAL CONSIDERATIONS BY DEPARTMENT:
1. The Department project manager may periodically conduct site visits and field review.
2. The Department reserves the right to perform audits of the supporting documentation.
3. The contact information for the Florida Department of Transportation Project Manager and the Department Grant Manager
for the purposes of Section 215.971, Florida Statutes, is:
Wibet Hay
Transit Coordinator
Office of Modal Development
Florida Department of Transportation, District 4
3400 West Commercial Blvd
Fort Lauderdale, FL 33309
Tel: (954)777-4576
Fax: (954)777-4095
Wibet.Hay@dot.state.fl.us
SPECIAL CONSIDERATIONS BY DEPARTMENT:
Page 2 of 2
Financial Project No. 417983-1-84-01
Contract No.
Agreement Date
EXHIBIT "B"
PROJECT BUDGET
This exhibit forms an integral part of that certain Joint Participation Agreement between the State of Florida,
Department of Transportation and South Florida Regional Transportation Authority
800 NW 33rd Street, Suite 100 Pompano Beach, FL 33064
referenced by the above Financial Project Number.
PROJECT COST:
TOTAL PROJECT COST:
PARTICIPATION:
Maximum Federal Participation
Agency Participation
In-Kind
Cash
Other
Maximum Department Participation,
Federal Reimbursable
Local Reimbursable
TOTAL PROJECT COST:
Primary
FTA
DDR,DPTO
0
50
0.00
1,896,809.00
50 1,896,809.00
3,793.618.00
( %) or $
( %) or $
( %) or $
( %) or $
( %) or $
( %) or $
( %) or $
$
$
$I.
II.
Page 1 of 1
Financial Project No. 417983-1-84-01
Contract No.
Agreement Date
EXHIBIT "C"
(For State Block Only)
This exhibit forms an integral part of that certain Joint Participation Agreement between the State of Florida,
Department of Transportation and
800 NW 33rd Street, Suite 100 Pompano Beach, FL 33064
referenced by the above Financial Project Number.
REF: Section 341.052 F.S.
The Department shall provide block grant funds for eligible capital and operating costs of public bus transit and local public
fixed guideway projects. Eligibility of this Agency to receive grant funding is provided in Sec. 341.052(1) F.S., and Sections
5307 and 5311 of the Federal Transit Act, 49 U.S.C. 5307, and 49 U.S.C. 5311 respectively.
Eligible transit capital costs means any costs that would be defined as capital costs by the Federal Transit
Administration.
Eligible transit operating costs are the total administrative, management, and operation costs directly incident to
the provision of public bus transit services, excluding any depreciation or amortization of capital assets.
Block grant funds shall not exceed local revenue during the term of this agreement.
(Local revenue is defined as the sum of money received from local government entities to assist in paying transit
operation costs, including tax funds, and revenue earned from fare box receipts, charter service, contract service,
express service and non - transportation activities.)
Block grant funds shall not supplant local tax revenues made available for operations in the year immediately preceding this
agreement.
State participation in eligible public transit operating costs may not exceed fifty (50) percent of such costs or an amount
equal to the total revenue, excluding farebox, charter, and advertising revenue and federal funds, received by the provider for
operating costs, whichever amount is less.
Page 1 of 2
EXHIBIT "C"
(For State Block Only)
The Agency shall require the independent auditor, retained to perform the audit as required by the Single Audit Act of 1984,
to specifically test and certify that these limitations (...funds shall not exceed local revenue...funds shall not be expended
for depreciation or amortization of capital assets...funds shall not supplant local tax revenues made available for operations
in the previous year) of the block grant program as delineated in Chapter 341.052 F.S., have been adhered to.
The Agency shall provide the Department with two (2) copies of its most current adopted budget by March 1. Unless the
adopted budget uses a format consistent with the National Transit Database (NTD) report, the copy provided to the
Department will indicate how the projections for total local revenue, local tax revenue made available for operations, and
depreciation and amortization costs, as they will appear in the NTD report, can be identified.
The Agency shall publish in the local newspaper of its area, in the format prescribed by the Department, the productivity
and performance measures established for the transit providers most recently completed fiscal year and the prior fiscal
year. This report shall be approved by the Department of Transportation prior to its publication. This report shall be
submitted to the Department no later than November 15 of each year, and published either by December 31 or no later than
twenty eight (28) calendar days of the Department's written approval of the report. The Agency shall furnish an affidavit of
publication to the Department within twenty eight (28) calendar days of publication.
The Agency shall submit a Transit Development Plan (TDP) or annual update to the Department by September 1 of each
year. As a separate part of the transit development plan or annual report, the Agency will address potential enhancements
to productivity and performance which would have the effect of increasing farebox ratio pursuant to FS 341.071 (2).
A TDP shall conform to the requirements in Rule 14-73, available at: http://fac.dos.state.fl.us/faconline/chapter14.pdf.
Mark the required Safety submittal or provisions for this agreement if applicable.
Safety Requirements
X Bus Transit System - In accordance with Florida Statute 341.061, and Rule 14-90, Florida Administrative Code, the
Agency shall submit, and the Department shall have on file, an annual safety certification that the Agency has
adopted and is complying with its adopted System Safety and Security Program Plan pursuant to Rule Chapter 14-
90 and has performed annual safety inspections of all buses operated.
Fixed Guideway Transportation System - (established) In accordance with Florida Statute 341.061, the Agency shall
submit, and the Department shall have on file, annual certification by the Agency of compliance with its System
Safety and Security Program Plan, pursuant to Rule 14-15.017 and the “Safety and Security Oversight Program
Standards Manual”, DOT Topic Number 725-030-014.
Fixed Guideway Transportation System - (This applies to New Starts projects and subsequent major projects to
extend, rehabilitate, or modify an existing system, or to replace vehicles and equipment.) In accordance with
Florida Statute 341.061, the Agency shall submit a certification attesting to the adoption of a System Safety
Program Plan pursuant to Rule 14-15.017 and the “Safety and Security Oversight Program Standards Manual”,
DOT Topic Number 725-030-014. Prior to beginning passenger service operations, the Agency shall submit a
certification to the Department that the new start system or major modification to an existing system is safe for
passenger service.
Page 2 of 2
Financial Project No. 417983-1-84-01
Contract No.
Agreement Date
EXHIBIT "D"
THE STATE RESOURCES AWARDED PURSUANT TO THIS AGREEMENT CONSIST OF THE FOLLOWING:
SUBJECT TO SECTION 215.97, FLORIDA STATUTES:
Awarding Agency: Florida Department of Transportation
State Project Title: PUBLIC TRANSIT BLOCK GRANT PROGRAM
CSFA Number: 55.010
*Award Amount: $1,896,809.00
*The state award amount may change with supplemental agreements
Specific project information for CSFA Number 55.010 is provided at: https://apps.fldfs.com/fsaa/searchCatalog.aspx
COMPLIANCE REQUIREMENTS APPLICABLE TO STATE RESOURCES AWARDED PURSUANT TO THIS AGREEMENT:
State Project Compliance Requirements for CSFA Number 55.010 are provided at:
https://apps.fldfs.com/fsaa/searchCompliance.aspx
The State Projects Compliance Supplement is provided at: https://apps.fldfs.com/fsaa/compliance.aspx
STATE FINANCIAL ASSISTANCE (FLORIDA SINGLE AUDIT ACT)
Page 1 of 1
2017-100 November 10, 2017
1
HERZOG TRANSIT SERVICES, INC.
REQUEST FOR PRPOSALS (RFP)
FOR THE
OVERHAUL, CONVERSION AND UPGRADE
OF FIVE (5) F40PH DIESEL-ELECTRIC LOCOMOTIVES
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TABLE OF CONTENTS
Section 1. Instructions to Proposers
Section 2. Form of Technical and Price Proposal
Section 3. Technical Scope of Work
Section 4. HTSI General Conditions
Section 5. Locomotive Overhaul Contract (Sample)
Section 6. Department of Transportation (DOT) and Federal Transit Administration (FTA) Requirements
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SECTION 1. INSTRUCTIONS TO PROPOSERS
1. Introduction
In November, 2017, your firm responded to the Request for Qualifications (RFQ), which is hereby incorporated into and made a part of this RFP, i s s u e d by Herzog Transit Services, Inc. (HTSI) for the purpose of identifying qualified domestic firms with the experience and expertise to perform overhaul, conversion and upgrade work on five (5) of F40PH commuter rail locomotives.
Subsequent to your firm’s submission of a Statement of Qualifications and our evaluation thereof, HTSI, through this Request for Proposals (RFP), invites your firm to submit a complete proposal for the Overhaul, Conversion and Upgrade of five (5) F40PH diesel- electric locomotives owned by the SFRTA.
2. Proposal Due Date
Proposers must submit an electronic signed copy of their Proposal to perform this work to the HTSI Point of Contact (see Section 1.4) no later than 3:00 P.M. Eastern Time on Wednesday, January 10, 2018. Proposals must clearly marked “Technical and Price Proposal— HTSI Locomotive Overhaul Project” in the Subject line of the email. Proposals received after the date and time specified herein will not be considered. Proposals will be considered firm offers to enter into a contract with HTSI and to perform the work described in this RFP for a period of 180 days from their submission.
Proposers previously submitted SOQ’s will be incorporated into and made a part of their Proposals and need not be resubmitted.
3. Mandatory Pre-Proposal Conference and Inspection
A mandatory pre-proposal conference and inspection will be held beginning at 9:00 A.M., Eastern Time, on Tuesday November 28, 2017. This conference will be held at HTSI offices, 3700 NW 37th Ave, Miami, FL, 33147. At that time, all five (5) of the locomotives to be overhauled, pursuant to this project, will be made available for Proposers detailed inspection. Should Proposers desire additional days for inspections, please indicate this desire to do so at the conference and HTSI will make those arrangements.
Proposers must assure that its representatives performing the inspection are equipped with appropriate Personal Protective Equipment.
4. HTSI Point of Contact HTSI’s sole point of contact for all electronic questions, clarifications and submissions relating to this RFP shall be addressed to:
Ms. Rayanne Robertson, HTSI Proposal Coordinator
E-Mail: rrobertson@herzog.com
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5. Schedule of Procurement Activities (all times Eastern)RFP Available November 10, 2017
Pre-proposal Conference November 28, 2017- 9:00 AM
Deadline for Written Questions/Clarifications December 7, 2017 5:00 PM
Proposal Due Date January 10, 2018 3:00 PM
Oral Interviews January 4, 2018
Best and Final Offer (BAFO) if requested January 26, 2018 12:01PM
Selection of Preferred Bidder January 26, 2018 5:00PM
Contract Award TBD
6. Proposer RepresentationsBy submitting a Proposal, Proposer represents that it has thoroughly examined and become familiar with the Work required under this RFP, that it will enter into a written contract in accordance with the requirements and conditions set forth in Section 5, Locomotive Overhaul Contract, with no exceptions, and that it will be bound by and adhere to all requirements set forth in this RFP. Proposers should take notice that their written Proposal to perform this Work, as submitted to HTSI, will be incorporated into and made a part of the Contract to be entered into by the parties.
7. AddendaHTSI reserves the right to revise or amend the RFP Documents at any time prior to the Proposal due date. Any such revisions will be made by written addenda to this RFP. Copies of such addenda will be furnished to all qualified holders of the RFP. Transmittal of addenda by email to potential Proposers is considered constructive notice of the document change. HTSI will not be bound by any modifications to or deviations from the requirements set forth in the RFP as a result of oral instruction or that are signed by anyone but the Project Manager as designated above in Section 4. Proposers must acknowledge receipt of all addenda to the RFP in their Proposal.
Failure to acknowledge receipt of all addenda may render the Proposal non-responsive.
8. Insurance and Bonding RequirementsIncluded with its Proposal, Proposers shall provide HTSI with satisfactory evidence that policies providing such coverages and limits of insurance as indicated below are in full force or will be obtained by Proposer prior to executing the Contract. Satisfactory evidence may be demonstrated by a Certificate of Insurance or letter issued by the Proposer’s insurance agent or broker. Proof of Proposer’s ability to provide the required
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Performance Bond and Payment Bond, as described below, shall also be provided in the Proposal.
A. Throughout the duration of this Contract, the firm awarded the contract shall maintain the following insurance, which shall be first dollar-coverage insurance and, unless approved in writing by HTSI, not subject to self-insurance. Proposer shall not of its own initiative cause such insurance to be canceled or materially changed during the course of this Contract or otherwise be in default of the awarded contract.
B. Within 10 days after receiving Notice of Award in writing, Proposer must furnish to HTSI Project Manager an endorsement showing the required insurance coverages for Proposer and further providing that:
1. HTSI and SFRTA, its officers, employees, contractors and agents, are named as an additional insured via endorsement on Commercial General Liability and Automobile Liability insurance with respect to performance hereunder.
2. The coverage shall be primary and noncontributory as to any other insurance with respect to liability hereunder.
3. Thirty (30) days prior written notice of cancellation or of material change in coverage shall be given to HTSI by endorsement.
C. “Occurrence,” as used herein means any event or related exposure to conditions which result in bodily injury or property damage.
D. Any deductibles or self-insured retentions must be declared to and approved in writing by HTSI. At the option of HTSI, either the Proposer shall reduce or eliminate such deductibles or self-insured retentions with respect to this Contract to be awarded or shall procure a bond guaranteeing the amount of the deductible or self-insured retention. If HTSI agrees in writing to a deductible or self-insured retention, then the Proposer shall be responsible for the full cost of such deductible or self-insured retention.
E. Minimum Limits of Insurances. The Proposer shall maintain limits no less than:
1. Commercial General Liability to include Products/Completed Operations, Independent Contractor, Contract Liability, and Personal Injury Liability; with at least the following limits of liability:
a) Primary Bodily Injury Liability Limits of $4,000,000 per occurrence; and
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b) Primary Property Damage Liability Limits of $4,000,000 per
occurrence; or
c) Combined single limits of liability for Primary Bodily Injury and Primary Property Damage of $4,000,000 per occurrence, $8,000,000 annual aggregate.
Proposer may produce excess liability insurance to meet requirements.
2. Automobile Liability with the following limits:
a) Primary Bodily Injury with limits of $2,000,000 per occurrence; and
b) Primary Property Damage with limits of $2,000,000 per occurrence; or
c) Combined single limits of Liability for Primary Bodily and Primary Property Damage of $1,000,000 per occurrence.
3. Workers’ Compensation Insurance as required by the State of California, or equivalent insurance as required by any other state in which work will be performed.
4. Employer’s Liability with limits of $1,000,000 per occurrence.
5. Within 10 days after receiving Notice of Award in writing, Proposer must furnish to HTSI Project Manager a Performance Bond and a Payment (Labor and Materials) Bond each equal to the dollar amount of the Contract, and satisfactory in form to HTSI Project Manager.
6. Pre-Contractual Expenses All Proposals submitted in response to this RFP shall be prepared at the sole expense of the Proposer. HTSI shall not in any event be liable for any pre- contractual expenses incurred by Proposer in the preparation of its Proposal, and Proposers shall not include any such expenses as part of their Proposals.
7. Modified and Alternative Proposal Prohibitions Unauthorized conditions, limitations, exceptions to terms and conditions and/or additional provisions attached to a Proposal may render it non- responsive and may cause its rejection. Proposers shall not delete, modify, and/or supplement any of the terms, conditions and/or requirements of this
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RFP in any manner whatsoever unless directed to do so in writing by HTSI through the Addenda process described in Item #7 above.
8. Withdrawal of Proposal The Proposer may withdraw its Proposal before the time established for the Proposal opening by submitting a written request, signed by an authorized representative of the firm and delivered to the HTSI Project Manager.
9. Evaluation Criteria and Evaluation/Selection Process Proposals submitted in response to this RFP will be evaluated according to the evaluation criteria that have been established by HTSI, as described below. Proposals will be evaluated based on the following 100 point system:
I. Proposer’s Qualifications, Expertise and Experience 35 (Already determined through RFQ/SOQ process)
II. Approach to Work 20
Proposed overhaul work plan to include, at a minimum, staffing plan and assignment of key management personnel for the overhaul project, a description of Proposer’s facilities, equipment, machinery, specialized test equipment and qualification procedures and a detailed description of Proposer’s quality control / quality assurance program as it will be applied to this project. The Proposal must demonstrate Proposer’s ability to design, engineer and integrate an upgrade of the prime mover to EPA Tier 0+ emissions certification, a Cat C-18 Tier I V HEP unit and a Qtron QES III microprocessor system into the locomotive and Proposer’s approach to warranty administration, training, delivery, commissioning and ongoing technical support. Specific steps that the Proposer will take to assure the reliability, availability, maintainability and overall performance level of the overhauled units should also be described in detail. (10 Points)
Detailed performance of the work, including specific location(s) where work will be performed, production workflow, integration with ongoing work and current backlog, production milestones, proposed method of shipment for the locomotives from/to Miami, FL, proposed delivery schedule and assurance by Contractor to have all Work completed and all five (5) locomotives delivered back to HTSI in Miami, FL in compliance with proposed schedule. (10 Points)
III. Responsiveness to the Technical Scope of Work 20
Proposers must demonstrate their clear understanding of this project and their ability to perform the Work as HTSI has outlined it in the Technical Scope of Work including a detailed discussion of Proposer’s approach to upgrading the locomotives. This section of the Proposal should be organized in a manner to be fully responsive to the Technical Scope and must include detailed work scopes for all major component reconditioning.
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IV. Price Proposal 25
Points will be awarded in the following manner:
The Proposer submitting a responsive Proposal with the lowest total Base Price Proposal will receive 25 points. Other Proposers submitting responsive Proposals with higher total Base Price Proposals will receive a lesser number of points based on the amount by which their Price Proposal exceeds the lowest Base Price Proposal.
For example, if Proposer A submits a Base Price Proposal of $1,000,000 and Proposer B submits a Base Price Proposal of $1,500,000, Proposer A will receive 25 points and Proposer B will receive 12.5 points in this Evaluation Category.
To evaluate the Proposals received in response to this RFP, HTSI has already established an Evaluation/Selection Committee. That Committee has completed the evaluation and scoring of the SOQ’s and will remain intact to evaluate the Proposals and make a recommendation to HTSI’s management based on their consideration of those Proposals, pursuant to the above-stated Evaluation Criteria.
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SECTION 2. FORM OF TECHNICAL AND PRICE PROPOSAL Technical Proposals shall be no more than 50 pages typed (forms and other required attachments/inclusions do not count against this page limit), double-spaced, and submitted on 8½ x 11 inch format. Inclusion of unnecessary, elaborate or general promotional material is discouraged. Narrative should be brief, concise and completely respond to the questions or issues raised by the criteria. An original signed copy of the Proposal must be submitted electronically.
Technical Proposals must be organized as follows and include the following sections:
A. Cover Letter – A cover letter, signed by an individual authorized to enter into acontract for the proposing firm and containing, at a minimum, the followinginformation: (WILL NOT COUNT AGAINST THE 50-PAGE LIMIT)
• Proposer name, address, telephone number, fax number and e-mail address ofProposer designated contact person.
• A statement that the Proposal shall remain valid for a period of not less than180 days from the date of submittal.
• A statement asserting the Proposer’s acceptance of all project requirements asdescribed in the RFP and acknowledging the Proposer’s receipt of all Addendato the RFP and the dates received.
• A statement asserting the Proposer’s ability to provide the required insurancesand bonds, as specified in the RFP.
• The signature of a person or persons authorized to legally bind the Proposer toenter into the contract.
B. A two to three page summary of the principal features of the Proposers technicalapproach to this project.
C. A description of the Proposer’s management approach, staffing plan, facilities,equipment, procedures, Quality Assurance/Quality Control plan,design/engineering capabilities as they pertain to this project, warrantyadministration, commissioning/technical support capabilities, proposed schedulefor completion of the Work and approach to assuring the performance of theoverhauled locomotives.
D. The Technical Proposal, arranged to be fully responsive to the Technical ScopeOf Work and clearly demonstrating the Proposers understanding of this projectand their detailed plan for carrying out the Work in a timely, efficient and cost-effective manner that meets the required completion date.
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Detailed work scopes for all major component reconditioning must be provided as an attachment (WILL NOT COUNT AGAINST THE 50-PAGE LIMIT).
E. Brief resumes of the Proposer’s Project Manager and key management staff to beassigned to this project (WILL NOT COUNT AGAINST THE 50-PAGE LIMIT).
F. A detailed description of the aspects of the work to be completed bySubcontractors, the experience of those Subcontractors in completingassignments of this nature and the experience of the Contractor and theSubcontractors in working together in similar type projects and arrangements.
G. The Price Proposal, using the form provided as Attachment A to this RFP.
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SECTION 3- SCOPE OF WORK
F40PH LOCOMOTIVE OVERHAUL, CONVERSION AND UPGRADE SPECIFICATION
FOR HERZOG TRANSIT SERVICES, INC.
(HTSI)’S TRI-RAIL SERVICE
HTSI
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F40PH LOCOMOTIVE OVERHAUL SPECIFICATION
INDEX
PART 1.00 GENERAL PROVISIONS AND DEFINITIONS ............................................. 13
PART 2.00 MATERIALS AND WORKMANSHIP ............................................................ 28
PART 3.00 AIR BRAKE SYSTEM AND AUXILIARIES ................................................... 35
PART 4.00 SANDING..................................................................................................... 38
PART 5.00 ELECTRIC AND PNEUMATIC TRAINLINES ............................................... 39
PART 6.00 ELECTRICAL SYSTEM ............................................................................... 40
PART 7.00 ENGINE SYSTEM ........................................................................................ 43
PART 8.00 TRUCKS ...................................................................................................... 45
PART 9.00 CARBODY ................................................................................................... 46
PART 10.00 CAB ............................................................................................................. 49
PART 11.00 FUEL SYSTEM ............................................................................................ 53
PART 12.00 HEAD END POWER .................................................................................... 54
PART 13.00 LAYOVER HEATING ................................................................................... 55
PART 14.00 RADIO AND COMMUNICATIONS ............................................................... 56
PART 15.00 STYLING AND PAINTING ........................................................................... 57
PART 16.00 INSPECTIONS AND TESTS ........................................................................ 59
PART 17.00 QUALITY ASSURANCE ............................................................................... 69
PART 18.00 DRAWINGS AND SPECIFICATIONS .......................................................... 73
PART 19.00 OPTION ITEMS…………………………………………………………….
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1.01 INTENT A. Scope
PART 1.00 GENERAL PROVISIONS AND DEFINITIONS
This Specification describes the Tri-Rail diesel electric passenger Locomotive which the Contractor shall overhaul for use in push pull passenger service that is operated by the South Florida Regional Transportation Authority (SFRTA). The Locomotive is capable of operating at speeds up to 102 mph on tangent track, equipped for multiple unit (MU) operation and is operationally compatible with SFRTA's bi-level passenger rail cars manufactured by Bombardier and Rotem, GP49 locomotives and Brookville BL36 locomotives.
This Specification defines the conditions and requirements applicable to the overhaul of the F40PH road locomotive units, together with their auxiliary equipment and accessories including the transportation from SFRTA’s Hialeah, FL facility to and from the Contractor's facilities.
There are a total of five (5) locomotives to be overhauled which were originally built by Motive Power Inc. (MPI) and EMD as follows:
Units 807-809 MPI - 1992
Units 810,811 EMD – 1981
The final configuration of the Locomotives after overhaul, pursuant to this Specification, is intended to be, as much as practical, identical to each other including meeting Tier 0+ prime mover EPA emission requirements.
The locomotive after overhaul shall be capable of providing a minimum of twelve (12) years reliable service, averaging 80,000 miles of service each year, withoutneed of major overhaul.
The Contractor shall furnish all management, labor, materials, tools, equipment, data, engineering, design, service, and incidentals necessary and deliver the Locomotives in strict conformity with the contract requirements, in a proper, thorough, skillful, and workmanlike manner, complete and ready for service. All software/hardware, special tooling/equipment, instruction manuals, drawings, prints and manuals necessary for maintenance and operation, as determined by HTSI, shall be supplied as part of this order.
B. ComplianceThe Contractor shall issue Certificates of Compliance for each Locomotive as required.
C. System Design Responsibility
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The Contractor shall assume complete responsibility for design, implementation of design and satisfactory operation for all systems, sub-systems and the total Locomotive.
D. Warranty
Warranty requirements are described in Section 21 of the Locomotive Overhaul Contract (contained in Section 5 of the RFP).
1.02 DEFINITIONS Approval – Review and acceptance, in writing, by HTSI.
Approved Equal – A proposed substitute to a specification requirement, component and/or supplier/manufacturer which is approved by HTSI in writing. The substitution request shall be submitted in writing to HTSI detailing full interchangeability in terms of form, fit, function, quality and properties to the specific requirement and must be proven to the satisfaction of HTSI.
As Built – The design and materials configured by the OEM (original equipment manufacture) at initial manufacture.
Certificate of Compliance – Written Certification that the Locomotive complies with all applicable laws, rules and regulations of the United States, the State of Florida, any other agency of the government, the FRA, AAR, EPA and also including, but not limited to, all Federal and State laws, rules and regulations relative to emissions and air pollution.
Change Order – A written document issued to the Contractor by HTSI that alters the scope of work to be performed under the Contract.
Change Request – A written document which thoroughly details rationale for request and ultimate effect to the Contract Specifications and/or terms and conditions, if any, issued to HTSI by Contractor which may result in a Change Order.
Commissioning – Post Delivery Contractor activities required to begin on-site acceptance testing demonstrating Specification compliance.
Conditional Acceptance – Occurs when locomotive is suitable for service, as determined by HTSI, and commences the warranty period. Remaining deficiencies, if any, shall be corrected promptly.
Contract – All documents associated with the procurement including the written agreement, Contractor’s proposal, the RFP and related documents, and the performance and payment bonds.
Defect – A patent or latent malfunction or failure in manufacture, design or installation of any deliverable, including without limitation any vehicle or any vehicle component, subcomponent, part or material of whatever type, or any failure of any of the foregoing deliverables to conform with the requirements in the Contract.
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Delivery – The transfer of the completed vehicle with all in-plant testing completed and results accepted by HTSI to the HTSI designated delivery location, ready for commissioning and acceptance testing.
Failure – The inability of a component, system or subsystem to function or perform in accordance with Specifications and requiring a corrective action to restore the specified function or performance.
Final Acceptance – Occurs when Contractor has fulfilled all of its initial obligations under the Contract, as determined by HTSI.
Inspect – Visual inspection and measurement to an approved procedure to ascertain suitability for further use in compliance with Specification requirements.
Inspector – The HTSI’s designated quality assurance representative.
Locomotive History Book – Documentation specific to an individual locomotive containing all records of technical and parts data pertinent to that particular locomotive. Required content and format shall be provided at the pre-proposal meeting.
Maintainability – A measure of a locomotive’s capability to be properly maintained based on the ease and frequency of maintenance tasks, applied labor and accessibility of equipment.
Materials – All materials, equipment, systems, components and products incorporated into the Contract required Work.
Modify – To change the design, placement or other aspect(s) of an application to provide an improved functionality as approved by HTSI.
Notice To Proceed (NTP) – Official HTSI written notification authorizing the Contractor to proceed with the Contract Work.
Optional Work – Defined tasks in the Contract that shall be considered on a case by case basis for inclusion in the Work.
Overhaul – The complete disassembly, cleaning, inspection, qualification, reconditioning, repair or replacement of parts that are found worn in excess of the OEM serviceable tolerances or specifically required by the Specification. Overhaul includes testing the reassembled part or component to assure that it functions to the OEM performance specification for an identical new part.
Project Manager – HTSI’s representative or designee responsible for all matters relating to the performance of the Work, proposed changes to the Work and payment.
Project Engineer – HTSI’s representative or designee responsible for all matters relating to the adherence to the technical requirements of the Specifications.
Proposal – The compliant response to the RFP.
Qualify – The classification, based on evaluation of inspection or test results, of a previously applied part, component or system as fit for re-application and continued service until the next proven overhaul/replacement interval for that part, component or system.
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Recondition – The restoration of an item to have the performance, service life and appearance of a new item through the replacement of worn parts, adjustments, cleaning, refinishing (i.e. painting, polishing, anodizing, etc.), repair of any damage and any other rehabilitation work required. When an item is beyond reconditioning it shall be renewed. A scope of work procedure, for any item, is required and shall be approved by HTSI prior to commencement of the work.
Reliability – The probability of a component, system, or locomotive of performing a specified function without failure and within design parameters, for the period of time intended, under normal operating conditions.
Remove/Removal – The elimination of an item from the final locomotive configuration. This removal shall include all other work required to ensure that the final configuration does not reflect any of the original item installation such as wiring, holes, brackets, etc.
Renew/Renewal – The installation of an identical but new item.
Repair – Correction of specific damage approved by HTSI.
Replace – The installation of a new but different model or design of an item upon removal of the one currently used.
Service Limits – The dimensional tolerance that establishes the wear limit for a component or system to remain in service.
Service Tolerances - The dimensional tolerance that qualifies a component or system for continued service until the next overhaul.
Shipment – The physical departure of the locomotive to and from the Contractor’s facility and to and from the HTSI property.
Specifications – That portion of the Contract describing the technical requirements of the procurement which contain written directions and requirements for completing the Work.
Strip – Work necessary prior to the refurbishment of the locomotive. This Work is completed after the pre-work joint inspection.
Subcontractor – Any person, firm, partnership, corporation or other entity, other than employees of the Contractor, who contracts with the Contractor to furnish labor under the Agreement, but usually provides no Materials other than incidentals.
Supplier – Any person, firm, partnership, corporation or other entity that provides Materials, including those fabricated to a special design, but usually provides no labor other than delivery.
Test – The means by which a part or system is proven to be functioning to its design parameters.
Unit Exchange (UTEX) – A process where components and sub-assemblies are removed and exchanged with an identical component or sub-assembly that was previously overhauled and is ready for immediate installation.
Upgrade – The replacement of a component, subsystem or system to improve quality, standard and/or performance.
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Work – All services and responsibilities to be performed by the Contractor as specified, stated, indicated or implied in the Contract, including furnishing and supervision of all qualified personnel and the supply of all equipment, materials and supplies necessary or required to perform this Contract.
1.03 BASIC DESIGN CONSIDERATIONS AND MAINTAINABILITY A. General
1. The Locomotive design shall make every possible provision for safety ofemployees, for maximum ease and safety of passage through theLocomotive and for ease of cleaning and maintaining.
2. Maintainability of the Locomotive and associated equipment shall be givenprime consideration by the Contractor in the design, overhaul, conversionand upgrade of the Locomotive.
3. No component of the Locomotive shall require scheduled periodicmaintenance anymore frequently than once every ninety-two (92) days,normal inspection and servicing excluded.
4. The Contractor shall ensure that all systems and sub-systems designed intothe Locomotive shall incorporate all available features of installed equipment.
5. Components used in the locomotives shall be operationally compatible and
interchangeable with each other.
6. The reconditioning of major components shall be in accordance with theoriginal equipment manufacturer (OEM) or approved reconditioner’s latestinstructions, subject to Engineer acceptance. Work scopes for all majorcomponent reconditioning shall be provided in the proposal.
7. Renewal parts for major components, including main engine, rotatingelectrical, cooling, fuel, lubrication and air systems shall be OEM approved.
a. HTSI requires that all parts supplied or reconditioned meet therequirements of the OEM of the Locomotives in terms of durability,tolerances, and fitness of purpose.
b. HTSI does not require that parts supplied be purchased from theoriginal manufacturer, as approved by the Engineer, but does requirethat the parts be of OEM quality.
c. The burden of proof of quality of the parts supplied is the responsibilityof the Contractor.
8. Where components or assemblies are specified to be reconditioned, theContractor may at its discretion supply new material.
9. All consumables such as filters, gaskets, seals, brake shoes, diodes, fuses,brushes, lamps, etc., shall be renewed.
10. All small hardware and fasteners affected by the overhaul process shall berenewed.
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B. Basic Requirements1. Apparatus requiring frequent inspection or attention shall be readily
accessible and replaceable.
2. Apparatus supports and housing shall be arranged so that apparatus may bemounted interchangeably to the greatest extent possible.
3. As part of the general requirements for safe construction, the Contractor shallensure that there shall be no sharp edges or corners any place in theLocomotive where operators or maintenance personnel may come in contactwith such edges.
C. Safety AppliancesAll steps, grab irons, and other safety appliances must comply with current Federal Railroad Administration requirements, APTA standards and shall be of a contrasting color.
1.04 REGULATORY COMPLIANCE A. The Locomotives shall comply in all respects with the requirements, applicable
standards and recommended practices of the Federal Railroad Administration(FRA), the Association of American Railroads (AAR), Environmental ProtectionAgency (EPA), the National Transportation Safety Board (NTSB), the AmericanPublic Transit Association (APTA) and all applicable federal, state and local laws,rules and regulations and recommended industry practices and standards ineffect, or known to be pending, at the time of signing the Contract.
B. If a conflict is discovered among any of the above requirements, the followingorder of priority shall govern:
1. FRA - USDOT
2. AAR
3. EPA
4. The Contract documents
5. NTSB
6. APTA
C. In the event of such conflict, the Contractor shall notify HTSI promptly forresolution.
1.05 DESIGN OVERVIEW A. General
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1. Locomotive is a diesel-electric type, with turbocharged prime mover capableof developing 3,000 nominal traction horsepower, including two (2) four-wheeltrucks with traction motors on all axles, and control compartment between shortand long hoods, complete with all necessary apparatus for multiple unit push-pullpassenger operation.
2. An independent, diesel engine-driven alternator provides a minimumcontinuous 425 KW, 480 volt, 60 hertz, and 3 phase electrical power for thehead end power system.
3. Traction power is not used for head end power.
4. Head end power is not utilized by the traction power system, except forlayover protection.
B. Major Dimensions-F40PHM-2C (807-809)1. Length, Over Pulling Face of Couplers:
64 ft.-3 in.
2. Height 15 ft.9 3/16 in. Maximum
3. Width 10 ft.-8.75 in. Maximum over handrails and vents
4. General Statistics
Power for traction 3,000 HP minimum
HEP power 425 KW continuous
HEP voltage 480/3-phase/60Hz
HEP type See Section 12
Diesel Engine Type 16-645E3B
Main Generator Model AR10A6
Companion Alternator D14
Air Compressor Type WLN A9T - 3 cyl.
Storage Battery 500 AH Unitized
Traction Motors D78
Gear Ratio 57:20
Wheel Diameter 40 inches
Wheel Class "B"
Wheel Rim 2-1/2 inches
Wheel Profile 1:40
Journal Boxes Tapered GG
Brake Rigging Single shoe
Brake Shoe Composition
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Air Brake Equipment 26L
Hand Brake Hand wheel type
Dynamic Braking Blended with air brake (with self load test)
Curve Negotiation Capability 33- 175 Ft.
Sand Capacity Hood End 24.5 Cu. Ft.
Sand Capacity Cab End 24.5 Cu. Ft.
Fuel Capacity 2500 U.S. gallons
Waste Oil Retention 100 U.S. gallons
Maximum Weight (loaded) 282,000 lb.
Turbocharger E3C
Auxiliary Generator 55 VAC
Rating 18 KW AC
Cooling Water Capacity 254 gallons
Lubricating Oil Capacity 395 gallons
Major Dimensions-F40PH-2 (810,811) 1. Length, Over Pulling Face of Couplers: 56 ft.-2 in.
2. Height 15 ft.7 5/8 in. Maximum
3. Width 10 ft.-5 1/2 in. Maximum over handrails and vents
4. General Statistics
Power for traction 3,000 HP minimum
HEP power 425 KW continuous
HEP voltage 480/3-phase/60Hz
HEP type See Section 12
Diesel Engine Type 16-645E3B
Main Generator Model AR10A7
Companion Alternator D14
Air Compressor Type 2 Stage WLN - 3 cyl.
Storage Battery 500 AH Unitized
Traction Motors D78
Gear Ratio 57:20
Wheel Diameter 40 inches
Wheel Class "B"
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Wheel Rim 2-1/2 inches
Wheel Profile 1:40
Journal Boxes Tapered GG
Brake Rigging Single shoe
Brake Shoe Composition
Air Brake Equipment 26L
Hand Brake Hand wheel type
Dynamic Braking Blended with air brake (with self load test)
Curve Negotiation Capability 33- 174 Ft.
Sand Capacity Hood End 21 Cu. Ft.
Sand Capacity Cab End 28 Cu. Ft.
Fuel Capacity 1800 U.S. gallons
Waste Oil Retention 100 U.S. gallons
Maximum Weight (loaded) 260,000 lb.
Turbocharger E3C
Auxiliary Generator 55 VAC
Rating 18 KW AC
Cooling Water Capacity 254 gallons
Lubricating Oil Capacity 395 gallons
1.06 GENERAL REQUIREMENTS A. This Specification outlines the specific areas of the Locomotive in which work is
required for renewal, reconditioning, upgrading and/or qualification of parts orapparatus.
1. This specification also describes the degree of overhaul or reconditioningrequired.
2. After overhaul, the Locomotive will attain Tier 0+ EPA emission requirements
and will be certified accordingly through required process.
3. The Electro-Motive Division of General Motors (EMD) MaintenanceInstructions (M.I.s) incorporated into the text throughout the Specification arenot rebuilding specifications, but are guidelines prepared by EMD for themaintenance of the equipment by the user.
4. The M.I.'s have been referenced to assist the Contractor in understandingthe procedures for disassembly, inspection, reassembly and testing of thesubject equipment including a listing of special tools, gauges and fixtures.
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5. The Contractor shall provide work scopes for all major components requiredto be reconditioned for HTSI approval.
B. Replacement of parts or apparatus.
1. The Contractor may, at HTSI's option, unit exchange (UTEX) parts orapparatus for equivalent parts of the same manufacture and meeting therequirements of this Specification.
2. Components furnished by a manufacturer that are assembled, housed, andwired into package units at the point of manufacture, shall be tested at thepoint of manufacture and a certified test report concerning actual tests madeon components being furnished for this Contract shall be mutually agreedupon between the Contractor and HTSI.
1.07 SCOPE OF MAJOR WORK A. The following preliminary work shall be accomplished prior to the overhaul of the
Locomotives:
1. Perform a direct current ground insulation megger test and a high potentialground insulation test on all electrical systems/components as appropriate.
2. Perform a comprehensive inbound inspection on the Locomotive.
3. Prepare a Preliminary Work Scope for HTSI approval.
B. Stripping of the locomotive comprises:
1. Removal of roof hatches, carbody panels, all major components, assembliesand parts included in the work.
2. Cleaning of the entire remaining frame and cab structure to a paintablesurface that shall comply with the painting, lettering and warrantyrequirements.
C. Items to be renewed/replaced shall include, but not be limited to the following:
1. Shock absorbers, yaw dampers and liners (Koni shocks shall beprovided).
2. Pins, bushings and grommets.
3. Coupler carriers.
4. Wear plates.
5. All door hardware, door seals, and weather stripping.
6. Window seals and hardware.
7. Batteries.
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8. HEP trainline cable assemblies and receptacles.
9. HEP engine and replacement system controls and components asrequired.
10. Traction motor blower bellows assemblies.
11. Automatic drain valves.
12. All pressure switches.
13. All magnet valves.
14. All hoses.
15. All air, water, lube oil, and fuel filters and strainers.
16. All gaskets, O-rings, and other sealing devices.
17. Emergency fuel cut-off switch assemblies and boots.
18. Tier 0+ injectors.(EMD)
19. Transfer switch motors (RV, MB).
20. Refrigerator.
21. All electrical cabinet and junction box seals, weather-stripping andinsulation.
22. Starter motors.
23. Control stand lexan panel and switches (807-809).
24. Cab flooring, covering and hardware.
25. Nameplates, placards and decals.
26. Toilet system.
27. Strobe light assemblies.
28. Contactor tips.
29. HEP alternators (807-809).
30.
D. Major components to be reconditioned shall include, but not be limited to, thefollowing:
1. Truck assemblies.
2. Main generator (including renewal of main bearing).
3. Auxiliary generator.
4. HEP alternator (810,811).
5. Prime mover (including Tier 0+ upgrade).
6. Air compressor.
7. Cooling fans.
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8. Inertial blower motors.
9. Cab air conditioning unit.
10. Power assemblies.(EMD)
11. Traction motors.
E. Items to be reconditioned shall include, but not be limited to, the following:
1. 26L air brake system-COT&S.
2. Electric sanding system.
3. Hand brake.
4. Traction motor blower assembly.
5. DB fan motor with new bearings.
6. Radiators, headers and spacers.
7. Cab and carbody including hatches.
8. Engineer and Fireman’s cab seat.
9. Axle alternators.
10. Contactors.
F. Items to be inspected, qualified and repaired/renewed as needed shall include,
but not be limited to, the following:
1. Draft gear housing.
2. MU and communications receptacles and jumper cables.
3. Uncoupling lever assemblies.
4. Safety appliances.
5. All light switches and sockets and low voltage receptacles.
6. Fuel gauges, sight glasses and fills.
7. Battery boxes.
8. Doors.
9. Electrical cabinet structure.
10. Main air reservoirs.
11. Air system uni-rack laminate (all chokes shall be renewed).
12. Bell.
13. Horn.
14. Frame.
15. Fuel tank/retention tank.
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16. DB Grids.
17. Truck springs-Journal and elliptical.
18. A-end coupler assembly.
19. A-end draft gear.
20. B-end coupler assembly.
21. B-end draft gear.
22. Pilot plow.
G. In addition to the above, the following work must be accomplished on allLocomotives:
1. The Locomotive must be thoroughly cleaned, grit blasted as appropriate,primed, and painted.
2. Load test prime mover and main generator.
3. Load test head end power unit.
4. Prepare Locomotive for shipment.
5. Functional road test of Locomotive with train consist.
1.08 MAINTENANCE INSTRUCTIONS A. The latest revision of the following EMD documents shall govern the
reconditioning of major components, supplemented by the manufacturer'sprocedures which must be submitted for review and approval by the Engineer.
B. Main Engine1. 645 E3C turbocharged engine maintenance manual.
C. Main Generator1. MI 3317-1 and 3317-2 and 3322-1 through 5.
D. Auxiliary Generator1. Auxiliary Generator.
2. MI 3612.
E. Air Compressor1. M.I. 1144.
F. Trucks
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2.01 GENERAL
PART 2.00 MATERIALS AND WORKMANSHIP
A. This section is applicable to all parts of the Locomotive.
B. All materials and skillful workmanship shall conform to accepted or better thanindustry standards.
1. Substitution - Substitution of materials, other than those designated, requiresprior review and approval by the Engineer.
2. Joining Surfaces - All joining surfaces shall be clear and free from dirt,grease, scale and other contaminants prior to attachment or joining.
3. Operating Environment - All materials to be used in the overhaul of theLocomotives must be chosen to economically and safely achieve theirfunction for the design life of the Locomotives in the environment outlined.
4. Interior Cleaning - Fabrics and other non-metallic materials used for interiorappointments shall not be affected by industrial compounds used for cleaningsuch materials. When any commonly used cleaner or lubricant will bedetrimental to any material, it shall be noted in the service support manuals.
C. Cleaning During Locomotive Overhaul
1. During Locomotive overhaul, adequate care shall be taken to prevent drillcuttings or other material from entering in areas of tubing, piping or electricalwiring, or accumulating in areas, which become inaccessible aftersubsequent assembly.
2. Where drilling or other work has to be performed after installation of air brakeequipment, piping or electrical equipment or wiring, adequate precautionsshall be taken to prevent metallic or other waste or debris from causingpotential future problems.
D. Before delivery of the Locomotive, a final clean up shall be made to ensure thatall debris is removed. Areas of particular concern, but not limited to these areasare:
1. All electrical junction boxes, lockers, panels, heaters, exposed terminalblocks where retained metallic debris can cause future problems.
2. Oil, water, fuel and air tanks from which debris could be drawn into valves,
pumps, or other equipment.
2.02 CORROSION BETWEEN DISSIMILAR METALS
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A. Where dissimilar metals are in contact, the Contractor shall apply necessarytreatment to prevent electrolytic corrosion.
1. Steel
a. Steel Castings - Steel castings shall be sound throughout, in accordancewith accepted industry practice. When castings are found to be porousor otherwise unsound, they shall be replaced. Under somecircumstances castings may be repaired, but in conformance to priorreview and approval of the repair procedures by the Engineer.
b. All steel castings used in the truck structure shall be made of electricfurnace or controlled open hearth steel and heat treated.
2.03 RUBBER A. Window and Door Sealing - The compounding of the rubber shall preclude
discoloration or staining of neighboring areas, particularly from water drainage.
2.04 GLASS A. The front windshield shall conform to FRA 49 CFR part 223, type 1 requirements;
side glazing shall conform to FRA 49 CFR part 223, type 2 requirements.
2.05 WIRE AND CABLE A. Conductor Gauge - Wire for control and auxiliary circuits shall not be smaller than
No. 16, except that smaller wire where adequate may be permitted for wiringwithin auxiliary control units and electronic units, as approved by the Engineer.
B. All wiring harness will be adequately secured and protected from chafing.
C. No splices.
2.06 WIRING A. General - Wiring methods shall comply with all applicable FRA, AAR and APTA
requirements. Deviations to the requirements may be permitted subject to reviewand approval of the Engineer, provided the proposed deviation meets the intentof the code.
B. Grounding - All electrical circuits shall be completely insulated from Locomotivestructure.
C. Terminals - Terminals for wire and cable shall be of the crimp or soldered type.Terminals shall be applied using methods and tools, recommended by themanufacturer.
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D. Service loops in wiring at terminal board connections shall be provided.Conductors shall be protected by suitable means to minimize breakage of theconductor at or near the terminal.
E. Butt connectors shall not be used. No splices.
F. Underframe Wiring - All underframe wiring shall be run in conduit. Wire ofadequate physical strength may be cleated in place using cleats made of syntheticmaterial, at frequent intervals without conduit or raceways or equipmentenclosures. Wiring shall not interfere with access to any underframe equipment.
2.07 CONDUITS, JUNCTION BOXES AND FITTINGS A. Bend radius of all conduits shall be as large as possible to facilitate wire pull
through. Conduit bends shall be by machine, without wrinkles on the inner surfaceof the bend. Conduit fittings at boxes or bulkheads shall have retained plasticinserts to protect wiring from damage due to abrasion on sharp edges.
B. Suitable loops shall be provided in the conductors at the equipment compartmentsto further minimize the possibility of the entry of water. Where such conductorspass through a structural or other member, means shall be used to preventdamage to the conductors due to chafing or other causes.
C. All covers for underframe fittings pull and junction boxes, etc., shall be gasketed.Fasteners used to retain covers, shall be stainless steel. Use of tapped holes withthreaded fasteners shall be avoided. Anchor nuts or retaining tap plates shall beprovided. Interior of boxes shall be suitably protected by paint againstcondensation and corrosion.
D. All terminal blocks shall be permanently identified including those on sub-contractor supplied equipment. Identification shall be in accordance with pertinentschematic wiring drawings.
E. For maintenance purposes, access to junction boxes, panels, and other wiringareas shall be as easy and simple as possible.
F. All wiring external from equipment lockers shall be enclosed in raceway or in rigidor flexible conduit. (Except at air dryers and magnet valve locations wheresuitable multi-conductors shall be provided.)
2.08 WELDING A. Responsibility – The Contractor shall be responsible for the quality of all welding
and brazing including that which is done by sub-contractors.
B. All welders employed in the making of welds on structures or products built underthis specification shall have been tested and certified to AWS standards assuringtheir ability to operate the welding equipment to be used, in making the types ofwelds required hereunder and to produce satisfactory welds therewith. Standardsfor workmanship quality control and design for steel welding shall be to theContractor’s Standards.
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C. The Contractor shall provide protection from weld spattering onto areas adjacentto the welds, and particularly onto functional equipment.
D. Cleaning - Before welding of any sort is started, parts to be joined shall be properlycleaned of coatings and films such as rust, oxide, mill scale, oil, grease, corrosionproducts and other foreign materials. Any corrosion protection removed forwelding shall be replaced after welding is completed.
2.09 PAINT, PAINTING AND LETTERING A. Each Locomotive shall be completely painted in accordance with the Locomotive
exterior paint scheme including logos, Locomotive numbering and other exteriorlettering to be provided by the Engineer.
B. Materials and General Requirements - Painting materials shall be appliedaccording to the recommendations of paint manufacturer including cleaning andmaterial preparation.
C. All surfaces to be painted will be as free as possible of surface blemishes thatmay detract from the finished appearance.
D. All exterior painted surfaces shall have a three-coat paint application consistingof one primer coat and two finish coats. Interior painted surfaces shall have aminimum of two coats. A final clear coat will be applied to exterior surfaces notwrapped and the cab interior.
E. Interior signs and equipment markings shall be rigid labels securely applied, ordecals or vinyl lettering.
F. Exterior Painting - The Contractor shall paint the exterior of the carbody using anapproved polyurethane high gloss paint or equivalent as approved by theEngineer, of approved colors to an approved paint scheme. At this time, theexterior carbody paint scheme will be a single solid color for application of the Tri-Rail concept wrap, and the roof a dark blue with appropriate anti-skid.
G. Equipment, except couplers and draft gear, outside the Locomotive body includingend sills, shall be painted the same as the carbody. Underfloor equipment andstructure, except control equipment, shall be given at least two coats of rustpreventative paint. The underframe structure shall be cleaned of all scale, flux,etc. and Prime painted before application of finish paint.
I. Interior Paint - The interior of the Locomotive shall be painted using approvedcolor (s).
J. Trucks - The Contractor shall apply one coat of metal primer on all exposedsurfaces of trucks, excepting the wheels, axles, exposed neoprene and brakeshoes. Before installation, the Contractor shall remove all accumulated dust, dirtor other foreign matter by means appropriate to the purpose and shall then sprayand air dry a final coat of high gloss light-bodied approved truck paint, of a typethat will not conceal cracks that may develop in service. Wheels, axles, exposedelastomers and brake shoes shall not be painted.
K. Battery Enclosure - Metal battery enclosure(s) shall be given one coat of anapproved acid resisting paint.
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L. Lettering and Numbering - Lettering, numbering and logos shall be applied to theexterior and interior as applicable, subject to review and acceptance by theEngineer. Breakers, switches and gauges shall be properly and clearly identified.All electrical items such as terminal blocks, relays and resistors shall be clearlyand permanently identified per applicable Locomotive or subcontractor wiringdrawings.
N. Tags and Stenciling - All FRA required stenciling shall be provided, inconformance with FRA requirements. Stainless steel raised or recessed letteridentifying tags shall be applied at all external air and electrical receptacles, andhoses.
2.10 PIPING AND TUBING A. Air Brake Piping Materials - Locomotive body air piping shall conform to the AAR
Standards and recommended practices on brakes and brake equipment.Procedures for cleaning air brake piping before welding, after welding, and beforevalves are installed, shall conform to the AAR Section E "Specification for theWelding of Air Brake Pipe and Fittings for Railroad Cars", E-59-61.
B. Joints and Fittings - Fittings of wrought copper or cast brass may be used. Flarefittings shall be used at removable equipment.
C. Routing and Clamping - All piping shall be installed in a manner allowing forefficient maintenance. It shall be so routed as to preclude or minimize moistureaccumulation and to minimize damage from outside sources. Sufficient clampsshall be installed to prevent vibration and rattling.
D. Water, Fuel and Oil Piping Materials - All piping material shall be in accordancewith accepted industry standards.
E. Control console shall be installed using flexible nylon tubing.
2.11 LUBRICANTS A. Lubricating Oil and Grease - Only lubricants approved for use by the Engineer or
per the following shall be specified for use on Locomotive equipment.
1. Approved Lubricants:
Brake Cylinders -- Air brake cylinder grease to AAR Spec. M-914
Hand brakes -- Locomotive crankcase oil
Air Compressor Crankcase -- ETC Oil R and O 68
Battery Terminals - Rustproof "L" Texaco
Bell Ringer -- Dow Corning type "A" Valve seal
Center Castings -- Journal Box Oil per AAR Specification M-963
Engine Crankcase -- SAE 40 heavy duty additive type lubricant
HEP Engine Crankcase - as approved by the Engineer
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Hardware -- Doors & Window - SAE 10W Oil
Journal Bearings -- To AAR Spec. M-942
Shutters & Linkage -- MP Lithium Grease NLG1 #2, Imperial Unirex EP-2 or Texaco Marfak MP - 2
Traction Motor Support Bearings -- Journal box oil per AAR Spec. M-963
Traction Motor Gear Cases -- TMGL Premium viscosity 5,000-10,000 CPI No. 3
2. All electrical rotating equipment, mechanical blowers and fans shall beequipped with sealed grease lubricated bearings where possible.
3. Lubrication - The Contractor shall make certain each moving part andcomponent is adequately lubricated for railway operation using approvedlubricants.
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3.01 GENERAL
PART 3.00 AIR BRAKE SYSTEM AND AUXILIARIES
A. The 807-809 Locomotives are equipped with North American industry standardunitized 26L locomotive air brake equipment. The 810, 811 Locomotives areequipped with standard non-unitized 26L air brake equipment.
B. The entire power brake system, including the handbrake, all valves, valveportions, and cocks, including related dirt collectors and filters shall be inspected,overhauled, and tested in accordance with the periodic tests required by 49 CFR 229(The activity scope and vendor to be reviewed and approved by HTSI).
1. All components of a given function shall be identical for all Locomotives.
2. All air brake component work shall be done at an AAR approved facility.
C. The uni-rack assembly shall be qualified and all chokes renewed.
3.02 PERFORMANCE A. The Locomotives shall operate in complete compatibility with the existing Tri-Rail
fleet in consists of two (2) to ten (10) push-pull passenger cars equipped with 26-L, 26-C and/or CCB2 brake equipment.
3.03 BRAKE PIPING, LINES AND HOSES A. All steel or iron piping/fittings, copper lines/fittings and hoses/fittings shall be
thoroughly cleaned, inspected, tested, and repaired or replaced in kind asrequired.
1. Missing clamps shall be replaced.
B. Brake cylinder hoses shall be new AAR approved.
C. Air brake system trainline hoses shall be new AAR approved.
3.04 AIR COMPRESSOR AND AIR DRYER A. The WLN type compressor shall be reconditioned and tested in accordance with
the manufacture’s guidelines as noted in M.I. 1144.
B. Air compressor drive shaft bushings/grommets shall be new in accordance withthe manufacturer's instructions.
C. The air compressor governor switches shall be renewed and adjusted to maintainreservoir pressure between 130 and 140 psi.
D. All piping to AC heads, unloaders and intercooler shall be SS braided hose.
E. The filler plug shall have provision for sealing.
F. Air compressors shall be equipped with a crankcase oil level gauge.
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3.05 GAUGES AND FITTINGS A. Gauges shall be new 4.5 in. (114.3 mm) Salem 796-50 duplex gauges with black
background.
B. Test fittings shall be provided at all gauges.
C. Labeling of the gauge is to be on the console panel and not on the face of thegauge.
3.06 MAIN RESERVOIR A. Main reservoirs shall be hydrostatically tested to 300 psi in accordance with the
procedures of 49 CFR 229.31.
1. Failed reservoirs shall be replaced with Engineer accepted replacements.
2. Following successful testing, the reservoirs shall be primed, painted, andstenciled.
B. New Salem 880 automatic drain valves shall be provided on both reservoirs.
C. Blow-down of filters and automatic drain valves shall be actuated by a newSalem 872 timer.
D. The J-1 Safety valve set at 150 psi (1034 kpa) shall be overhauled in accordancewith the manufacturer's instructions and tested to comply with the requirementsof 49 CFR 229.49.
E. Control and equalizing reservoirs shall be inspected and tested in accordancewith 49 CFR 229.31.
1. Failed reservoirs shall be replaced with Engineer accepted replacement.
3.07 WARNING DEVICES A. The five (5) chime Nathan horn and electronic bell shall be reconditioned in
accordance with the manufacturer's instructions.
B. The horn valve, bell actuator and other related components shall bereconditioned.
3.08 BRAKE CYLINDERS 9 INCH WABCO OR APPROVED EQUAL A. Brake cylinders shall be overhauled as follows:
Install new cups
Install new filters
Install new gaskets
Inspect and repair piston rod
Replace spring with new
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B. Overhauled brake cylinders shall comply with the requirements of 49 CFR 229.55.
3.9 TESTING A. After overhaul is completed, the complete air system performance shall be
thoroughly tested in compliance with 49 CFR 229.
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PART 4.00
SANDING 4.01 SAND TRAPS
A. Sand traps shall be renewed with new Salem 277-2 sand traps.
4.02 SAND BOXES A. Sand boxes, access covers and fill lids shall be cleaned, inspected, and repaired
as required.
1. Replace cover/lid seals with new.
2. Clean and paint interior of sand boxes.
3. Fills shall be provided with new screens.
B. Hoses and Nozzles.
1. Inspect and repair mounting brackets and supports and replace if bent or broken.
2. Renew all hoses with heavy duty integrally guarded material.
3. Renew all nozzles with EMD Part No. 8328553 nozzles.
4.03 SYSTEMS A. Air System
1. Clean, flush, test, and repair or replace air piping/hose system as required.
B. Electrical Systems
1. Clean, inspect, test, and repair or replace electrical system as required.
2. Control switches and solenoids shall be reconditioned.
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PART 5.00 ELECTRIC AND PNEUMATIC TRAINLINES
5.01 JUMPER CABLES A. 1. HEP train line cables shall be renewed and cable holders provided.
2. Simplified instructions for connecting, disconnecting, and storing of jumpers,including safety precautions, shall be provided at the No. 2 end left side endplate of the Locomotive.
5.02 RECEPTACLES A. Existing M.U. receptacle assemblies shall be cleaned, inspected, tested, and
repaired or renewed as required.
B. Existing HEP receptacle assemblies shall be cleaned, inspected, tested, andrepaired or renewed as required.
C. Appropriate warning and identification of HEP receptacles shall be provided oneach end of Locomotive.
5.03 PNUEMATIC A. All hoses and heads shall be renewed.
B. Hoses shall be less then one (1) year old from date of manufacture at time ofinstallation.
C. New dummy hose couplings and chains shall be provided at both ends of thelocomotive.
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PART 6.00 ELECTRICAL SYSTEM
6.01 ROTATING ELECTRICAL A. The Locomotive rotating electrical apparatus identified in Section 1.07.D shall be
reconditioned in accordance with the specifications of the OEM.
6.02 ELECTRICAL, WIRING, CONTROL AND LIGHTING A. Wiring - General
All new wiring conductors shall be stranded copper conforming to basic standardsof APTA, FRA, AAR and U.L.
Microprocessor system will include protection against spikes and surges.
Each wire and cable shall be clearly marked at both ends adjacent to the terminalswith designation according to the wiring diagram with a permanently markedsleeve or permanent stamping on the conductor jacket. The location of wireidentifications shall allow for the requirement of three renewals of terminals.
All wiring singly and in bundles or trees, shall be supported to prevent theimposition of undue strain on the terminals. Sufficient extra wire shall be providedat all terminal points to prevent strain and allow three renewals of the terminals ifrequired. The extra wire shall be neatly dressed back into the wiring bundles.
Wiring bundles shall be liberally supported and secured with self-locking nylonstraps of suitable width to prevent cutting of the wire insulation. Wiring bundlesshall be suspended clear of the Locomotive floor and routed away from areas ofcontamination such as the alternator and engine sumps.
All panel board wiring shall be applied in a neat and secure manner.
Wires entering or leaving electrical cabinets shall be protected from chafing by anipple - bushing arrangement.
The engine actuator wiring harnesses shall be routed to ensure it cannot be usedas handhold or footstep. All wiring circuits shall be tested to verify continuity,proper polarity and integrity of insulation after assembly and installation of allequipment. The Contractor shall submit to the Engineer a test plan for his reviewand approval.
B. ELECTRICAL CONTROL CABINETS1. The electrical control cabinets shall be cleaned, inspected, repaired as
required and tested.
2. Adjust lock keepers.
3. Check timing of all time delay devices.
4. Renew device identification name plates/tags as required.
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5. Power/Brake contactors and RV/MB magnetic contactors shall be reconditioned. All contact tips shall be replaced.
6. RV and MB transfer motors shall be renewed.
7. Cooling fan contactors shall be reconditioned. All contact tips shall be replaced.
8. ST and STA contactors shall be reconditioned. All contact tips shall be replaced.
9. GF, GFA and GFD contactors shall be reconditioned. All contact tips shall be replaced.
10. Renew all thermal/acoustical insulation and seal/gasket material.
6.03 STORAGE BATTERY A. The batteries shall be renewed with Exide unitized 500 A.H. or greater capacity
with an 8-hour discharge rate.
6.04 BATTERY BOXES A. Battery boxes and grates shall be cleaned, inspected and repaired as required.
B. The interior shall be painted with a corrosion resistant paint.
6.05 DYNAMIC BRAKE A. Dynamic brake grids shall be qualified.
B. Fan motor will be reconditioned with new bearings.
6.06 ENDLIGHTS A. Headlight assemblies shall be inspected and repaired as required with all
seals/gaskets renewed.
B. Marker light assemblies shall be inspected and repaired as required with all seals/gaskets renewed.
C. Ditch light assemblies shall be inspected and repaired as required with all seals/gaskets renewed.
6.07 ENGINE COMPARTMENT LIGHTING A. Installation of two (2) each 3000 lumens 110vac LED (50w) light assemblies on
each side of the locomotive main engine compartment and three (3) each 3000 lumen 110vac LED (50w) light assemblies in the HEP compartment. Power shall be provided through a long hood compartment mounted switch that shall be supplied by HEP and wayside provided 110vac. Design to be approved by HTSI.
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7.01 ENGINE
PART 7.00 ENGINE SYSTEM
A. The EMD 16-645-E3B engine shall be reconditioned in compliance with EMD M.I.9666 and modified to meet Tier “0+” emissions standards per 40 CFR Part 90.
B. The following components will be renewed:
1. Main bearings
2. Connecting rod bearings
3. Injectors – Tier 0+ - spring loaded injector control linkage shall be qualified.
4. Lash adjusters
5. Fuel pump
6. Soak back pump
7. Turbo screen - "Starburst" type
8. Exhaust silencer
9. Exhaust expansion joints
10. Filters
11. Valve keepers
12. Viton seals
13. Woodward Governor (if QES III application is not optioned)
14. 4 Pass Aftercooler with copper core
15. Cylinder test valves “T” handles
16. Camshafts
17. Starter motors
18. Gear damper
19. Lube oil gauge
C. The following components may be reconditioned or unit exchanged; including butnot limited to:
1. Turbocharger – EMD.
2. Water pumps - perform spring pin modification.
3. Lube oil pumps (scavenging and piston cooling).
4. Turbo soak back pump motor.
5. Strainer housing.
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6. Michiana tank.
7. Lube oil cooler tank.
8. Hand hold covers.
9. Auxiliary generator drive.
10. Main generator flexible coupling.
11. Flywheel ring gear.
12. Heat shields.
13. Fuel pump motor.
14. Lube oil cooler core.
15. Power assemblies.
D. Only new Viton seals, O-rings, seals, bushings, grommets, etc., shall be used inthe reassembly and installation of equipment.
F. Engines shall be cleaned and masked as necessary and given two coats of self-priming high temperature light gray color paint, including the interior of the crankcase and oil pan.
1. After installation of engine in Locomotive, touch-up finish coat of paint asnecessary to achieve a smooth surface for effective cleaning.
G. A replacement data plate shall be attached to the side of the engine block showingthe name of the rebuilder, the date of the remanufacture, the serial number of theengine, and any other pertinent information.
7.02 ENGINE COOLING A. Mechanical bonded radiator cores shall be cleaned, inspected, tested and
repaired in accordance with M.I. 549 of the latest revision, or renewed.
1. Headers and spacers are to be qualified for reuse or replaced with new.
2. No more than 10% of tubes are to be crimped or plugged.
7.03 TEMPERATURE CONTROL A. Cooling fan sequencing will be microprocessor controlled.
7.04 NDE TESTING A. Inspect and test all areas of the block and crankcase. Ensure areas that typically
are subject to failure e.g., Block A frame, head pot seats, etc. are included.
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PART 8.00 TRUCKS
8.01 TRUCKS A. Existing trucks on the locomotives shall be removed from the locomotive,
completely disassembled, inspected, overhauled, and reapplied. This shallinclude the components of the traction motor combos.
1. Trucks shall be reconditioned in accordance with guidelines noted in EMDM.I.s 1504, 1511, 1512, 9672, and 9674 of latest issue.
2. Inspection necessary to confirm the long term structural integrity of the truckwill be performed by the Contractor.
3. The inspection procedures for these trucks shall be presented to theEngineer for review and acceptance.
B. Trucks shall be equipped with new yaw damping devices, qualified journalsprings and low profile elliptical springs and new Koni vertical and lateral shockabsorbers including grommets and bushings. Grade 8 fasteners shall be used.
C. New non-metallic Nylatron EMD pedestal liners shall be supplied and installed.
D. Qualified elliptic, low-profile, steel springs shall be installed in the secondarysuspension, per EMD MI 9674.
E. Prior to re-assembly of the trucks, they shall be thoroughly cleaned of dirt,grease, oil, rust, primed and painted with a coat of HTSI approved paint that willnot conceal cracks that may develop in service.
F. Truck and truck parts shall be fully interchangeable with similar items on similarlocomotives.
8.02 TRUCK BRAKES A. Single shoe brake rigging shall be provided on each wheel, operated by individual
brake cylinders, per MI 9672.
1. Cobra composition brake shoes shall be provided.
2. Pin type slack adjusters shall be cleaned, inspected and repaired or replacedin kind.
3. All new brake pins and bushings shall be provided which shall be hardenedand ground.
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PART 9.00 CARBODY
9.01 GENERAL A. Restoration
1. Use structural materials for replacement and repairs which are equivalent tothose used for the original construction.
2. Repair or replace any structural or supporting member whosecross- sectional area has been reduced by 10% or more.
3. Insulate and weatherproof the finished locomotive to meet all applicableFRA standards.
4. Drain holes, weather-stripping, sealants, and other measures shall beused to prevent premature carbody deterioration.
5. The underframe and structural components of the finished locomotive forcollision strength purposes shall be equivalent to new for the overhauledlocomotive.
9.02 UNDERFRAME A. Underframe shall be cleaned and inspected for cracks and alignment, including
center of bolsters and all defects shall be corrected.
B. Replace all traction motor blower bellows assemblies.
9.03 EXTERIOR LOCOMOTIVE BODY A. Clean and inspect entire exterior of locomotive for corrosion and damage.
B. Major exterior locomotive components shall be ASTM A36 welded steelconstruction or other materials, as appropriate, subject to acceptance by theEngineer.
1. Small tears, holes and cracks that have penetrated through the car bodysides, ends and roof shall be welded closed, the area grit blasted clean,body putty applied and ground smooth, and the area primed in preparationfor painting.
2. Minor dents, deep scratches, brush-burns, and corroded areas, that wouldbe noticeable after finish painting shall be grit blasted clean, body puttyapplied and ground smooth, and the area primed in preparation forpainting.
3. Where corrosion has penetrated more than 40% of the base metal, a patchplate of equivalent thickness shall be welded over the affected area afterthe corroded area has been grit blasted clean and a rust inhibitor primerapplied.
4. All welds in car body side sheets shall be ground smooth.
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5. Particular attention shall be given to minimize distortion of side platesduring welding.
6. Hollow areas, dents and voids shall be properly filled and ground smoothto present an unblemished finish.
9.04 LONG HOOD A. Existing side body engine room man and equipment access doors must be
cleaned, inspected, and repaired to correct wear and assure positive latching.Provisions for latching equipment access doors in the open position shall beprovided.
1. All damaged areas shall be repaired and primed.
2. All hardware shall be renewed.
3. Install detachable gangway safety chains at all engine room equipmentaccess doors. HTSI shall approve chain, chain sheathing and method ofattachment before application.
9.05 INTERIOR CARBODY A. The entire interior of the locomotive body shall be thoroughly cleaned of dirt,
grease, and oil and then inspected for corrosion and damage.
B. Shutter valves, operators, and shutter assemblies shall be cleaned, inspected,tested, and repaired or replaced as required.
C. Engine cooling water tank and filler necks shall be cleaned inspected, leak-tested, and overhauled or replaced in accordance with guidelines noted inM.I. 550 of latest issue and new caps applied.
D. All cooling fans, including the HEP cooling fan, dynamic brake fans and motorassemblies shall be cleaned, inspected, tested, and overhauled or replaced, andbalanced as required in accordance with guidelines noted in MIs 4104D and4105 of latest issue.
E. Inertial air discharge motors and fans shall be cleaned, inspected, tested, andoverhauled or replaced in accordance with guidelines noted in M.I. 3614 of latestissue.
1. Inertial filters shall be removed, cleaned, inspected, and qualified orreplaced.
9.06 MISCELLANEOUS CARBODY A. The complete carbody shall receive acoustical treatment to reduce noise
emission.
9.07 END ARRANGEMENTS
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A. Clean and inspect pilot plates of locomotive for damage, and recondition toreturn to original construction.
B. Clean and inspect buffer plates at rear of locomotive for damage, and repair or
replace as required.
C. Couplers and Draft Gear
a. Couplers shall be qualified and repositioned A-end to B-end and B-end toA-end.
b. Draft gears shall be qualified and repositioned A-end to B-end and B-endto A-end.
c. All cushion elements shall be qualified.
d. All hardened bushings, pivot pins, and dual alignment control featuresshall be qualified.
D. Clean, inspect and qualify plow for damage and recondition as required.
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10.01 INTERIOR
PART 10.00 CAB
A. Ceilings and side sheets shall be removed, cleaned, inspected and repairedor replaced in kind.
B. Side paneling under windows shall be removed, area thoroughly cleaned ofdirt and corrosion, and inspected to determine the extent of repairs, and allmaterials repaired or replaced as required.
C. Thermal/acoustic insulation material shall be renewed.
D. Underfloor and short hood compartments shall be thoroughly cleaned andrepainted.
E. Interior of main compartment shall be completely repainted and relettered,placarded and decaled.
F. Combustible interior materials shall comply with 49 CFR Part 238.103 andthe Contractor shall provide the appropriate documentation in report formverifying same.
10.02 CAB SEATS A. The existing engineer’s seat shall be reconditioned.
B. The existing fireman’s seat shall be reconditioned.
10.03 CAB HVAC SYSTEM A. Existing 74 volt cab heater shall be cleaned, inspected, tested, and repaired or
replaced as required.
B. Cab side wall heaters, including guards, shall be cleaned, inspected, tested,repaired or replaced as required.
C. The roof mounted air conditioning system shall be reconditioned or renewed toMEI/Prime.
10.04 INSULATION A. Thermal/acoustic type insulation, in accordance with Contractor's specifications
for the standard Locomotive model shall meet the acoustic requirements of 82+/-2 dba on a time weighted, duty cycle basis.
1. Non-flammable thermal and acoustic insulating material shall be installed incab.
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2. Contractor will submit recommended material for thermal/acoustic insulation, including samples, to the Engineer for review and acceptance prior to procurement of the material.
10.05 FLOORING A. Existing one inch thick Benelex flooring shall be retained.
B. Existing trap door shall be reconditioned or replaced, and all hardware shall be renewed.
C. New Nora smooth anti-skid floor covering shall be installed.
D. New stainless steel trim/molding shall be installed.
10.06 GLAZING, DOORS, AND WINDOWS A. Glazing material shall be removed, cleaned, inspected and reinstalled, as
required, and all weather-stripping/gasket material renewed.
1. Glazing that is broken, cracked, crazed, clouded or damaged in any way shall be replaced.
2. All windshields shall be equipped with electric defrosters.
B. Cab short hood, cab doors and engine room doors shall be cleaned, inspected and repaired as needed, hinges to be seal welded, and all hardware renewed.
1. Viton cab door and engine room door seals shall be installed.
2. All weather-stripping/gasket material shall be new.
C. Moveable and fixed windows including sash, track and latches shall be cleaned, inspected, tested and repaired or replaced, as required, and all weather- stripping/gasket material renewed. Drainage design shall be reviewed to ensure positive drainage is achieved. Design to be HTSI approved.
D. All cabinet doors and other access doors and panels including hardware shall be cleaned, inspected, and repaired or replaced as required.
10.07 WINDSHIELD WIPERS A. Air operated wipers shall be reconditioned.
1. All wiper arms shall be replaced.
2. All wiper blades shall be replaced.
3. All associated piping shall be inspected, and repaired or replaced as necessary.
10.08 OPERATOR'S CONTROLS AND SWITCHES A. The operating control panel located at the lower left of the console shall have all
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switches and indicators renewed and a new lexan panel provided (807-809).
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B. The controller to be reconditioned.
C. All other switches, controls and indicators to be inspected, qualified and tested forproper function and repaired or replaced as necessary.
10.09 EVENT RECORDER/VIGILANCE/SPEED INDICATOR SYSTEM A.
The Contractor shall provide an all-inclusive quote for replacement of the existing event recorder system to a Bach-Simpson No. 54300 Event Recorder System
with Vigilance control and speed indication.
10.10 MISCELLANEOUS CAB EQUIPMENT A. New cardholders for FRA card forms shall be provided.
B. The cab refrigerator shall be renewed.
C. The Prime wind deflectors/mirrors shall be renewed.
D. New weatherproof padded arm rests shall be installed on both sides of the cab atthe lower edge of operable portion of the side windows.
E. All head bump pads shall be renewed.
F. All visors shall be renewed.
10.11 OTHER OPERATOR’S CONTROL A. The engine control (isolation) panel shall be cleaned, inspected, tested and
components repaired or replaced as required.
B. The HEP Cab Remote Panel shall be cleaned, inspected, tested, andcomponents repaired or replaced as required.
10.12 SHORT NOSE A. The toilet assembly shall be replaced.
1. Toilet dump piping shall be upgraded to schedule 80 pvc pipe.
B. The short nose door courtesy lock shall renewed.
10.13 MICROPROCESSOR A. The Proposer shall provide an all-inclusive quote for installation of a Qtron QES
III microprocessor control system replacing the current Dash 2 control system.The microprocessor system application shall include all necessary ancillaryequipment and devices required e.g., actuator, AESS, cooling fan control,sensors, transducers, etc. The QES systems shall be of the latest revision(hardware and software) and include Level II access for maintenance personnelfor calibration and other related maintenance activities.
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11.01 FUEL TANK
PART 11.00 FUEL SYSTEM
A. Fuel and retention tanks shall be cleaned inside and outside, inspected andrepaired as required.
1. Fuel tank rock guards shall be cleaned, inspected and repaired as required.
11.02 GAUGES A. Fuel level gauges shall be cleaned, inspected, tested, and repaired or replaced
as required.
B. Sight gauges shall be removed, cleaned and qualified.
11.03 EMERGENCY FUEL CUTOFF A. EFCO switch assemblies and boots shall be renewed.
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PART 12.00 HEAD END POWER
12.01 GENERAL The Locomotive shall be equipped with a CAT C18 diesel engine/Marathon alternator head end power (HEP) plant which shall produce electric power for heating, lighting, air conditioning and other hotel power needs of connected passenger cars.
12.02 ALTERNATOR A. The 810-811 alternators shall be rewound to OEM specifications. The 807-809
alternators shall be new.
12.03 ENGINE A. A C18 Caterpillar head end power engine/generator package rated at 425KW,
480V, 3PH, 60 Hz, 1800 RPM for continuous railroad duty with a load powerfactor of 0.9 shall be provided.
B. Qualify the HEP expansion tank and sight gauge.
C. Renew the coolant level gauge.
12.04 ELECTRICAL A. The AC contactor shall be reconditioned.
B. The HEP cooling fan shall be reconditioned.
C. The HEP inertial/motor system shall be reconditioned.
D. Renew HEP cabinet pancake fans.
E. Renew all contact blocks on relay cabinet push-button applications.
F. Renew instrument clusters on HEP relay cabinet.
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PART 14.00 RADIO AND COMMUNICATIONS
This Section intentionally left blank.
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PART 15.00 STYLING AND PAINTING
15.01 PAINT, PAINTING AND LETTERING A. Each Locomotive shall be completely prep painted in accordance with the
Locomotive exterior paint scheme. Locomotive number boards and other exteriorlettering to comply with FRA regulations and be consistent with Tri-Railconfiguration.
B. The Contractor shall provide the following:
1. Materials and General Requirements - Painting materials shall be appliedaccording to the recommendations of paint manufacturer including cleaningand material preparation.
2. All surfaces to be painted will be as free as possible of surface blemishesthat may detract from the finished appearance.
3. All exterior painted surfaces shall have a three-coat paint applicationconsisting of one primer coat and two finish coats. Interior painted surfacesshall have a minimum of two coats. A final clear coat will be applied toexterior surfaces and the cab interior.
4. Interior signs and equipment markings shall be rigid labels securely applied,or decals or vinyl lettering.
5. Exterior Painting –The Contractor shall paint the exterior of the carbody usingan approved polyurethane high gloss paint or equivalent as approved by theEngineer, of approved colors to an approved paint scheme. At this time, theexterior carbody paint scheme will be a single solid color for application ofthe Tri-Rail concept wrap, and the roof a dark blue with appropriate anti-skid.
6. Equipment, except couplers and draft gear, outside the Locomotive body,including end sills, shall be painted the same as the carbody. Underfloorequipment and structure, except control equipment, shall be given at leasttwo coats of rust preventative paint. The underframe structure shall becleaned of all scale, flux, etc. and Prime painted before application of finishpaint.
7. Interior Paint - The interior of the Locomotive shall be painted using approvedcolor (s).
8. Trucks – The Contractor shall apply one coat of metal primer on all exposedsurfaces of trucks, excepting the wheels, axles, exposed neoprene and brakeshoes.
9. Before installation, the Contractor shall remove all accumulated dust, dirt orother foreign matter by means appropriate to the purpose and shall thenspray and air dry a final coat of light-bodied approved truck paint, of a typethat will not conceal cracks that may develop in service. Wheels, axles,exposed elastomers and brake shoes shall not be painted.
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10. Equipment Compartment and Locker Paints - The inside of all controlequipment compartments, electrical lockers and junction boxes shall receiveat least two coats of an approved white paint.
11. Battery Enclosure - Metal battery enclosure (s) shall be given one coat of anapproved acid resisting paint.
12. Lettering and Numbering - Lettering, numbering and logos shall be appliedto the exterior and interior as applicable, subject to review and acceptanceby the Engineer. Circuit breakers, switches and gauges shall be properly andclearly identified. All electrical items such as terminal blocks, relays andresistors shall be clearly and permanently identified per applicableLocomotive or subcontractor wiring drawings.
13. Tags and Stenciling - All FRA required stenciling shall be provided, inconformance with FRA requirements. Raised letter identifying tags shall beapplied at all external air and electrical receptacles, and hoses.
14. Apply anti-skid on the entire roof including around the stack, grid blower andshort nose.
15. The locomotive exterior shall include renewed reflective vinyl reflective film.
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16.01 GENERAL
PART 16.00 INSPECTIONS AND TESTS
A. Prior to final acceptance, tests shall be performed in accordance with previouslysubmitted and approved test procedures. The results of these tests mustdemonstrate compliance with all test and specification requirements.
16.02 TEST PROCEDURES A. Unless otherwise specified, the Contractor's standard test procedures for this
submitted model Locomotive shall apply. To expedite Final Acceptance, testprocedures to be used shall be reviewed by the Engineer prior to testing. Testresults shall be submitted to the Engineer for review and approval.
B. IN-PLANT TESTS - The following tests shall be performed on the Locomotivesand their components:
Test Scope Functional Test All Locomotives
Brake Tests
Blended Brake Test All Locomotives
Air Brake Test All Locomotives
Handbrake Test All Locomotives
Road Brake Test All Locomotives
Electrical Tests
Locomotive SequenceTest All Locomotives
Locomotive Electrical Test All Locomotives
Carbody Water Tightness Test All Locomotives
Clearance Test One Locomotive
Miscellaneous Tests:
Truck, Coupler and
Cable Clearance test All Locomotives
Headlights, Various
Light Adjustment All Locomotives
Fuel Fill All Locomotives
Locomotive Track All Locomotives
Test
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Qualification Test All Locomotives
Wheel Slip/Slide All Locomotives
Test
Sound Test All Locomotives
In Cab Sound Test All Locomotives (not to exceed FRA requirement 82 +/- 2 dba).
HEP Test All Locomotives
C. Written Reports - Written reports of all tests performed on the Locomotives and their components shall be submitted to the Engineer. Results of tests required by the Specification which are performed on all Locomotives or all components shall be included in the Locomotive History Book.
D. General Test Requirements - All tests shall be performed at facilities of the Contractor. All tests and test facilities shall be approved by the Engineer.
1. The Contractor shall identify track of proper length and alignment to permit implementation of the qualification track tests required. These tests shall be conducted by and at the expense of the Contractor.
2. All working and moving parts, and all operating devices and controls of each Locomotive and its apparatus, shall be tested and put in proper operating condition before Locomotives are accepted. The Contractor shall perform all of the adjustments specified herein.
3. Should the Locomotive be disassembled in any way for shipment, it shall be given an operational test upon reassembling at the delivery point on the track provided by HTSI, at the expense of the Contractor.
4. After receipt of the Locomotive at the designated delivery point and before passing into regular operation; each Locomotive will be carefully inspected by HTSI and Contractor personnel and any part, device or apparatus requiring adjustment, repair or replacement will be called to the attention of the Contractor, in writing, who shall make adjustment, repair or replacement at the Contractor's own expense.
5. HTSI reserves the right to make, at its own expense, additional operating tests of Locomotives within the parameters set out in this Specification. The Contractor shall assign a competent representative to witness such operating tests. Any defects disclosed by such tests, in apparatus, material or workmanship shall be corrected at the Contractor's expense. All expense and costs incurred in the removal of Locomotives from the designated delivery point for correction of defects shall be borne by the Contractor.
6. Official final acceptance of the Locomotive by HTSI shall be performed after all tests are successfully completed in accordance with the requirements stated except as noted, all costs and expenses incurred in performing these
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tests, including transportation to and from the test tracks, shall be borne solely by the Contractor.
16.03 BRAKE TEST A. The following brake tests shall be performed by the Contractor:
1. Road Brake Test - A road brake test shall be performed.
2. The road brake test shall be performed in conjunction with the LocomotiveTrack Test. A single Locomotive shall also be tested to determine stopdistance and wheel temperatures up to maximum authorized speed at 10mph increments.
3. Blended Brake Test - On each Locomotive, the blended air/dynamic brakesshall be functionally tested in accordance with the Contractor's standards sothat the current settings control calibration, etc., meet the performancerequirements.
16.04 QUALIFICATION TESTS A. The following qualifying tests shall be performed:
Sound Levels Test Clearance Test
Road Brake Test Blended brake Test
Trainline Test Trainset Track Test
Performance Test
B. All charts of data recorded shall be treated for permanence, and shall become theproperty of HTSI.
16.05 CARBODY WATER TIGHTNESS TESTS A. Each Locomotive shall be tested for water tightness, as described below:
B. After construction is completed all areas of the sides, ends, and roof, includingdoors and windows, of the Locomotives shall be given a complete test for watertightness. Water shall be sprayed from nozzles which are spaced no more thanthree feet from and aimed directly at the surface being tested. Not less than 0.625gallons per minute shall be delivered to each square foot of surface being tested.Velocity of water shall not be less than 150 ft. per second. The Contractor willtest completed Locomotive, cab and carbody sides for water leaks. Thelocomotive shall be under power with all auxillaries on at no more than 1 MPH.Any leaks found will be repaired by the Contractor.
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16.06 FUNCTIONAL HVAC TEST A. The HVAC system shall be functionally tested with average mean temperature at
72 degrees subject to South Florida ambient conditions. Controls shall be checked and adjusted for temperature distribution and proper volume of air.
16.07 BODY AND COLLISION POSTS TESTS A. No body or collision post compression tests shall be required if the following
conditions are met:
1. An existing design is used without significant structural change; and
2. The existing design has been embodied in a Locomotive which passed a satisfactory compression test for which adequate records exist and
3. It can be agreed between the Engineer and the Contractor that the total weight of this Locomotive does not exceed that of the tested Locomotive by more than 5%.
16.08 MISCELLANEOUS BODY TESTS AND ADJUSTMENTS A. The following tests and adjustments shall also be performed.
1. Locomotive Headlight - The headlights at each end and the ditch lights on each Locomotive shall be aimed and adjusted to meet the required FRA beam characteristics.
2. Locomotive Fueling - The Locomotive shall be fueled to assure fueling capabilities and proper operation of fuel cut off devices.
3. Clearance Check – The Contractor shall perform tests to determine the tilt angle of the carbody when standing on track with a super-elevation of 6 inches. Worst case conditions shall be shown for fully worn wheels and broken springs.
4. Drawings and written reports of these tests shall be submitted for approval. Preliminary clearance drawings shall be provided within 30 days following contract award.
5. Weighing – The Contractor shall weigh each Locomotive at shipment and furnish a weight ticket to the Engineer. Each end of each Locomotive shall be weighed individually to check for weight distribution. Locomotives shall be weighed with allowance included for estimated full supplies.
16.09 LOCOMOTIVE ELECTRICAL TESTS A. The following electrical tests shall be performed:
1. Test all wiring circuits to ensure continuity and polarity after assembly and installation of all equipment.
2. Brake a direct current ground insulation test on each Locomotive as follows:
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a. disconnect all ground wires;
b. disconnect the storage battery at its terminals:
c. each nominal voltage circuit shall be megger tested using a 500-volt megger and the insulation resistance shall not be less than two Megohm. During this test, ground all other circuits. If this test shows freedom from grounding connections, the high potential test specified below shall be applied.
3. Reconnect ground connection and storage battery and then test all circuits
on each Locomotive for proper functioning.
4. Components that are assembled, housed, and wired into package units at the point of manufacture shall be tested at the point of manufacture and a certified test report concerning actual tests made on components being furnished for this Contract shall be attached. Requirements for these certified tests shall be mutually agreed upon between the Contractor and the Engineer.
16.10 LOCOMOTIVE BRAKE TESTS A. The following brake tests shall be performed by the Contractor:
1. Air Brake Tests - Air brakes shall be tested and adjusted for performance complying with FRA regulations. Also, tests recommended by AAR and the brake Manufacturer shall be performed when not in conflict with FRA regulations.
2. Hand Brake Test - The hand brake on each Locomotive shall be tested. On the first Locomotive, a test to prove compliance with the Specification shall be performed using first new and then fully worn brake shoes. On the other Locomotives, a functional test shall be performed using new shoes.
16.11 LOCOMOTIVE SEQUENCE TESTS A. A complete sequence test shall be made on each Locomotive, including front-rear
sequence changes, relays and switches, sanding, auxiliary motor starting circuits, wheel slip control, main propulsion and braking, main circuit breaker, calibration of safety relays, meter calibration, excitation, and any other testing required to insure that all circuits are performing properly.
16.12 SOUND TEST A. Sound level measurements shall be performed during the qualification track tests
on a Locomotive as well as statically with all auxiliary equipment operating using a standard sound level meter to determine sound levels in the cab and externally. The DB readings in the cab shall not exceed 82 +/-2DB.
16.13 NORMAL AND EMERGENCY
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A. Horn test 97 Dba @ 100’ = normal - adjust
Adjust to louder than normal emergency.
16.14 HEP TEST
A. The Head End Power source tests shall include, but not be limited to Voltage, Current, Frequency, and output in KW. The load shall be varied over the full range up to 110% of full load.
16.15 LOCOMOTIVE TRACK TEST A. The completed Locomotive with a trailing load equivalent to 6 bi-level cars shall
be track tested. This test shall demonstrate the satisfactory operations of all control systems, auxiliary systems, propulsion systems, braking system alarm circuits, and shall be conducted at a site approved by the Engineer. The test shall demonstrate the performance and ride quality characteristics of the Locomotive.
B. This test shall be conducted by and at the expense of the Contractor, except if bi- level cars are required which would be born at the expense of HTSI. The test shall demonstrate the operational performance of the Locomotive regarding acceleration, maximum running speed and braking.
C. The data recorded during the tests shall include, but is not limited to, the following:
Acceleration
Deceleration
Traction motor current
Traction motor voltage
Brake pipe pressure
Locomotive brake cylinder pressure
Dynamic brake current
Speed
Distance intervals
Time intervals
Ride quality
Wheel slip and slide performance
16.16 TEST PLANS AND DATA A. All test data shall be subject to the Engineer's review and approval, and shall
become the property of HTSI upon satisfactory completion of tests. If the Locomotive or any related equipment or subsystems fail to satisfy the test requirements, or demonstrate noncompliance with proposal performance,
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necessary corrective adjustment shall be made, and this Locomotive shall be tested as directed by the Engineer.
B. The Contractor shall, within 90 calendar days following award of the contract, submit to the Engineer, for review and approval, a detailed test plan for this section.
C. The Contractor shall advise the Engineer or Quality Assurance Representative 15
days in advance of the time and place of all tests.
16.17 PRE-DELIVERY TESTS A. These tests shall verify that all systems are functioning as specified. Individual
testing of components or systems may be performed at the Contractor's option during manufacture, at final static test or during track test. In the event of a test failure, the discrepancy shall be repaired and the test repeated.
B. The following tests shall be performed as a minimum:
1. Preliminary Test - Visual inspection on brake pressure, brake piston travel, fuel, sand, piping, water and oil levels. Inspection of all joints and connections for leaks.
2. Set brakes and all gauges to master.
3. Check all air lines for pressure drops.
4. Continuity checks of all wiring, including engine failure lights and alarms, control console, switches and circuits, ac fan conductors, control sequence check, HEP, Zero Speed, and interlock configuration checks of all conductors and relays in the high voltage cabinet and HEP panels.
C. Engine Start-Up-Prime Mover
Leak check
Oil and coolant levels
Generator excitation
Operation of independent and emergency brakes
Engine(s) shutdown
Fan rotation & sequence
Battery charging
D. Head End Power Engine Start-Up
Leak check
Oil and Coolant levels
Generator output and phasing
Engine shutdown
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E. Static Load Test - Each Locomotive shall be subjected to a static load test duringwhich all power functions will be qualified and full horsepower demonstrated. Thefollowing shall be included on both prime mover and head end power supplyengine where applicable:
1. Engine speeds throttle sequencing 1-8, normal, and low idle
2. Check speed settings in idle and low idle, overspeed
3. Check and set temperature control switches and overheating switch
4. Hot engine vibration checks
6. Preliminary air brakes checks
16.18 TRACK TESTS AT PLANT A. Dynamic testing shall be performed on the Contractor's test track to qualify air and
dynamic brakes, MU connections and all other features that cannot be checkedduring the static test.
B. The dynamic tests will include, as a minimum:
Functional brake tests
These tests will be done in accordance with the recommendations of the brake equipment supplier.
- Air leakage check
- Brake cylinder pressure check
- Brake release check
- Automatic brake functions check
- Independent brake check
- Recording of pressure and reaction times
- Sanders check
- Train monitoring system functions check
- Power Control Switch check with overspeed and emergency functions
- Break-in-features test
- Functional check of dynamic brake blending
C. Wheelslip - To be checked per the Contractor's procedures
D. Speed/Overspeed - Operational check of speed indicator
E. Other Tests
- Forward and reverse operation
- High voltage cabinet pressure test (in Run 8)
- Cab noise test, and wayside noise test
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- Operation check of traction motor cut-out switch.
- Axle and suspension bearings overheating
- Air, water and oil leaks.
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17.01 GENERAL
PART 17.00 QUALITY ASSURANCE
A. This specification defines the requirements for an inspection system to bemaintained by the Contractor. The Contractor's inspection system shall becapable of providing evidence that supplies and/or services meet the qualityrequirements of the Contract.
B. The requirements of the Specification shall apply to the extent necessary todemonstrate conformance with Contract requirements.
C. The Contractor shall demonstrate a quality control program which provides forinspection, testing, documentation of material dispositions, acceptance/rejectionand status identification of materials, components, processes, work in processand finished work to assure conformance with the Contractor's standards and withthe requirements of this Specification.
17.02 REQUIREMENTS A. The Contractor shall be responsible for conducting an inspection required to
demonstrate full conformance of the work to Contract requirements.
B. The Contractor shall use its own or any other inspection facility and service. TheContractor shall provide an inspection system capable of producing objectiveevidence that finished work meets the quality requirements of the Contract.
C. The system shall be considered acceptable when, as a minimum, it provides forthe detection and removal of non-conforming material, either prior to or at thelatest stage of fabrication manufacture or other processing where a characteristiccan be tested, observed or measured. Inspection necessary to demonstrateconformance to contract requirements, wherever performed, shall hereinafter bereferred to as "Final" Inspection.
17.03 QUALITY ASSURANCE REPRESENTATIVE'S AUTHORITY A. The Contractor's designated Quality Assurance Representative shall have
authority, on behalf of the Contractor to resolve inspection matters to thesatisfaction of the Engineer.
17.04 QUALITY CONTROL MANUAL AND INSPECTION PLAN A. The Contractor’s Quality Assurance Manual shall be the controlling document for
the manufacture of the Locomotive(s). A copy shall be supplied to the Engineerfor review and approval.
17.05 DOCUMENTS FOR INSPECTION
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A. The Contractor shall ensure that the latest approved versions of the applicable drawings, specifications, instructions, and changes are used for inspection purposes.
B. The documents shall be made available to the Engineer and the Quality Assurance Representative for their viewing, at the Contractor's location.
17.06 TEST AND INSPECTION EQUIPMENT A. The Contractor shall be responsible for the provision and maintenance of
test/inspection equipment suitable to demonstrate conformance of the work to technical requirements. This inspection equipment shall be maintained under a recognized gauge control system. Calibration shall be traceable to applicable standards.
17.07 PURCHASING A. The Contractor shall be responsible to ensure that all purchased material and
services conform to the Contract requirements.
1. Incoming Material Inspection – The Contractor shall provide for inspection, testing and identification of incoming material in accordance with the Contractor’s Quality Assurance Manual.
2. Fabrication, Manufacturing and Assembly Inspection – The Contractor shall, as a minimum, perform all required final inspections. The Contractor may institute any additional inspection of material in process considered neces- sary to determine the quality of work.
3. The Contractor shall ensure that the work has been subjected to all final inspections indicated on the inspection plan and that relevant inspection records are complete. The Contractor shall subject all finished work to final inspection to ensure that Contract requirements are met. Only finished work which fully conforms to requirements shall be submitted for acceptance or be delivered.
4. The Contractor shall keep objective evidence of the inspection and use check-lists to be sure that no major functional characteristic has been overlooked.
17.08 WORKMANSHIP A. The Contractor shall ensure that skillful workmanship is maintained at a level of
quality consistent with the technical and functional requirements of the work. Workmanship shall be defined to the greatest practical extent by written standards or production samples inspected and accepted by the Contractor as examples of satisfactory skillful workmanship.
1. Welding – The Contractor's facilities and welders shall be certified in accordance with AWS and the Contractor's standards and shall be verified as meeting these standards by random inspections of test pieces and of process variables. The Contractor may repair welding anomalies using
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industry-approved practices. The Contractor shall make Welder Certifications available to the Engineer, upon request.
2. Test and Inspection Records – The Contractor shall maintain records of all tests and inspections performed to substantiate conformance to Contract requirements.
3. Records shall include positive identification of material, and finished work, the specific inspection performed, and the results obtained. Records shall include disposition of all rejected materials.
17.09 MATERIAL CONTROL A. The Contractor shall maintain a system which precisely indicates the up-to-date
inspection status of material and finished work.
17.10 ACCOMMODATION, FACILITIES AND ASSISTANCE A. The Contractor shall provide the Engineer or the Quality Assurance
Representative with reasonable access at all times to plants of the Contractor and all sub-contractors to monitor compliance with contractual quality requirements.
B. The Contractor shall provide adequate office facilities including space, furniture and telephone service for such monitoring during the entire span of time during which work on this contract is performed.
17.11 FINAL INSPECTION A. Pre-Shipment Inspection – The Contractor shall perform a Final Inspection before
shipment. The Engineer may monitor the inspection and require that any part, device or apparatus needing adjustment, repair or replacement be corrected.
B. Receiving Inspection - Upon arrival at the designated point of delivery, each Locomotive shall be jointly inspected by the Engineer and by the Contractor representative(s) to assure that the Locomotive is in safe and operable condition, to determine any damage incurred in transportation, and to conduct an inventory to assure that no items have been removed. A checklist will be prepared listing all corrective actions that must be performed. The Engineer may withhold final acceptance until all corrective actions have been performed.
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18.01 DRAWINGS
PART 18.00 DRAWINGS AND SPECIFICATIONS
A. The Contractor shall furnish sufficient documents for maintaining, repairing andservicing the units.
B. The Contractor shall provide photographs and "as-built" drawings as stated hereinto show construction and parts actually furnished for this order.
C. These requirements do not apply to proprietary manufacturing details.
1. Drawings Prior to Manufacture - Prior to commencement of work, theContractor shall prepare and submit sets of the following advance drawings,for review and approval by the Engineer:
Microprocessor upgrade
HEP plant installation
2. In Process Drawings - As designs and packages are completed, theContractor shall submit sets of the following drawings for approval by theEngineer:
Physical Schematic and Wire Running List
HEP Install
Paint Diagram
3. As Built Drawings - Reproducible as built drawings shall be provided prior tothe delivery of the Locomotive. These shall include, as a minimum:
Wiring Schematic
Wiring Running List
18.02 RECORDS AND FORMS A. Prior to, or upon delivery of the unit(s), the Contractor shall supply the following
for each unit, contained in loose-leaf bound "Locomotive History Books":
1. Certificate of vehicle conformance. It shall be the responsibility of the
Contractor to obtain all certificates of conformance.
2. Scale tickets showing the weight at each end and the total weight of eachLocomotive.
3. Serial number listing of main components. Engine serial number andclearance record to include injector serial numbers. Truck serial numberrecord to include wheels, traction motors, and gearcases.
4. Air brake cleaning and testing records. (Three copies)
5. Main reservoir certificate.
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6. Copies of all required test reports.
7. Four copies of FRA Form F-6180-49, "Monthly Locomotive Unit Inspection and Repair Report," completely filled out, for submission to the FRA, for display in the Locomotive and for the files of HTSI.
18.03 TECHNICAL ASSISTANCE A. The Contractor shall provide Service Representative(s) at the HTSI's
Maintenance Facility to conduct receiving inspection and acceptance testing.
18.04 DOCUMENT SUBMITTALS A. The Contractor shall submit to the Engineer for review and approval a listing and
submittal schedule of all required documents described in this specification within 90 calendar days after contract award.
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19.01 PTC (ALL UNITS)
19.02 E-ATC (ALL UNITS)
PART 19 OPTIONAL ITEMS
19.03 DESK TOP CONTROL STAND (810-811)
19.04 EVENT RECORDER – BACH SIMPSON 54300 (ALL UNITS)
19.05 NEW HEP ALTERNATOR (807-809)
19.06 Q-TRON QES III MICROPROCESSOR UPGRADE (ALL UNITS)
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SECTION 4. GENERAL CONDITIONS
1. LimitationsThis request for proposal (RFP) does not commit HTSI to award a contract or to pay any costs incurred in the preparation of a proposal in response to this RFP. This contract is subject to the United States Department of Transportation (DOT) Federal Transit Administration (FTA) Requirements.
2. AwardEach initial proposal should be submitted on the most favorable terms from a price and a technical viewpoint, However all finalists may be required to participate in negotiations and to submit such price, technical, or other revisions of their proposals as may result from negotiations.
HTSI reserves the right to reject any and all proposals received and to waive any informality or irregularity in any proposal received and to be the sole judge of the respective merits of the respective proposals received.
3. Binding OfferA signed proposal submitted to HTSI in response to this RFP shall constitute a binding offer from contractor to contract with HTSI according to the terms of the proposal for a period of 180 days after its date of submission, which shall be the date proposals are due to HTSI.
4. Contractor PersonnelOnce agreed to, the Contractor’s Project Manager and other key project personnel may not be replaced or reassigned without written approval of the HTSI Project Manager.
5. Contract ArrangementsThe selected contractor will be expected to execute the Agreement, which is included in Section 5 of this RFP. Particular attention should be paid to HTSI's insurance, bonding and indemnification requirements. The contract payment terms will be based on the contractor’s achievement of agreed upon project completion of milestones
6. Selection DisputesA proposer may object to a provision of the RFP on the grounds that it is arbitrary, biased, or unduly restrictive, or to the selection of a particular contractor on the grounds that HTSI procedures, the provisions of the RFP or applicable provisions of federal, state or local law have been violated or inaccurately or inappropriately
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applied by submitting to the HTSI Project Manager a written explanation of the basis for the protest:
1) no later than one week prior to the date proposals are due, forobjections to RFP provisions; or
2) within three working days after the date on which contract award isauthorized or the date the proposer is notified that it was not selected,whichever is later, for objections to contractor selection. Except withregard to initial determinations of failure to meet the minimumqualifications, the evaluation record shall remain confidential untilHTSI management authorizes award. In the case of protests ofcontract award, the protesting proposer has up to three (3) calendardays after submission of a protest to review the record andsupplement its protest. Protests of recommended awards mustclearly and specifically describe the basis for the protest in sufficientdetail for review and resolution by the HTSI Project Manager.
The HTSI Project Manager will respond to the protest in writing, based in part on the recommendation of the HTSI Project Engineer. Authorization to award a contract to a particular firm by HTSI shall be deemed conditional until the expiration of the protest period or, if a protest is filed, the issuance of a written response to the protest by the HTSI Project Manager which will be the final decision.
7. Public RecordsThis RFP and any material submitted by a proposer in response to this RFP are subject to public inspection, unless exempt by law. Proposals will remain confidential until HTSI has authorized award.
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SECTION 5- LOCOMOTIVE OVERHAUL CONTRACT
CONTRACT FOR OVERHAUL, CONVERSION AND
UPGRADE OF FIVE (5) F40PH DIESEL ELECTRIC
COMMUTER LOCOMOTIVES
BETWEEN
HERZOG TRANSIT SERVICES, INC.
AND
CONTRACTOR
Dated:
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TABLE OF CONTENTS Recitals
1. Scope Of Work
2. Period Of Performance And Completion Of Work
3. Changes
4. Total Compensation
5. Payment
6. Prompt Payment To Subcontractors/Suppliers
7. Insurance
8. Indemnity
9. Payment Of Taxes
10. Inspection And Audit
11. Authority Of HTSI’s Project Manager
12. Notification
13. Independent Contractor
14. Subcontractors/Suppliers
15. Contractor’s Interaction With The Media And The Public
16. Suspension Of Work
17. Liquidated Damages
18. Delivery Location And Conditions
19. Risk Of Loss
20. Inspection And Acceptance Of The Work
21. Warranty
22. Termination For Convenience
23. Termination For Breach Of Contract
24. Assignment
25. Force Majeure
26. Rights In Shop Drawings, Working Drawings, Technical Data, Patents And Copyrights
27. Equal Opportunity
28. Disadvantaged Business Enterprise Participation
29. Excess Reprocurement Liability
30. No Waiver
31. Severability
32. Governing Law
33. Entire Contract
34. Special Provisions
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This Agreement is effective as of this day of , 2017 by and between HERZOG
TRANSIT SERVICES, INC. (hereinafter referred to as "HTSI") and (hereinafter
referred to as "Contractor").
WHEREAS, HTSI is a privately held company with the authority to contract for the OVERHAUL
OF F40PH LOCOMOTIVES described in Attachment A to this Agreement entitled “Scope of
Work” (hereinafter referred to as “Scope of Work” or “Work”);
WHEREAS, HTSI desires to hire a Contractor to perform this Work;
WHEREAS, Contractor has indicated it is qualified to perform the Work and (1) has reviewed
all the available data furnished by HTSI pertinent to the Work; (2) has inspected and reviewed
the Scope of Work; (3) has submitted to HTSI its written Proposal, which is attached hereto as
Attachment B, to perform the Work; (4) will exercise the ordinary care and skill expected of a
practitioner in its profession; and (5) is willing to accept responsibility for performing as set forth
in this Agreement for the compensation and in accordance with the terms, requirements and
conditions herein specified;
NOW, THEREFORE, for the consideration hereinafter stated, the parties agree as follows:
1. SCOPE OF WORK AND OPTIONS1.1 Initial Order
Contractor will supply the OVERHAUL OF FIVE (5) F40PH LOCOMOTIVES and perform
related tasks as described in Attachment A, F40PH LOCOMOTIVE OVERHAUL,
CONVERSION AND UPGRADE SPECIFICATION, that is incorporated by reference into and
made a part of this Agreement.
1.2 Option Contractor hereby grants to HTSI an option to hire the Contractor to perform the Optional
Tasks of converting and/or upgrading the locomotives as detailed in the section “Optional
Items” of the technical specifications, pursuant to all the terms, conditions, standards and
requirements of this Agreement.
This option may be exercised by HTSI separately or jointly for the Optional Items at any time
during the contract negotiation period through the date of execution of this Agreement.
1.3 Option Price If any notice or notices of exercise of the Optional Items are given during the option period,
the Overhaul price per locomotive shall be adjusted by the price submitted by Contractor for
the Option Task(s) deriving the final Overhaul price per locomotive.
1.4 Contractor warrants that, upon completion of the Work, the locomotives shall comply in all
respects with the requirements, applicable standards, recommended practices and regulations of all regulatory bodies having jurisdiction, including, without limitation, those agencies named in Section 104. B of Attachment A.
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2. PERIOD OF PERFORMANCE AND COMPLETION OF THE WORKThe period of performance for the initial order, as defined in Section 1.1, pursuant to
this Agreement shall be from Notice to Proceed (NTP) until , .
3. CHANGESHTSI may at any time order additions, deletions or revisions including but not limited to
changes to drawings, designs or specifications, method of shipping or packing, place of
delivery or delivery schedule, within the general scope of the Agreement. These actions will
be authorized by a written amendment. Upon receipt of any such amendment, the Contractor
shall promptly proceed under the applicable conditions of the Agreement, except as otherwise
specifically provided. Unless included in a written amendment approved in accordance with
HTSI’s policies, no order, statement or conduct of HTSI’s personnel or agent(s) shall be
construed as a change under the Agreement or entitle the Contractor to an adjustment under
the Agreement.
4. TOTAL COMPENSATIONIn consideration for the Work performed, HTSI will pay the Contractor an amount not to exceed
the Total Agreement Price for the order which is Dollars ($ ),
payable as provided in the Agreement and pursuant to the Contractor’s Price Proposal Form
included in Exhibit 1.
5. PAYMENT5.1 Invoicing for work performed shall be in a format and at intervals approved by HTSI.
Within 10 days of Notice of Award, the parties shall meet to determine the method and procedures for invoicing, the intervals at which invoices may be submitted to HTSI and the information that shall be contained in each invoice.
5.2 Payments will be made within 30 days of approval of invoice by HTSI’s Project Manager. HTSI has no obligation to pay for costs incurred or services rendered when the application for payment is submitted more than ninety (90) days after the costs were incurred. Upon receipt of an invoice, HTSI shall act in accordance with the following:
5.2.1 HTSI, at its discretion, may make deductions from the amount requested when Contractor has failed to perform one or more of its obligations under this Agreement. The amount of such deductions may be estimated by HTSI when the Price Proposal Form (Exhibit 1) does not provide for such items.
5.2.2 The failure of HTSI to deduct any of the above-identified sums from a payment shall not constitute a waiver of HTSI's right to such sums.
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5.2.3 In the event that HTSI should overpay Contractor, such overpayment shall not be construed as a waiver of HTSI’s right to obtain reimbursement for the overpayment. Upon discovering any overpayment, either on its own or upon notice of HTSI, Contractor shall immediately reimburse HTSI the entire overpayment. HTSI, at its discretion, may deduct any overpayment from Contractor’s future invoices.
5.2.4 Contractor’s invoice for final payment shall indicate that all 1) material or equipment has been reviewed and accepted, 2) title has passed to HTSI designate as required, 3) Contractor has performed in compliance with all terms and conditions of the Agreement, 4)no claims, loss, or disputes remain unresolved, and 5) Contractor releases HTSI from anyfurther obligation. After final payment is made, HTSI is under no obligation to accept or reviewclaims made against this Agreement.
6. PROMPT PAYMENT TO SUBCONTRACTORS/SUPPLIERS
6.1 Contractor agrees to make prompt payment to all Subcontractors/Suppliers (both Disadvantaged and Non-disadvantaged Business Enterprises) for satisfactory work performed. Prompt payment shall mean payment of all invoices from Subcontractors/Suppliers no later than ten (10) working days from Contractor’s receipt of payment from HTSI.
6.2 Should Contractor retain partial payment of Subcontractor’s/Supplier’s invoice for any reason allowable under the terms of this Agreement and the Contractor’s written agreement with the Subcontractor or Supplier, Contractor agrees to make payment of such retainage within thirty (30) working days of satisfactory completion of the work or other obligation.
6.3 Failure of Contractor to make prompt payment as defined in this article or to delay payment without prior written consent of HTSI, shall constitute noncompliance with this Agreement, which may result in appropriate administrative sanctions which may include withholding of payment of Contractor’s invoice by HTSI until payment is made to the Subcontractor/Supplier or termination of the Agreement in accordance with the Article entitled, Termination of Agreement.
6.4 Upon HTSI’s request, the Contractor shall make available to HTSI evidence that the Contractor has paid Subcontractors/Suppliers all amounts due, in accordance with the Work performed in a satisfactory manner by each Subcontractor/Supplier.
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7. INSURANCE AND REQUIRED BONDS
7.1 Insurance Required by HTSI of Contractor: Prior to the commencement of the Contract
work, the Contractor shall procure and maintain in force for the duration of the term of the Contract
the following insurance coverages and minimum limits with insurance companies acceptable to
the HTSI:
(a) Worker's Compensation - Shall provide coverage for statutory benefits and Employer's
Liability Coverage of not less than $500,000 per occurrence. The policy shall be endorsed to
provide a waiver of subrogation in favor of the HTSI. The policy shall be endorsed to provide 30
days written notice to HTSI of cancellation and/or material change in coverages.
(b) Commercial General Liability - Shall be written on an occurrence basis with limits not
less than $1,000,000. The policy shall include coverage for Premises/Operations , Independent
Contractors, Contractual Liability (Property Damage arising out of the "XCU" hazards, Completed
Operations/Products, Broad Form Property Damage, and Personal Injury. If the policy contains a
general aggregate limitation, then the policy shall be endorsed to provide a $1,000,000 specific
aggregate for the work under this Contract. The policy shall name the HTSI as an Additional
Insured (including completed operations) and be endorsed to state that the insurance provided to
HTSI shall be primary insurance with respect to HTSI, and any other insurance policy that the
HTSI may have in effect shall be deemed excess and not contributory. Such additional insured
endorsement shall be CG-20 10 (11 85) or CG-20 10 (10 01) in combination with CG 20 37 or
their equivalent. The policy shall be endorsed to provide 30 days written notice to HTSI of
cancellation and/or material change in coverages. Any exclusion pertaining to work within fifty
feet (50’) of any railroad track shall be deleted. In addition, when Contractor performs construction
operations, Contractor shall maintain CGL products and completed operations coverage for a
minimum of two years following completion of the work, and shall cause the CGL products and
complete operations coverage to include coverage for the additional insureds during the
completed operations term.
Comprehensive Automobile Liability - The policy shall contain limits of not less than
$1,000,000 Combined Single Limit and include coverage for all Owned, Hired, and Non-owned
vehicles. The policy shall name the HTSI as an Additional Insured and be endorsed to state that
the insurance provided to HTSI shall be primary insurance with respect to HTSI, and any other
insurance policy that the HTSI may have in effect shall be deemed excess and not contributory.
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(d) Excess/Umbrella Liability - The policy(ies) shall be written with limits of not less than
$10,000,000 Combined Single Limit and shall be endorsed to be following form of the
Comprehensive General Liability, Comprehensive Automobile Liability, and Employer's Liability
coverages.
It is understood and agreed that the insurance coverages and limits required shall not limit
the extent of the Contractor’s responsibilities and liabilities specified within the Prime Contract
Documents or by law.
The policies obtained and maintained to provide the specific insurance must provide that
the required coverages and limits will not be altered, canceled, or allow to expire without at least
30 days prior written notice to HTSI.
Any deductible amounts which may occur as part of any policy shall be borne by the
Contractor.
It is understood and agreed that authorization is hereby granted to HTSI to withhold
payments to the Contractor until a properly executed Certificate of Insurance providing insurance
required herein, accompanied by this signed Contract are received by HTSI.
In the event that the Contractor fails to obtain and keep in full force and effect any of the
insurance requirements under this Contract, the HTSI, subject to applicable notice and cure
periods, may purchase such coverage and use any funds payable to the Contractor to satisfy any
premium requirements.
Property Insurance Coverage: Property Insurance in the amount of
($ ) listing the Locomotives as the covered property. Proof that
insurance coverage exist shall be furnished to HTSI by way of a Certificate of Insurance before
any part of the contract work is started. The certificate shall certify SFRTA and HTSI as an
additional insured with a provision that in case of cancellation or any material change in the
coverages stated above, SFRTA and HTSI shall be notified no less than thirty (30) days prior to
any such change. If any insurance coverage required to be provided by the Contractor is
cancelled, terminated, or modified so that the required insurances are no longer in full force and
effect, HTSI may terminate this contract or obtain insurance coverages equal to the required
coverage, the full cost of which will be the responsibility of the Contractor and shall be deducted
from any payment due Contractor. The Contractor and all of its insurers shall, in regard to the
above specified insurance, waive all rights of recovery or subrogation against SRFTA and HTSI’S
insurance companies.
II. SFRTA (Owner) Insurance Requirements of Contractor: Contractor shall provide, pay for,
and maintain in force at all times during the services to be performed under this Contract, the
policies set forth below. All certificates of insurance shall be subject to approval by South Florida
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Regional Transportation Authority (SFRTA) as to form and content. These requirements are
subject to amendment or waiver only if approved by SFRTA in writing. A lapse in any required
insurance coverage during the term of this Contract shall be a breach of this Contract, subject to
applicable notice and cure periods.
SFRTA reserves the right to reject coverage from any company not acceptable to SFRTA and to
require Contractor to obtain coverage from another source. Self-insurance shall not be
acceptable under this Contract.
The certificates must include on their face that the insurance coverage provided shall include
endorsements containing the specific requirements of A, B, C and D of Section (a) below. If the
insurance certificate(s) is received within the specified time frame, but not in the manner
prescribed, Contractor shall be verbally notified of such deficiency and shall have an additional
five (5) business days to submit a corrected certificate to SFRTA. If the Contractor fails to submit
the required insurance certificates(s) in the manner prescribed within fifteen (15) business days
from receipt of a fully executed Contract, the Contractor shall be in default, and the Contract
Documents may be rescinded.
Such policy of policies shall be issued by a company or companies authorized to transact
business in the State of Florida or an eligible surplus lines insurer in good standing with the Florida
Insurance Commissioner’s Office.
Contractor shall use the Standard “ACORD” 25 Certificate of Liability Insurance form and Acord
Form 101, Additional Remarks Schedule, if necessary, evidencing that Contractor has met the
insurance requirements.
Coverage shall be at least as broad as follows:
(a ) Contractor shall provide Commercial General Liability (CGL) Insurance afforded on a
form no more restrictive that the latest edition of the CGL Policy (ISO form CG 00 01) as filed for
use in the State of Florida by the Insurance Services Office (ISO) without any restrictive
endorsements other than those which, under an ISO filing, must be attached to the policy (i.e.
mandatory endorsements) and those described below which would apply to the services
contemplated by the Contract Documents.
At a minimum, the CGL policy described above shall include policy limits of:
Ten Million Dollars (10,000,000) for each occurrence of bodily injury and property damage
Ten Million Dollars (10,000,000) annual aggregate
Ten Million Dollars (10,000,000) per occurrence and policy aggregate for personal injury and
advertising injury
Ten Million Dollars (10,000,000) for completed operations and products liability per occurrence
and project aggregate
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The Contractor may meet the above coverage requirements using excess liability insurance,
except that the limits of the primary CGL policy shall not be less than $1million.
In addition, Contractor’s coverage shall provide:
An endorsement giving SFRTA a minimum of ten (10) days’ notice of cancellation for nonpayment
of premium and thirty (30) days’ notice of cancellation for any other reason, nonrenewal and/or
added restriction.
An endorsement naming SFRTA and FDOT as additional insureds. Coverage shall be at least
as broad as ISO Form CG 20 10 11 85 or both CG 20 10 (ongoing operations) and CG 20 37
(completed operations) forms, excluding CG 24 17 if the later forms are used.
That the coverage provided to the additional insureds by the Contractor is primary to any other
insurance coverage of self-insurance maintained by the additional insureds. To the extent other
insurance my respond to a claim, it shall be considered excess to the limits of Contractor’s
insurance policies required by the Prime Contract Documents.
An endorsement stating that the insurance company waives all of its rights of recovery under
subrogation, a transfer of rights, or otherwise, against SFRTA, any additional insureds, separate
HTSIs, and Contractors. A deductible no greater than $10,000. All deductible amounts shall be
borne by the Contractor.
(b) Contractor shall provide Worker’s Compensation Insurance applicable to all employees
in compliance with the “Workers’ Compensation Law” of the State of Florida and all applicable
federal laws. In addition, the policy(ies) must include Employer’s Liability with the minimum limit
of One Million Dollars ($1,000,000).
(c) Contractor shall provide Business Automobile Liability with minimum limits of One Million
Dollars (1,000,000) per occurrence combined single limit for Bodily Injury Liability and Property
Damage Liability. Contractor shall specifically protect SFRTA by obtaining an endorsement to its
Automobile Liability policy naming SFRTA. Coverage must be afforded on a form no more
restrictive than the latest edition of the business Automobile Liability Policy, without restrictive
endorsements, as filed by the Insurance Services Office with the State of Florida, and must
include the following coverages:
A. Owned vehicles;
B. Hired and non-owned vehicles;
C. Employees’ Non-ownership; and
D. Personal Injury, Property Damage, Uninsured Motorist, Collision and
Comprehensive coverages.
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III. Insurance Requirements of Sub-Contractors: All Sub-Contractors retained or hired for the
Work shall be required to maintain coverages, limits and term no less restrictive that those
required of the Contractor, except as outlined below. The Contractor shall be responsible for
monitoring insurance compliance of all its Sub-Contractors. Additionally, Contractor shall make
available to HTSI proof of insurance of all Sub-Contractors upon request by HTSI.
A. Any other provision in Section II.(a) notwithstanding, for Permitted MOE Sub-Contractors (as
defined in Section 1.32 of the Technical Specifications of the Request for Proposal for Operating
Services RFP No. 16-010, Including all Addendums, the insurance requirements for Sub-
Contractors shall be the same as for the Contractor, unless modified, in writing by SFRTA prior to
the Approved Sub-Contractors performing any work, except for the following:
The CGL liability limits set forth in II. (a) A. B. C. and D above shall be $1,000,000
The Workers Compensation limits set forth in Section II. (b) shall be $100,000
The Business Automobile liability limits set forth in II. (c) above shall be $300,000
IV. Insurance Miscellaneous
Renewal of Insurance. Contractor shall be responsible for assuring that the insurance policies
required by the Prime Contract remains in force with no changes for the duration of the Prime
Contract Documents. If an insurance policy is scheduled to expire during the term of this Contract,
Contractor shall be responsible for submitting evidence of the same type originally provided to
HTSI that a new or renewed insurance policy was put in place to prevent any lapse in coverage.
In the event that evidence of renewal is not provided prior to the expiration of an existing policy,
Contractor shall be in breach of this Contract, and HTSI shall suspend all payments until such
time as evidence of the new or renewed policy is received by HTSI. HTSI also may take any
other actions allowed under this Contract for breach of this Contract, including, termination.
Evidence of renewal shall include a Certificate(s) of Liability insurance, the policy declaration
page(s) and all required endorsements.
In no event shall the failure by HTSI to receive evidence of insurance be construed as a waiver
of the Contractor’s obligation to obtain the required insurance coverages. Failure by HTSI to
demand evidence of insurance or failure by HTSI to identify a deficiency in the evidence provided
shall not be construed as a waiver of the Contractor’s obligation to procure and maintain the
insurance required. The acceptance of delivery by HTSI of evidence of insurance does not
constitute approval or agreement that the insurance requirements have been met or that the
insurance policies identified in the evidence of insurance are in compliance with such
requirements.
(a ) Minimum Coverage. Insurance Coverage in the minimum amounts set forth herein shall
not be construed to relieve Contractor of liability in excess of such coverage, nor shall it preclude
HTSI from taking such other actions as is available to it under any other provisions of this Contract
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or otherwise in law or equity. If Contractor maintains limits higher than the minimum shown above,
HTSI and additional insureds shall be entitled to coverage for the higher limits maintained by the
Contractor. Any available insurance proceeds in excess of the specified minimum limits of
insurance and coverage shall be available to HTSI and any additional insureds.
(b ) Insurance Company Ratings. The above indicated insurance coverages shall be issued
by insurers of financial responsibility that are rated "A" or better by Best's Insurance Report, "AA"
or better by Standard & Poor's Insurance Rating Service, or "AA" or better by Moody's Investors
Service. SFRTA reserves the right to reject as inadequate any insurance coverage provided by
an insurance company that is rated less than the ratings above by any of the aforementioned
rating services.
(c ) Waiver of Subrogation. Contractor shall require all policies of insurance that relate to the
Work and that are secured and maintained by Contractor and all Sub-Contractors, other than
professional liability insurance, to include endorsements providing that each insurance company
shall waive all of its rights of recovery, under subrogation or otherwise, against SFRTA, FDOT,
and HTSI.
(d) Contractor waives all rights of recovery against SFRTA, FDOT and HTSI, which
Contractor may have or acquire because of deductible clauses in or inadequacy of limits of any
policies of insurance that are in any way related to the Work and that are secured and maintained
by Contractor. Contractor shall require all Sub-Contractors to waive their rights of recovery (as
aforesaid waiver by Contractor) against SFRTA, FDOT and HTSI.
(e) Waiver of Subrogation. Contractor waive all rights against SFRTA for damages or
injuries caused by perils covered by any insurance maintained by a party hereunder, to the
extent such damages or injuries are covered by such insurance, except such rights as they
may have to the proceeds of such insurance held by a party as trustee. The Contractor shall
require similar waivers from all sub Contractorsand their Sub-Contractors.
Contractor waive all rights against SFRTA for loss or damage to any equipment used in
connection with the services performed by the Contractor under the terms of this Contract
and covered by any property insurance. The Contractor shall require similar waivers from all
sub Contractors and their sub-sub Contractors.
(f) The Contractor shall be responsible for all claims and liabilities for loss, damage,
injury of death arising out of or connected with the Contract Documents, which are the result
of any Work assigned to, or performed by, its Sub-Contractors.
V . Required Bonds.
Within 10 days of receiving Notice of Award, Contractor shall provide to the Project Manager a
Performance Bond and a Payment (Labor and Material) Bond, each in the amount of 100% of
the value of the contract.
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8. INDEMNITYContractor shall indemnify, defend and hold harmless HTSI and SFRTA and their elected officers,
HTSI and SFRTA officers, employees, contractors and agents (Indemnified Parties) from and
against any and all liability, expense (including but not limited to defense costs and attorneys’
fees), claims, causes of action, and lawsuits for damages of any nature whatsoever, including,
but not limited to, bodily injury, death, personal injury or property damage (including property of
Contractor) arising from or connected with any alleged act and/or omission of Contractor, its
officers, directors, employees, agents, Subcontractors or Suppliers, except as such liability
expense, claims, causes of action, or lawsuits arise from the sole negligence, or willful misconduct
of the Indemnified Parties, or any of them. This indemnity shall survive termination of this
Agreement and/or final payment thereunder.
IN THE EVENT OF ANY INCONSISTENCY BETWEEN THE TERMS AND CONDITIONS OFTHIS SECTION 8 AND ANY OTHER TERMS AND CONDITIONS OF THE CONTRACT(INCLUDING ANY AND ALL ATTACHMENTS, EXHIBITS, SCHEDULES, ETC), THE TERMSAND CONDITIONS OF THIS SECTION 8 SHALL PREVAIL.
9. PAYMENT OF TAXESThe Contractor shall pay all taxes and duties applicable to and assessable against any work,
equipment, materials, services, processes, and operations incidental to or involved in the
Agreement, including but not limited to retail sales and use, transportation, export, import,
business, and special taxes, as required by laws or regulations in effect on the date the Proposal
was opened. The Contractor is responsible for ascertaining and acquainting itself with such
taxes and making all necessary arrangements to pay them. The Contractor will maintain
auditable records, subject to HTSI reviews, confirming that tax payments are current at all times.
10. INSPECTION AND AUDIT10.1 Contractor shall maintain a complete set of records relating to this Agreement
in accordance with Generally Accepted Accounting Practices (GAAP) of the United States.
10.2 HTSI may, at any time, and at its own cost, conduct or have conducted an inspection or audit of any aspect of Contractor’s performance of its duties and obligations under this Agreement. Upon reasonable notice, Contractor shall permit auditors or any other duly authorized agent of HTSI, SFRTA, the U.S. Department of Transportation, and the Comptroller General of the U.S. to inspect, examine and audit all financial books, records, accounts, work and materials relating to the Contractor’s performance under this Agreement. HTSI shall also have the right to reproduce any such books, records and accounts.
10.3 All such books, records, accounts and documents shall be maintained and be
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accessible to HTSI for three years after completion or termination of this Agreement, except in the event of litigation or settlement of claims arising from the performance of this Agreement, in which case Contractor agrees to maintain all records until HTSI, SFRTA, the FHWA Administrator, the Comptroller General, or any of duly authorized representatives, have disposed of such litigation, appeals, claims or exceptions related thereto. For purposes of audit, the date of completion of the Agreement shall be the date of HTSI’s payment for Contractor’s final billing (so noted on the invoice) under this Agreement.
10.4 Subcontracts or other agreements with the Contractor’s Subcontractors shall include the above provisions with respect to audits. The term “subcontract” as applies to these audit requirements excludes agreements not exceeding $10,000.
10.5 Any payment by HTSI shall be subject to a reasonable audit, in accordance with GAAP of the United States and SFRTA, and evaluation of operations, performance, and costs. The scope of such audit and evaluation may be either financial or operational, or both, and may include, in addition to costs and wages reimbursed by HTSI, Contractor’s controls, practices, and procedures and their effect upon the efficiency and quality of performance provided by Contractor. Upon completion of the audit, any adjustments required to make any reconciliation required shall be paid or credited, as the case may be, in accordance with the payment provisions of this Agreement.
11. AUTHORITY OF HTSI’S PROJECT MANAGER 11.1 The Project Manager will have general control over the Work and the Contractor,
including the power to enforce compliance with the Agreement. The exercise of or failure to exercise such power shall not relieve the Contractor of any of its obligations under the Agreement. The Project Manager will inspect and accept or reject the Work as specified under the Article entitled Inspection and Acceptance of the Work.
11.2 The Project Manager shall not have control or charge of and shall not be responsible for the means, methods, sequences or procedures, have control or charge of safety precautions and programs in connection with the Work, or have control or charge of the act or omissions of the Contractor, Subcontractors or any other persons performing any of the Work in accordance with the Agreement. In addition to the foregoing, the Project Manager shall have those rights and powers expressly set forth in other provisions of the Agreement.
12. NOTIFICATION 12.1 Any notice legally required to be given by one party to another or otherwise
required concerning the Work to be performed under the Agreement shall be in writing and dated. The notice shall be signed by the party giving such notice or by a duly authorized representative of such party.
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12.2 All notices shall be enclosed in a sealed envelope and physically transmitted by courier, overnight (Federal Express or similar service), registered or certified mail, return receipt requested, postage paid, and addressed as follows:
To HTSI: To the Contractor:
13. INDEPENDENT CONTRACTOR
13.1 The Contractor’s relationship to HTSI under this Agreement is that of an independent Contractor. Contractor’s personnel performing work under this Agreement shall at all times be under Contractor’s exclusive direction and control and shall be employees of Contractor and not employees of HTSI. Contractor shall pay all wages, salaries and other amounts due its employees in connection with work performed under this Agreement and shall be responsible for all reports and obligations respecting them, such as social security, income tax withholding, unemployment compensation, workers’ compensation, and similar matters.
13.2 Contractor shall perform and exercise, and require its Subcontractors/Suppliers to perform and exercise due professional care and competence in the performance under this Agreement. Contractor shall be responsible for the professional quality, technical accuracy, completeness and coordination of Agreement, it being understood that HTSI will be relying upon Contractor’s professional competency.
13.3 The Contractor shall be responsible for performance, in accordance with the Agreement. The Contractor shall be solely responsible for implementation of all means, methods, techniques, sequences, and procedures for any required coordination under the Agreement.
14. SUBCONTRACTORS/SUPPLIERS
14.1 The Contractor shall be fully responsible to HTSI for all acts and omissions of its own employees, and of Subcontractors, Suppliers and their employees. The Contractor shall also be responsible for coordinating the Work performed by Subcontractors/Suppliers. When a portion of the subcontracted Work is not performed in accordance with the Agreement, or if a Subcontractor/Supplier commits or omits any act that would constitute a breach of the Agreement, the Subcontractor/Supplier shall be replaced at the request of HTSI and shall not again be employed on the project.
14.2 HTSI hereby consents to Contractor’s subcontracting of portions of the Work to
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the parties identified below for the functions described in Contractor’s Proposal. HTSI has awarded this contract based on the Subcontractor’s/Supplier’s expertise in the Work to be provided. Contractor shall not eliminate nor substitute Subcontractors/Suppliers without the prior approval of HTSI in writing
Subcontractor/Supplier Goods/Materials/Services Provided Name:
Address:
Phone:
Fax:
Contact:
14.3 Contractor shall include in each Agreement with Subcontractors/Suppliers the stipulation that Contractor, not HTSI, is solely responsible for payment to the Subcontractor/Supplier for the amounts owing and that the Subcontractor/Supplier shall have no claim, and shall take no action against HTSI, SFRTA or their officers, directors, employees, contractors or sureties thereof for nonpayment by Contractor.
The following Articles, identified by title, shall be flowed down in the Agreement with all
Subcontractors/Suppliers utilized in the performanceof this work:
• Federal Clauses 16-010
• Disadvantages Business Enterprise (DBE) Program
• Exhibit 6 – Certification Regarding Debarment, Suspension, Ineligibility and Voluntary
Exclusion
• Exhibit 7 – Certification Regarding Lobbying
• Article 2.34 – E-Verify Requirements
• Exhibit 11 – Employment Eligibility Verification
• Article 3.0 – Labor Relations and Employment
• Article 10.0 Subcontractors
14.4 While not required, Contractor may flow down to Agreement with Subcontractors/Suppliers the additional articles necessary to satisfy Contractor’s contractual obligations.
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15. CONTRACTOR’S INTERACTION WITH THE MEDIA AND THE PUBLIC
15.1 HTSI shall review and approve in writing all HTSI/SFRTA-related copy proposed to be used by Contractor for advertising or public relations purposes prior to publication. Contractor shall not allow HTSI/SFRTA-related copy to be published in its advertisements and public relations programs prior to receiving such approval. Contractor shall ensure that all published information is factual and that it does not in any way imply that HTSI/SFRTA endorses Contractor’s firm, service, and/or product.
15.2 Contractor shall refer all inquiries regarding HTSI and/or this procurement from the news media to HTSI.
16. SUSPENSION OF WORK16.1 HTSI may at any time and for any reason within its sole discretion issue a written
order to the Contractor suspending, delaying, or interrupting all or any part of the Work for a specified period of time.
17. LIQUIDATED DAMAGESHTSI will be damaged if Contractor fails to complete the Overhaul within the time allowed or if
Contractor’s act or omission disrupts the operations of HTSI. It is impractical and/or difficult to
ascertain the exact damage that HTSI will sustain. The parties have made a good faith effort to
estimate the damage and have agreed to the liquidated damages as stated below.
For each Day the Contractor is late in completing Work as specified in the contractor’s project
schedule, HTSI, at its sole discretion, may assess the liquidated damages. Assessments made
pursuant to this section will be made at a rate of $500 per day and a cumulative daily maximum
of $15,000 per month per locomotive. The Contractor agrees to pay said assessments, and
further agrees that HTSI may deduct the amount thereof from any monies due or that may
become due the Contractor under the Contract if the Contractor has not paid within seven (7)
days any demand from HTSI for the assessments. Liquidated damages will start on the XXth
calendar day after the locomotive is received at the Contractor’s facility. HTSI may deduct the
sum of liquidated damages from any monies due or that may become due the Contractor; or if
such monies are insufficient, the Contractor or its Surety shall pay to HTSI any deficiency. There
shall be an aggregate cap on liquidated damages assessed and payable to this Article 17 equal
to five percent (5%) of the total Contract value.
Liquidated damages contained in this Article 17 are HTSI’s sole and exclusive remedy with
respect to delay in completion of the work; provided, however, that nothing in this Article 17
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shall preclude HTSI from terminating this Contract if, in HTSI’s sole discretion, Contractor fails
to perform satisfactorily. The contractor shall inform HTSI of any unavoidable delays. Any
changes to the schedule must be approved by HTSI Project Manager.
18. DELIVERY LOCATION AND CONDITIONS
18.1 The delivery must be coordinated with HTSI’s Project Manager. All documentation, as specified in Attachment A, shall accompany each overhauled locomotive when delivered back to HTSI.
18.2 When work is complete, the Project Manager, Project Engineer or other HTSI representative will inspect the locomotive. Upon their approval that the Work is complete, HTSI will issue a release for shipment document.
18.3 Contractor shall be responsible for all property until delivery to a specified F.O.B. point shown on the shipping document and shall bear all risks during transport. Delivery shall be made within the time specified in Contractor’s schedule.
19. RISK OF LOSSExcept with respect to any inspections or warranty work, which the Contractor may be required
to perform, HTSI, assumes care, custody and control of the finished and complete F40PH
l o c om ot i v e s an d risk of loss as to the work, upon delivery FOB Destination to HTSI at
Mi a m i , FL.
20. INSPECTION AND ACCEPTANCE OF THE WORK20.1 As the F40PH Locomotives are delivered to HTSI in Miami, FL, HTSI and
Contractor shall perform inspection and testing as deemed necessary to confirm that there has been no damage to the F40PH Locomotives during delivery, that the Work conforms to the requirements of the Agreement and determine if HTSI can take Acceptance of the Work. A certificate of Conditional or Final Acceptance may be issued and “Warranty” shall start.
20.2 If the Contractor does not promptly correct the deficiencies to the satisfaction of HTSI, HTSI may (1) replace or correct such Work by separate agreement, or otherwise, and charge the cost thereof to the Contractor or (2) terminate the Contractor's right to proceed in accordance with the provisions of the Article entitled Termination for Default herein.
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21. WARRANTY 21.1 The Contractor warrants that all Work shall be in accordance with the Agreement
and shall be free from any defective or faulty material and workmanship for a period equal to, or greater than two (2) years from Conditional or Final Acceptance, except for the locomotive carbody and trucks, which shall be warranted for a period of at least five (5) years from Conditional or Final Acceptance.
21.2 The Contractor agrees that it will be responsible for taking all corrective action required to satisfy all warranties for a period equal to two (2) years after the date of Conditional or Final Acceptance of the Work. Within three days after being notified by HTSI of any defect in the Work or non-conformance of the Work, the Contractor shall at its sole expense determine the cause of any defects and remove, repair and/or replace and test any portions of the Work, and Work of other Contractors damaged by such defective or faulty Work, and that becomes damaged in the course of repairing and/or replacing defective or faulty Work. In addition to any of the Contractor's original warranty obligations, the Contractor warrants the corrected Work for one year from the date of Acceptance of such corrected Work or for the remainder of the original warranty obligations, whichever occurs later.
21.3 All warranties and guarantees of Subcontractors/Suppliers with respect to any portion of the Work, whether express or implied, are deemed to be obtained by the Contractor for the benefit of HTSI. The Contractor shall enforce such warranties and guarantees on behalf of HTSI, or if directed by HTSI, shall require such Subcontractors/Suppliers to execute such warranties and guarantees directly with HTSI. The Contractor shall be jointly and severally liable to HTSI under any such warranties or guarantees. To the extent that any such warranty or guarantee would be voided by reason of the Contractor's negligence in incorporating material or equipment into the Work, the Contractor shall be responsible for correcting such defect.
21.4 In the event that the Contractor fails to perform its obligations under this Article (or under any other warranty or guarantee under the Agreement) within a reasonable time and to the reasonable satisfaction of HTSI, HTSI shall have the right to correct and/or replace any defective or non-conforming Work and any Work damaged by such work or the replacement or correction thereof. The Contractor shall be obligated to fully reimburse HTSI upon demand for any expenses incurred hereunder.
21.5 This warranty shall not apply to defects in the Work caused solely by abuse or neglect of HTSI. However, normal wear and tear shall not excuse the Contractor from its obligations under this Article. These warranties do not apply to items normally defined as consumables.
21.6 Notwithstanding the foregoing, in the event that the Contractor's Work is not in compliance with the Agreement and creates a hazard to the health or safety of HTSI employees or property or the public, HTSI may undertake, at the Contractor's expense and
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without prior notice, all work necessary to correct such hazardous condition.
21.7 CONTRACTOR’S WARRANTY WHICH IS ATTACHED AS EXHIBIT “2” IS EXPRESSLY IN LIEU OF ALL OTHER WARRANTIES, GUARANTIES, OBLIGATIONS, OR LIABILITIES, EXPRESS, IMPLIED, STATUTORY OR OTHERWISE. IN PARTICULAR, THERE ARE NO IMPLIED WARRANTIES OF MERCHANTABILITY OR FITNESS FOR A PARTICULAR PURPOSE.
22. TERMINATION FOR CONVENIENCEHTSI may terminate this Agreement for HTSI’s convenience by giving Contractor ten days
written notice thereof. Upon receipt of said notice, Contractor shall immediately take action not
to incur any additional obligations, cost or expenses, except as may be reasonably necessary
to terminate its activities. HTSI shall pay Contractor in accordance with the terms of this
Agreement for all work performed to the date of such termination for convenience. Thereafter,
Contractor shall have no further claims against HTSI under this Agreement. All finished or
unfinished documents, materials and/or equipment procured for or produced under this
Agreement shall become HTSI property upon date of such termination.
23. TERMINATION FOR BREACH OF CONTRACT
23.1 If Contractor fails to perform any of the provisions of this Agreement or so fails to make progress as to endanger timely performance of this Agreement, HTSI may give Contractor written notice of such default. If Contractor does not cure such default or provide a plan to cure such default, which is acceptable to HTSI within the time specified in HTSI’s notice of default, then HTSI may terminate this Agreement due to Contractor’s breach of this Agreement.
23.2 If a federal or state proceeding for relief of debtors is undertaken by or against Contractor, or if Contractor makes an assignment for the benefit of creditors, then HTSI may immediately terminate this Agreement.
23.3 In the event HTSI terminates this Agreement as provided in this article, HTSI may, upon such terms and in such manner as HTSI may deem appropriate, procure overhaul of F40PH services from an alternate third-party and Contractor shall be liable to HTSI for all of its costs and damages, including, but not limited to, any excess costs.
23.4 All finished or unfinished documents and materials produced or procured under this Agreement shall become HTSI property upon date of such termination.
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23.5 If, after notice of termination of this Agreement under the provisions of this article, it is determined for any reason that Contractor was not in default under the provisions of this article, or that the default was excusable under the terms of this Agreement, the rights and obligations of the parties shall be the same as if the notice of termination had been issued pursuant to the Article entitled Termination for Convenience.
23.6 The rights and remedies of each party provided in this article shall not be exclusive and are in addition to any other rights and remedies provided by law or under this Agreement.
24. ASSIGNMENT24.1 This Agreement, any interest herein or claim hereunder, may not be assigned by
Contractor either voluntarily or by operation of law, nor may all or any part of this Agreement be subcontracted by Contractor, without the prior written consent of HTSI. Consent by HTSI shall not be deemed to relieve Contractor of its obligations to comply fully with all terms and conditions of this Agreement.
25. FORCE MAJEUREThe Contractor will be granted an extension of time for any portion of a delay in completion of
the Work caused by acts of God or the public enemy, wars, civil disturbances, fires, floods,
earthquakes, epidemics, quarantine restrictions, freight embargoes, or weather more severe
than normal, providing that (1) the aforesaid causes were not foreseeable and did not result
from the fault or negligence of the Contractor, (2) the Contractor has taken reasonable
precautions to prevent further delays owing to such causes, and (3) the Contractor notifies HTSI
in writing of the cause(s) for the delay within five days from the beginning of any such delay.
No claims for additional compensation or damages for the foregoing delays shall be allowed to
the Contractor, and the extension of time provided for herein shall be the sole remedy of the
Contractor on account of any such delays.
26. RIGHTS IN SHOP DRAWINGS, WORKING DRAWINGS, TECHNICAL DATA,PATENTS AND COPYRIGHTS
26.1 Shop Drawings and Working Drawings submitted to HTSI by the Contractor, its Subcontractors or Suppliers of any tier pursuant to the Agreement, are the property of HTSI, and HTSI may use and disclose, in any manner and for any purpose, Shop Drawings and Working Drawings delivered under the Agreement (subject to the Article entitled Public Records Act, herein).
26.2 Technical data, as used herein, means any form or format of technical writing, including operations/maintenance manuals, pictorial reproductions, drawings or other graphic
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representations, and documents of a technical nature, including computer software and program listings, which are developed or required to be delivered pursuant to the Agreement. The term does not include financial reports, cost analyses, and other information incidental to contract administration.
26.3 HTSI shall have the right, for the purpose of operating and maintaining HTSI service or any equipment or other items supplied by the Contractor, to use, duplicate, modify or disclose the technical data and the information conveyed therein, in whole or in part, in any manner whatsoever, and to have or permit others to do so except as limited by the Article entitled Public Records Act.
26.4 The Contractor shall agree to grant to HTSI/SFRTA and to its officers, agents, and employees acting within the scope of their official duties, a royalty-free license, to publish, translate, reproduce, deliver, and use as it deems fit all technical data covered by copyright supplied for the Agreement. No such copyrighted matter shall be included in technical data furnished hereunder without the written permission of the copyright owner for HTSI to use such in the manner herein described. The Contractor shall secure and deliver to HTSI the written permission for third parties claiming patent, copyright, or proprietary rights in technical data for
HTSI to use such technical data in the manner herein described.
26.5 The Contractor shall bear all costs arising from the use of patented equipment, materials, devices, and/or processes used on and/or incorporated into the work. When use of these equipment, materials, devices, and/or processes are judged to be an infringement and their use is banned, the Contractor, at its own expense, shall, with the concurrence of HTSI, do one of the following:
26.5.1 Secure for HTSI the right to continue using said equipment, materials, devices, and/or processes by suspension of the injunction or by procuring a license(s);
26.5.2 Replace said equipment, materials, devices, and/or processes with non- infringing equipment, materials, devices, and/or processes;
26.5.3 Modify said equipment, materials, devices, and/or processes so that they become non-infringing; or
26.5.4 Remove said equipment, materials, devices, and/or processes and refund the sum paid therefore without prejudice to any other rights of HTSI.
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27. EQUAL OPPORTUNITYIn connection with the execution of this Agreement, Contractor shall not discriminate against, or
grant preferential treatment to, any individual or group, or any employee or applicant for
employment because of race, age, religion, color, ethnicity, sex, national origin, ancestry,
physical disability, mental disability, political affiliation, sexual orientation or marital or veteran
status.
28. DISADVANTAGED BUSINESS ENTERPRISE PARTICIPATION28.1 In accordance with Federal financial assistance agreements with U.S. Department
of Transportation (DOT), Federal Highway Administration (FHWA), HTSI has adopted a Disadvantaged Business Enterprise (DBE) program, in conformance with Title 49 CFR Part 26; “Participation by Disadvantaged Business Enterprises in Department of Transportation Programs”.
28.2 It is the policy of HTSI to ensure that DBEs can fairly compete for and perform on all HTSI DOT-assisted contracts and subcontracts. Accordingly, HTSI has adopted an overall annual DBE participation goal of 6.8 % for FY 2017/2018. Although HTSI has not established a specific goal for DBE participation for this procurement, due to the contract size and/or based upon the unknown availability of subcontracting opportunities, Contractor shall take all necessary and reasonable good faith efforts in support of the overall DBE Program objectives.
28.3 Race-Neutral DBE Reporting Requirements If Contractor is a DBE firm and/or has proposed to utilize DBE firms, the Contractor will be
required to complete and submit a “Monthly DBE Subcontractors Paid Report Summary” (Form
103 or equivalent) to HTSI by the 15th of each month, following the first month of the Agreement
activity. The Contractor is advised not to credit the participation of DBE subcontractors towards
achieving DBE participation until the amount being credited has been paid to the DBE firm.
28.4 Non-Discrimination Assurances Contractor shall not discriminate on the basis of race, color, national origin or sex in the award
and performance of any HTSI Agreements. Contractor further certifies and agrees that all
persons employed by the Contractor, its affiliates, subsidiaries, or holding companies are and
will be treated equally by the Contractor without regard to or because of race, religion, ancestry,
national origin, or sex and in compliance with state and Federal anti-discrimination laws.
Overhaul, Conversion and Upgrade of Diesel-Electric Locomotives
2017-100 94
November 10, 2017
29. EXCESS REPROCUREMENT LIABILITYContractor shall be liable to HTSI for all expenses incurred by HTSI in reproducing elsewhere
the same or similar items or services offered by Contractor hereunder, should Contractor fail to
perform or be terminated for failure to meet the terms and conditions set forth herein.
30. NO WAIVER30.1 Failure of HTSI to enforce at any time, or from time to time, any provision
of the Agreement shall not be construed as a waiver thereof. 30.2 No waiver by HTSI of any breach of any provision of the Agreement shall
constitute a waiver of any other breach or of such provision. 30.3 Failure by HTSI to insist upon strict performance of any terms or conditions of
the Agreement or failure to delay to exercise any rights or remedies provided herein by law shall not be deemed a waiver of any right of HTSI to insist upon strict performance of the Contractor's obligations set forth in the Agreement, or any of its rights or remedies as to any prior or subsequent default hereunder.
31. SEVERABILITYIn the event any article, section, subarticle, paragraph, sentence, clause, or phrase contained
in the Agreement shall be determined, declared, or adjudged invalid, illegal, unconstitutional,
or otherwise unenforceable, such determination, declaration, or adjudication shall in no
manner affect the other articles, sections, subarticles, paragraphs, sentences, clauses, or
phrases of the Agreement, which shall remain in full force and effect as if the article, section,
subarticle, paragraph, sentence, clause, or phrase declared, determined, or adjudged invalid,
illegal, unconstitutional, or otherwise unenforceable, was not originally contained in the
Agreement.
32. GOVERNING LAW32.1 This Agreement shall be governed by the substantive and procedural laws of
the State of Florida.
32.2 Contractor shall comply with all applicable federal, state and local laws and ordinances.
33. ENTIRE CONTRACTThis Agreement, and any attachments or documents incorporated herein by inclusion or by
reference, constitutes the complete and entire Agreement between HTSI and Contractor and
supersedes any prior representations, understandings, communications, commitments,
Agreements, Proposals or proposals, oral or written.
Overhaul, Conversion and Upgrade of Diesel-Electric Locomotives
2017-100 95
November 10, 2017
34. Special Provisions1. Attachment C, Required Contract Clauses is attached and incorporated by reference.
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed on the
date shown below, and effective on the date first hereinabove written.
CONTRACTOR HERZOG TRANSIT SERVICES, INC.
Name Title: Name Title:
Date: Date:
Tax I.D. No.
Overhaul, Conversion and Upgrade of Diesel-Electric Locomotives
2017-100 96
November 10, 2017
ATTACHMENT A
SCOPE OF WORK
Overhaul, Conversion and Upgrade of Diesel-Electric Locomotives
2017-100 97
November 10, 2017
ATTACHMENT B
PROPOSAL
Overhaul, Conversion and Upgrade of Diesel-Electric Locomotives
2017-100 98
November 10, 2017
ATTACHMENT C
REQUIRED SUBCONTRACT CLAUSES
T_RANSIT ERVICES .,;_;;N...:..C..:.... _
P.O. Box 518
St. Joseph, MO 64502
Phone: (816) 233-9002
Fax: (816) 233-7757
April 17, 2017
RE: Contract for Overhaul, Conversion and Upgrades of Locomotives
Subject: Required Subcontract Clauses - Attachment C
Dear Sir or Madam:
The Prime Contract documents including all exhibits, drawings, specifications (general and special) and documents as
confirmed by the Owner (including but not limited to the enclosed) are all incorporated and made a part of your
Contract Agreement #001 as Attachment C and the Contractor agrees to be bound to Herzog Transit Services, Inc.
and the Owner by the terms and provisions thereof: Similarly, Contractor shall require its subcontractors to disclose
similar provisions in its subcontractor agreements.
• Federal Clauses 16-010 (attached)
• Disadvantaged Business Enterprise (DBE) Program (attached)
• Exhibit 6 - Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion (attached)
• Exhibit 7 - Certification Regarding Lobbying (attached)
• Article 2.34 - E-Verify Requirements (attached)
• Exhibit 11 - Employment Eligibility Verification (attached)
• Article 3.0 - Labor Relations and Employment (attached)
• Article 10.0 - Subcontractors (attached)
This "Attachment C" cover letter has been prepared in duplicate and both copies should be signed by an authorized
officer of your company. One copy is to be retained by your company and one copy returned with your executed
subcontract.
Sincerely,
HERZOG TRANSIT SERVICES, INC.
Trevor Sego
Contract Administrator
Enclosures
Contractor: _
Signature: _
Title: _ Date: _
Cc: Ros T. Doug W.
I
! i i I
I I FEDERAL CLAUSES
16..00S010
MARKED CLAUSES ARE APPLICABLE TO THIS PROCUREMENT
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NO FEDERAL GOVERNMENT OBLIGATIONS TO THIRD PARTIES ...................................................... 1
FALSE OR FRAUDULENT STATEMENTS OR CLAIMS- CIVIL AND CRIMINAL FRAUD ........................ 1
ACCESS TO THIRD PARTY CONTRACT RECORDS ..................................................................................... 1
CHANGES TO FEDERAL REQUIREMENTS .................................................................., ..................... 2
CIVIL RfGHTS {TITLE VI, ADA, EEO) ,u11u1n,u111tf•ltrtu1111u11tU11J11t11t1oi,>ottuu,uttft1nn111u11111u1un1u1 2
DISADVANTAGED BUSINESS ENTERPRISES (DBE}s .................................................................................3
INCORPORATION OF FTA TERMS....................................................................................................... 4
TERMINATION ....,,un••••••u•••••••••......,uuut1,,111o••••n111.••••.. •ltu·.01,•t•u1.. •••••••••1UlHlf .. •••••u11,·r••••••h•..••••-4
DEBARMENT ANDSUSPENSION.............·...........................................-.. ; ..................................... 5
BUY AMERICA ............,............................,...............................-;..............;.,.......;.....;,..............;-;.5
RESOLUTION OF DISPUTES, BREACHES, OR OTHER LITIGATION ..........................................................6
LOBBYING ............................................................................................................................................ 6
CLEAN AIR ................................................................................................................................... 6
CLEAN WATER .........................................................................................., .................................. 6
CARGO PREFERENCE .................................................................................................................................. 6
FLY AMERICA.........................................................................................., ...................................... 7
CONSTRUCTION EMPLOYEE PROTECTIONS-DAVIS-BACON ACT ............................................................. 7
CONSTRUCTION EMPLOYEE PROTECTIONS - CONTRACT WORI< HOURS & SAFETY STANDARDS
A C T , , ,. 11H tt 11.1u 11tu tU H n 1111u u u 11.11 ♦ 1, 1 1J1u .1u n 1, 111u 1•1.ll • u 1• • • n •u u 1tt, 1u 1_1.,, ,,, , ,-,, u 1,.•1111n 1111 _1,, t n 1n, u 111 1t u u 11 14
CONSTRUCTION EMPLOYEE PROTECTIONS- COPELAND ANTI-KICl{BACK ACT .......................... 15
BONDING FOR CONSTRUCTION ACTIVITIES EXCEEDING $100,000 ..................................., ......... 15
SEISMIC SAFEl"Yni11fl fll I I t'tnt 111'1fH I HI .....IUI,,II lltHI••I ttItII IHII,t1Uh11tiuu"'n......_,,.. I• ,,u .. , .. ohn tit Ii"'16
NONCONSTRUCTION EMPLOYEE PROTECTION -CONTRACT WORK HOURS & SAFETY
STANDARDS ACT..........................................................................:....................................., ... 16
TRANSIT EMPLOYEE PROTECTIVE ARRANGEMENTS ................................................................:1.6
CHARTER us OPERATIONS.......................................................................................,;......, ...... 17
SCHOOL BUS OPERATIONS ..........................................................................................,;,....;;•• :1.8
ADDENDUM NO. 7
26 DRUG USE AND TESTING ............................................................................................................. 18
27 ALCOHOL MlSUSE AND TESTING ................................................................................................ 18
28 PATENT AND RIGHTS IN DATA ........................................................................................ 19
29 SPECIAL NOTIFICATION R QUIREMENT FOR STATES ............................................................ 19
X 30 ENERGY CONSERVATION .............................................................................................. 19
31 RECYCLED PRODUCTS .................................................................................................. 19
X 32 CONFORMANCE WITH NATIONAL ITS ARCHITECTURE .......................................................... 19
X 33 ADA ACCESS .................................................................................................................................. 20
34 BUSTESTING .................................................................................................................... 20
35 PRE-AWARD AND POST-DELIVERY AUDIT REQUIREMENTS ................................................. 21
36 TVM CERTIFICATION ....................................................................................................... 21
Ii
Provisions 1 through 7 apply to ALL CONTRACTS
1 NO FEDERAL GOVER NM ENT OBLIGATIONS TO THIRD PARTIES A. SFRTA 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 SFRTA, Contractor, or any other party (whether or not a party to that Contract) pertaining to any matter resulting from the underlying Contract,
B. 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.
2 FALSE OR FRAUDULENT STATEMENTS OR CLAIMS - CIVIL AND CRIMINAL FRAUD A. 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 CFR Part 31, apply to Its actions pertaining to this Project. Upon execution or performance 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 the authority of 49 U.S.C. § 5307, the Gover.nment reserves the right to Impose the penalties of 18 U.S.C. § 1001 and 49 U.S.C. § 5307(n){1) 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 with Federal assistance provided by FTA. it is further agreed that the clauses shall not be modified, except to identify the subcontractor who will be subject to the provisions,
3 ACCESS TO THIRD PARTY CONTRACT RECORDS A. For a period of three years following Contract closing, the Contractor shall maintain, preserve and make avallable to SFRTA, the FTA Administrator, the Comptroller General of the United States, and any of their authorized representatives, access at all reasonable times to any books, documents, papers
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and records of Contractor which are directly pertinent to this Contract for the purposes of making audits, examinations, excerpts and transcriptions. Contractor also agrees, pursuant to 49 CFR 633.17, to provide the FTA Administrator or his or her authorized representatives, including any project management oversight contractor, access to Contractor's records and 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.
B. The Contractor shall maintain and SFRTA shall have the right to examine and audit all records and other evidence sufficient to reflect properly all prices, costs or rates negotiated and invoiced In performance of this Contract. This right of examination shall Include inspection at all reasonable times of the Contractor's offices engaged In performing the Contract.
C. If this Contract Is completely or partially terminated, the Contractor shall make avallable the records relating to the work terminated untll 3 years after any resulting final termination settlement. The Contractor shall make available records relating to appeals under the Disputes clause or to litigation or the settlement of claims arising under or relating to this Contract until such appeals, litigation, or claims are finally resolved,
D. "Access to Records and Reports" applies with equal force and effect to any subcontractors hired by the Contractor to perform Work under this Contract. The Contractor shall Insert this provision in all subcontracts under this Contract and require subcontractor compliance therewith.
4 CHANGES TO FEDERAL REQUIREMENTS
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 current Master Agreement between SFRTA 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, Contractor may contact either SFRTA or FTA for a copy of the current FTA Master Agreement.
5 CIVIL RIGHTS (TITLE VI, ADA, EEO)
The following requirements apply to the underlying Contract:
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 disabillty. 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:
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1. 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 CFR Parts 60 et seq., (which implement Executive Order No. 11246, "Equal Employment Opportunity," as amended by Executive Order No. 11375, "Amending Executive Order 11246 Relating to Equal Employment Opportunity," 42 U.S.C. § 2000e note), and with any applicable Federal statutes, executive orders, regulations, and Federal policies that may In the future affect activities undertaken In the course of this Contract. 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 limlted 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.
2. 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.
3. 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 U.S. Equal Employment Opportunity Commission, "Regulations to Implement the Equa I Employment Provisions of the Americans with Disabilities Act," 29 CFR Part 1630, pertaining to employment of persons with disabilities. In addition, Contractor agrees to comply with any Implementing requirements FTA may issue.
c. 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.
6 DISADVANTAGED BUSINESS ENTERPRISES (DBE)s A. This Contract Is subject to the requirements of Title 49, Code of Federal Regulations, Part 26, Participation by Disadvantaged Business Enterprises (DBEs) In Department of Transportation Flnanclal Assistance Programs. The national goal for participation of DBEs is 10%.
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 SFRTA deems appropriate. Each subcontract the Contractor signs with a subcontractor must include the assurance In this paragraph (see 49 CFR 26.13(b)).
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C. 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 SFRTA. In addition, the Contractor shall return any retalnage payments to subcontractors within 30 days after incremental acceptance of the subcontractor's Work by SFRTA and Contractor's receipt of the partial retalnage payment related to the subcontractor's Work.
D. The Contractor must promptly notify SFRTA, whenever a DBE subcontractor performing Work related to this Contract Is terminated or falls 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 SFRTA.
E. SFRTA sets an annual overall goal for the participation of disadvantaged business enterprises. This Contract contains a minimum level of DBE participation, and is awarded in reliance upon the Contractor's representations that It can attain such DBE participation levels In addition to all other of Contractor's representations, certifications and submlttals as required by this Contract.
The Contractor shall cooperate with SFRTA with regard to maximum utllizatlon of DBEs and will use Its best efforts to Insure that DBEs shall have the maximum practicable opportunity to compete for subcontract work under this Contract, The Contractor shall assist SFRTA In verifying compliance with the DBE requirements of this Contract, if any, by submitting status reports Itemizing payments to all DBE subcontractors with each monthly request for payment. Upon Contract completlon, the Contractor shall submit a summary of payments, by subcontract, made to all subcontractors to SFRTA's Administrative Compliance Officer.
7 INCORPORATION OF FTA TERMS The provisions of this Contract Include, in part, certain Standard Terms and Conditions required by DOT, whether or not expressly set forth In the Contract provisions. All contractual provisions required by DOT, as set forth in FTA Circular 4220,1F, dated November 1, 2008, as may be amended, 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, fall to perform any act, or refuse to comply with any SFRTA requests which would cause SFRTA to be in violation of the FTA terms and conditions. The Incorporation of FTA terms has unlimited flow down.
Provision 8 applies to AWARDS EXCEEDING $10,000
8 TERMINATION Refer to SFRTA's General Terms and Conditions
Provision 9 applies to AWARDS EXCEEDING $25,000
9 DEBARMENT AND SUSPENSION A. If this Contract is valued at $25,000 or greater, it is a covered transaction for purposes of 49 CFR Part 29. As such, Contractor ls required to verify that none of 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.
B. 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.
C. By accepting this Contract, Contractor ls certifying as follows:
1. The certification in this clause Is a material representatron of fact ·relied upon by SFRTA. If it Is later determined that Contractor knowingly rendered an erroneous certification, In addition to remedies available to SFRTA, the Federal Government may pursue available remedies, Including but not limited to suspension and/or debarment. Contractor agrees to comply with the requirements of 49 CFR 29, Subpart C throughout the period of this Contract.
2, Contractor further agrees to Include a provision requiring such compliance In its lower tier covered transactions.
Provisions 10 through 11 apply to AWARDS EXCEEDING THE SIMPLIFTED ACQUISTION THRESHOLD ($100,000)
10 BUY AMERICA (for Rolling Stock, Construction and Materials/Supplies)
The Buy America requirements apply to all contracts for construction, the acquisition of goods, or the acquisition of rolllng stock that are valued at more than $100,000.
The Contractor agrees to comply with 49 USC 53230) and 49 CFR Part 661, which provide that Federal funds may not be obligated unless steel, iron, and manufactured products used In FTA-funded projects are produced In the United States, unless a waiver has been granted by FTA or the product Is subject to a general waiver. General waivers are listed in 49 CFR 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 USC 5323(il(2)(C} and 49 CFR 661.11. Rolling stock must be assembled In the United States and have a 60 percent domestic content. The Contractor shall be responsible for ensuring that lower tier contractors and subcontractors are In compliance with these requirements.
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11 RESOLUTION OF DISPUTES, BREACHES, OR OTHER LITIGATION Refer to SFRTA's General Terms and Conditions
Provisions 12 through 14 apply to AWARDS EXCEEDING $100,000 BY STATUTE
12 LOBBYING Contractors and all subcontractors who apply or bid for an award of $100,000 or more shall flle the certification required by 49 CFR Part 20, "New Restrictions on Lobbying." Each tier certifies to the tier above that it will not use 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 SFRTA. Contractor should contact SFRTA for the appropriate certification or retrieve a copy from the FTA Best Practices Manual at http://www.fta.dot.gov/library/admln/BPPM/.
13 CLEAN AIR A. 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 SFRTA and understands and agrees that SFRTA will, in turn, report each violation as required to assure notification to FTA and the appropriate EPA Regional Office,
B. Contractor also agrees to include these requirements In each subcontract exceeding $100,000 financed in whole or in part with Federal assistance provlded by FTA.
14 CLEAN WATER A. 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. Contractor agrees to report each violation to SFRTA and understands and agrees that SFRTA wlll, In turn, report each violation as required to assure notification to FTA and the appropriate EPA Regional Office.
B. 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.
Provisions 15 and 16 apply for the TRANSPORT OF PROPERTY OR PERSONS
15 CARGO PREFERENCE (Rolling Stock, Construction and Materials/Supplies)
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The Cargo Preference requirements apply to all contracts involving equipment, materials, or commodities which may be transported by ocean vessels.
The Contractor agrees:
1, 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;
2. 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 loading 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 SFRTA (through the Contractor In the case of a subcontractor's blll-of-ladlng);
3. 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.
16 FLV AMERICA In the performance of Contracts that utilize FTA participation In the cost of international air transportation, 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 C,F,R Part 301-10, which provide that recipients and subreclpletits 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. 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, Contractor agrees to Include the requirements of this section in all subcontracts that may Involve international air transportation.
Provisions 17 through 21apply to CONSTRUCTION ACTIVITIES
FTA 17 CONSTRUCTION EMPLOYEE PROTECTIONS- DAVIS-BACON ACT (Awards that exceed $2,000)
(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), wlll 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
B
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 (i)(lv) of this section; also, regular contributions made or costs Incurred 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 rngard to sklll, except as provided In 29 CFR Part 5.5(a)(4). Laborers or mechanics performing work In more than one classlflcation 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)(11) 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.
(li)(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 officer shall 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 classiflcatlon ls 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 c.ontracting officer agree on ihe 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
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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}(11) (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.
(Iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which ls 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 therefore only when the following criteria have been met:
(1) The worldo be performed by the classification requested is not performed by a classlflcatlon 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 wlll 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 classlfication 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 (al(1)(v) (Bl 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 SFRTA 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 o_r 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 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 SFRTA 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.S(a)(1)(1v) 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
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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 worl< Is performed a copy of all payrolls to the SFRTA 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}(1) 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) 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) 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 01· 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) 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.
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)(1i)(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 mal<e the records required under paragraph (a)(3)(1) 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 falls to submit the required records or to make them available, the Federal agency may, after written notice to the
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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 wlll 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 classlflcation 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
determhiation for the classlflcatlon 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 locaflty 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 classlflcatlon, 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, tralne·es 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, Employment and Training Administration. The ratio oftraine_es 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
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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 petformed. 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 utlllze 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 "Anti-Kickback" Act requirements - The contractor shall comply with the requirements of Section 1 of the Act, as amended, 18 U.S.C. § 874; Section 2 of the Act, as amended, 18 U.S.C. § 3145; and U.S. DOL regulations "Contractors and subcontractors on Public Building or Public Work Financed il1 Whole or in Part by Loans or Grants from the United States," 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 S,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, 31 and 5 are herein incorporated by reference In this contract.
(9) Disputes concerning tabor 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
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subcontractors) and the contracting agency, the U.S. Department of Labor, or the employees or their representatives.
(10) Certification of ellglblllty - (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 ts 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).
(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 ts prescribed In the U.S. Criminal Code, 18 U,S,C, 1001,
18 CONSTRUCTION EMPLOYEE PROTECTIONS -CONTRACT WORK HOURS & SAFETY STANDARDS
ACT
(for construction contracts that exceed $100,000)
(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 ls 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; llablllty 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 therefore 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 indivldual 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 SFRTA 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 llabllltles of such contractor or subcontractor for unpaid wages and liquidated damages as provided In the clause set forth In paragraph (2) of this section.
(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
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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 CONSTRUCTION EMPLOYEE PROTECTIONS- COPELAND ANTl•l(ICl(BACI( ACT
Compliance with Copeland "Anti-Kickback" Act ("Act"} requirements - The contractor shall comply with the following requirements:
(a) Section 1 of the Act, as amended, 18 U,S,C, § 874, applies to all Contracts:
(I) Whoever, by force, Intimidation, or threat of procuring dismissal from employment, or by any other manner whatsoever induces any person employed In the construction, prosecution, completion or repair of any public building, public work, or building or work financed In whole or in part by loans or grants from the United States, to give up any part of the compensation to which he ls entitled under his contract of employment, shall be fined under this title or imprisoned not more than five years, or both;
(b) Section· 2 of the Act, as amended, 18 U.S,C. § 3145, applies to construction and repair Contracts exceeding $2,000:
(I) In General.-The Secretary of Labor shall prescribe reasonable regulations for contractors and subcontractors engaged in constructing, carrying out, completing, or repairing public bulldlngs, public works, or buildings or works that at least partly are financed by a loan or grant from the Federal Government. The regulations shall Include a provision that each contractor and subcontractor each week must furnish a statement on the wages paid each employee during the prior week.
(Ii) Application.- The penalty for making false statements Is prescribed In the U.S. Criminal Code, 18 U.s.c, 1001; and
(c) U.S. DOL regulations "Contractors and Subcontractors on Public Building or Public Work Financed In Whole or In Part by Loans or Grants from the United States," 29 CFR Part 3, which are Incorporated by reference In this contract.
(d) For additional requirements of the Act not specified In this Article, see preceding Article FTA 1-7 -Construction Employee Protections - Davis Bacon Act.
20 BONDING FOR CONSTRUCTION ACTIVITIES EXCEEDING $100,000 Bid Bond Requirements (Construction)
Refer to SFRTA's General Terms and Conditions
21 SEISMIC SAFETY If this Contract for professional services involves the design of a new building or addition to an existing building, the Contractor agrees that any such 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 41and 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.
Provision 22 applies to NONCONSTRUCTION ACTIVITIES
22 NON CONSTRUCTION EMPLOYEE PROTECTION - CONTRACT WORI( HOURS & SAFETY STANDARDS ACT
(for all turnkey, rolling stock and operational contracts {except transportation services contracts and open market contracts} exceeding $100,000.)
The Contractor agrees to comply, and assures the compliance of each subcontractor, lessee, third party contractor, and other participant at any tier of the Project, with the employee protection requirements for nonconstructlon employees of the Contract Work Hours and Safety Standards Act, as amended, 40 U.s.c. §§ 3701 et seq,, In particular with the wage and hour requirements of section 102 of that Act at 40 U.S,C. § 3702, and with Implementing U,S, DOL regulations, "Labor Standards Provisions Applicable to Contracts Governing Federally Financed and Assisted Construction (also Labor Standards Provision Applicable to Nonconstruction Contracts Subject to the Contract Work hours and Safety Standards Act)," 29 CFR Part 5.
Provisions 23 through 27 apply to TRANSIT OPERATIONS
23 TRANSIT EMPLOYEE PROTECTIVE ARRANGEMENTS Public Transportation Employee Protective Arrangements. If the Grant Agreement or Cooperative Agreement for the Project Indicates that public transportation employee protective arrangements required by U.S. DOL apply to public transportation operations performed in connection with the Project, the Recipient agrees to comply with the applicable requirements for its Project as follows:
(1) Standard Public Transportation Employee Protective Arrangements. To the extent that the Project Involves public transportation operations and as required by Federal law, the Recipient agrees to Implement the Project In accordance with the terms and conditions that the U.S. Secretary of Labor has determined to be fair and equitable to protect the Interests of any employees affected by the Project and that comply with the requirements of 49 u.s.c. § 5333(b), and with the U.S. DOL guidelines, "Section 5333(b), Federal Transit Law," 29 C.F,R. Part 215 and any amendments thereto. These terms and conditions are identified in U.S. DOL's certification of public transportation employee protective arrangements to FTA, the date of which appears In the Grant Agreement or Cooperative Agreement for the Project. The Recipient agrees to Implement the Project In accordance with the conditions stated In
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that U.S. DOL certification. That certification and any documents cited therein are Incorporated by reference and made part of the Grant Agreement or Cooperative Agreement for the Project. The requirements of this Subsection 24.d(i) of this Master Agreement do not apply to Projects for elderly Individuals or Individuals with disabilities that are authorized by 49 U,S,C, § 5310(a)(2) or subsection 3012(b) of SAFETEA-LU; or to Projects for nonurbanized areas authorized by 49 U.S.C. § 5311; separate requirements for those Projects are contained In Subsections 24.d(2) and (3), respectively, of this Master Agreement.
(2) Public Transportation Employee Protective Arrangements for Elderly Individuals and Individuals with Disabilities for the Elderly Individuals and Individuals with Dlsabilltles Formula Program and Pilot Program. To the extent that the U.S. Secretary of Transportation has determined or determines in the future that employee protective arrangements required by 49 U,5.C. § 5333(b) are necessary or appropriate for a governmental authority sub recipient participating a Project authorized by 49 U,S.C.
§ 5310(b)(2} or subsection 3012(b) of SAFETEA-LU, 49 U.5,C. § 5310 note, the Recipient agrees to carry out the Project in compliance with the terms and conditions determined by the U.S. Secretary of Labor necessary to comply with the requirements of 49 U.S.C. § 5333(b), and the U.S. DOL guidelines, "Section 5333(b), Federal Transit Law," at 29 C.F.R. Part 215, and any amendments thereto, These terms and conditions are identified In the U.S. DOL's certification of public transportation employee protective arrangements to FTA, the date of which appears In the Grant Agreement. The Recipient agrees to Implement the Project In compliance with the conditions stated In that U.S. DOL certification, That U.S. DOL certification and any documents cited therein are incorporated by reference and made part of the Grant Agreement.
(3) Public Transportation Employee Protective Arrangements for Projects in Nonurbanized Areas Authorized by 49 U.S,C. § 5311. The Recipient agrees to comply with the terms and conditions of the Special Warranty for the Nonurbanlzed Area Program agreed to by the U,S, Secretaries of Transportation and Labor, dated May 31, 1979,U.S. DOL implementing procedures, and any revisions thereto.
24 CHARTER BUS OPERATIONS The Contractor agrees that neither It nor any public transportation operator performing work In connection with a Project financed under 49 U,S.C. chapter 53 or under 23 U.S,C.§§ 133 or 142 will engage in charter service operations, except as authorized by 49 U,S.C. § 5323(d) and FTA regulations, "Charter Service," 49 C.F.R. Part 604, and any subsequent Charter Service regulations or FTA directives that may be issued, except to the extent that FTA determines otherwise In writing, Any charter service agreement required by FTA regulations is Incorporated by reference and made part of the Grant Agreement or Cooperative Agreement for the Project. The Contractor understands and agrees that In addition to any remedy specified in the charter service agreement, if a pattern of violations of that agreement Is found, the violator will be barred from receiving Federal transit assistance In an amount to be determined by FTA or U,S, DOT,
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25 SCHOOL BUS OPERATIONS The Contractor agrees that neither it nor any public transportation operator performing work in connection with a Project financed under 49 U,S.C, chapter 53, or under 23 U.S.C. §§ 133 or 142 will engage In school transportation operations for the transportation of students or school personnel exclusively In competition with private school transportation operators, except as authorized by 49 U.S.C. §§ 5323(f) or (g), as applicable, and FTA regulations, "School Bus Operations," 49 C.F.R. Part 605, and any subsequent School Transportation Operations regulations or FTA directives that may be Issued, except to the extent that FTA determines otherwise in writing, Any school transportation operations agreement required by FTA regulations Is incorporated by reference and made part of the Grant Agreement or Cooperative Agreement for the Project. The Contractor understands and agrees that If lt or an operator violates that school transportation operations agreement, the violator will be barred from receiving Federal transit assistance In an amount to be determined by FTA or U.S. DOT.
26 DRUG USE AND TESTING
The Contractor agrees to establish' and Implement a drug testing program that complies with 49 CFR Part 40 Part' 655, and permit any authorized representative of the United States Department of Transportation or Its operating administrations, or the SFRTA, to Inspect the facilities and records associated with the implementation of the drug and alcohol testing program as required under 49 CFR Part 40 and 655 and review the testing process. The Contractor agrees further to certify annually Its compliance with Part 40 and 655 before December 31st of every year and to submit the Management Information System (MIS) reports no later than February 15th of every year to the SFRTA. 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.
27 ALCOHOL MISUSE AND TESTING
The Contractor agrees to establish and Implement an alcohol testing program that complies with 49 CFR Part 40 Part 655, and permit any authorized representative of the United States Department of Transportation or Its operating administrations, the State Oversight Agency, or the Regional Transportation District, to Inspect the facilities and records associated with the implementation of the drug and alcohol testing program as required under 49 CFR Part 40 and 655 and review the testing process. The Contractor agrees further to certify annually its compliance with Part 40 and 655 before December 31st of every year and to submit the Management Information System (MIS) reports no later than February 15th of every year to the SFRTA. To certify compllance, 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.
Provision 28 applies to PLANNING, RESEARCH, DEVELOPMENT, AND DEMONSTRATION PROJECTS
28 PATENT AND RIGHTS IN DATA Refer to SFRTNs General Terms and Conditions
Provision 30 applies ONLY to States and Organizations that are being funded directly by the State with FTA grant funds.
29 SPECIAL NOTIFICATION REQUIREMENT FOR STATES (Per FTA guidance dated July 2011: "The notification requirements concerning federal assistance apply only to States and those organizations that are being funded directly by the State with FTA grant funds. This would Include sub-grantees, lessees, or third party contractors of the State. Government agencies that are not part of the State government who are receiving FTA grant funds directly from FTA do not have to comply with the special notification requirements for States." Therefore this clause does not apply to SFRTA Contracts.)
The Federal Transit Administration ("FTA") Is the Federal agency that is providing the Federal assistance for this Contract. The Catalog of Federal Domestic Assistance Number Is , for the amount of$_ .
MISCELLANEOUS SPECIAL REQUIREMENTS
30 ENERGY CONSERVATION · (applies to all contracts)
Contractor agrees to comply with mandatory standards and policies relating to energy efficiency that are contained in the state energy conservation plan, If any, issued In compliance with the Energy Policy and Conservation Act.
31 RECYCLED PRODUCTS (Contracts when procuring $10,000 or more per year of Items designated bv EPA)
The Contractor agrees to comply with all the requirements of Section 6002 of the Resourc.e 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 applv to the procurement of the Items designated in Subpart B of 40 CFR Part 247.
32 CONFORMANCE WITH NATIONAL ITS ARCHITECTURE (Contracts and solicitations for ITS projects)
National Intelligent Transportation Systems Architecture and Standards. To the extent applicable, the Contractor agrees to conform to the National Intelligent Transportation Systems (ITS) Architecture and Standards as required by SAFETEA-LU § 5307(c), 23 U,S.C. § 512 note, and comply with FTA Notice, "FTA
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National ITS Architecture Policy on Transit Projects" 66 Fed. Reg. 1455 et seq., January 8, 2001, and any subsequent further implementing directives, except to the extent FTA determines otherwise in writing.
33 ADA ACCESS (Contracts for rolling stock or facilities construction/renovation)
A. SFRTA must comply with: 49 U.S.C. § 5301(d), which states the Federal policy that elderly individuals and individuals with disabilities have the same right as other individuals to use public transportation services and facilities, and that special efforts shall be made in planning and designing those services and facilities to implement transportation accessibility rights for elderly Individuals and individuals with disabilities; all applicable provisions of section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794, which prohibits discrimination on the basis of disability; the Americans with Disabilities Act of 1990 (APA), as amended; 42 U,S,C, §§ 12101 et seq., which requires that accessible facilities and services be made available to individuals with disabilities; and the Architectural Barriers Act of 1968, as amended, 42 U.S.C, §§ 4151 et seq,, which requires that buildings and public accommodations be accessible to Individuals with dlsabilltles,
B. All deliverable Items provided by the Contractor for SFRTA under this Contract shall comply with the above-referenced laws as well as all other applicable federal, state and local regulations and directives and any subsequent amendments thereto.
Provisions 34 through 36 apply to ROLLING STOCK PROCUREMENTS
34 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 ln 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 testlngfacllity 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.
35 PRE-AWARD AND POST-DELIVERY AUDIT REQUIREMENTS The Contractor agrees to comply with 49 U.S.C. § 5323(1) 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/Offerer 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 offlnal assembly.
(2) Solicltation 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 wlll not be subject to FMVSS regulations.
36 TVM CERTIFICATION The Transit Vehicle Manufacturer (TVM} shall provide SFRTA with a certificate that complies with 49 CFR Part 26.49 stating that the TVM has complied with FTA's DBE requirements. The TVM shall also provide SFRTA with the most current letter from the FTA approving the TVM's DBE goal/methodology and ellglbllity to participate In the FTA DBE program as a TVM in accordance with 49 CFR Part 26.49, If the FTA has not yet approved the DBE Goal, the TVM shall make a certification to that effect as required by
49 CFR Part 26.49 and In addition submit to SFRTA a copy of the documents submitted to FTA for approval. These documents shall be submitted with the solicitation response or the TVM's submittal may be deemed non-responsive.
21
Disadvantaged Business Enterprise (DBE) Program
It is the policy of the South Florida Regional Transpottation Authority (SFRTA) that Disadvantaged Business Enterptises, as defmed in 49 CFR Patt 26, shall have the maximum opportunity to patticipate in the performance of contracts. SFRTA will never exclude any person from participation in, deny any person the benefits of, or otherwise discriminate against anyone in connection with the award and performance of any contract covered by 49 CFR Part 26 on the basis of race, color, sex, or national origin.
SFRTA has an overall Agency DBE participation goal of9% which Contractors are encouraged to meet. SFRTA has not established a goal fot· this specific procurement, however, Contractors are encouraged to take all necessary and reasonable steps to ensure that DBE's have the maximum opportunity to compete for and perform services on contracts, including participation in any subsequent supplemental contracts. If the Contractors intend to subcontract a portion of the services on the project, Contractor are encournged to seek out and consider DBE's as potential subcontractors, by soliciting their interest, capability, and qualifications.
Exhibit 6 CERTIFICATION REGARDING DEBAR.M:ENT, SUSPENSION,
INELIGIBILITY AND VOLUNTARY EXCLUSION - LOWER TIER COVERED TRANSACTIONS -
1. By signing and submitting this ce1tification with the bid or pl'oposal, the prospective lower tier participant is providing the ce1tification set out below.
2. The ce1tification in this clause is a material rept'esentation of fact upon which reHance was placed when this transaction was entered into, If it is later determined that the prospective lower tier pa1ticipant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, SFRTA may pursue available remedies, including suspension and/or debarment.
3. The prospective lower tier pa1ticipant shall provide immediate written notice to the person to which this bid or proposal is submitted if at any time the prospective lower tier participant learns that its ce1tification was erroneous when submitted 01· has become erroneous by reason of changed circumstances,
4. The terms "covered transaction", "debaned", "suspended", "ineligible", "lower tier covered transaction", "participant", "persons", "principal", "proposal" and "voluntarily excluded", as used in this clause, have the meanings set out in the Definitions and Coverage section of rules implementing Executive Order 12549 [49 CFR Pait 29], You may contact the person to which this bid or proposal is submitted for assistance in obtaining a copy of those regulations.
5, The prospective lower tier participant agrees by submitting this bid 01· pl'oposal that, should the proposed covered transaction be entered into, it shall not knowingly entel' into any lower tie1· covered transaction with a person who is debaned, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the depaitment or agency with which this transaction originated,
6. The prospective lower tier pa1ticipant futther agrees by submitting this bid 01· proposal that it will include this clause title "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transaction -" without modification, in all lowe1· tier covered transactions and in all solicitations for lower tier covered transactions, and in all subcontracts.
7. A patticipant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debaned, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the ceitification is erroneous, A patticipant may decide the method and :frequency by which it determines the eligibility of its principals. Each participant may, but is not reguil'ed to, check the Nonprocurement List issued by U.S. General Service Administration.
8, Nothing contained in the foregoing shall be constmed to require establishment of a system of records in order to render in good faith the certification requil'ed by this clause. The knowledge and information of a pmticipant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.
RFPNUMBER 16-010 EX6-l OF2
Exhibit 6
RFPNUMBER 16-010 EX6-20F2
9. Except for transaction authorized under paragraph 5 of these instruction, if a participant in a covered transaction knowingly enters into a lowel' tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to othel' L'emedies available to the Federal Government, the SFRTA may pursue available remedies, including suspension and/or debarment.
Stateof Countyof _
I, ,hel'eby attest and swear that I am
of and the (Title) (Firm)
named firm is submitting the attached bid/proposal fol' the project(s) identified as follows: SFRTARFPNUMBER 16-010, for THE SFRTA OPERATING SERVICES CONTRACT.
I further hereby certify that: 1) I am either an officer, director, owner, partner, key employee, or other person within the prospective lower tier patticipant with primary management or supervisory responsibilities;
2) To the best of my knowledge and belief, the prospective lower tier participant and its principals:
a. Are not presently debarred, suspended, proposed for debarment, declared
ineligible, or voluntarily excluded from participation in this h·ansaction by any Federal depa1iment or agency.
b, Where the prospective lower tier participant is unable to certify to any of the
statements in this certification, such prospective participant shall attach an explanation to this bid/proposa_L Exceptions:
Any exception list above will not necessarily result in denial of participation in this covered transaction. For any exception noted, indicate to whom it applies, initiating agency, and dates of agency action. The explanation will be considered in connection with SFRTA's determination whether to enter into this transaction.
Sworn to and subscribed before me this nffiant
day of ,
Notary
My commission expires
Exhibit 7
RFPNUMBER16-010 EX7-l OF 1
CERTIFICATION REGARDING LOBBYING Certification for Contracts, Grants, Loans, and Cooperative Agreements
{To be submitted wUh each bid or offer exceed;ng $100,000)
The undersigned [Firm] 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 gl.'ant, 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 Congrnss, 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, 11Disclosure Form to Repmt Lobbying," in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award docl1ments for all subawards at all tiers (including subconteacts, subgrants, and contracts under grants, loans, and cooperative agl'eements) 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 ce1tification is a prerequisite for making or entering into this transaction. 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.
Signature of Firm1s Authorized Official
------------Name and Title of Firm's Authorized Official
Date
2,32 VARIANCES IN TERMS AND CONDITIONS
Where there appears to be variances or conflicts between provisions in the Contract Documents , interpretation of the Contract Documents shall be governed by the following order of precedence::
Addenda Technical Specifications RFP Requirements/Instructions Special Terms and Conditions General Terms and Conditions
2,33 MISCELLANEOUS
All words used herein in the singular form shall extend to and include the plural. All words used in the plural form shall extend to and include the singular. All words used in any gender shall extend to and include all genders.
There are no understandings 01· agreements except as herein expressly stated.
Failurn to capitalize any defined term in the Contract Documents shall not change the meaning of the def'med term when used in the Contract Documents.
2.34 E-VERIFY
The Contractor shall utilize the U,S. Department of Homeland Security's E-Verify system, in accordance with the terms governing use of the system, to verify the employment eligibility of all new employees hired by the Contractor dming the Contract Documents Term to perform employment duties within Flol'ida and all persons, including subcontractors, assigned by the Contractor to perform Work pursuant to the Conteact Documents.
All contracts between the Contractor and a subcontractor shall require the subcontractor to disclose similar provisions in its subcontractor agreements. Such Contractor and subcontractors shall be required to cettify as to the truth of this provision or to disclose circumstances to the contrary.
2.35 CONTRACTOR CERTIFICATION REGARDING SCRUTINIZED COMPANIES
The Contractor ce1tifies that it is not on the Scrutinized Companies with Activities in Sudan List or the Scrutinized Companies with Activities in the Iran Petroleum Energy Sector List, Scrutinized Companies that boycott Israel List, and that it does not have business operations in Cuba or Syria as provided in Fla. Stat. §287.135, as may be amended or revised. The Authority may terminate the Contract Documents at the Authorities option if the Contractor is found to have submitted a false certification as provided under subsection (5) of Fla. Stat. §287.135, as may be amended or revised, or been placed on the Scrntinized Companies with Activities in the Iran Petroleum Energy Sector List or has been engaged in business operations in Cuba, Syria,
RFP NUMBER16-010 - ADDENDUM NO, l
RFPNUMBER 16-010 EXll-1 OF2
--- ----:----:--------:-------
Exhibit 11
SOUTHFLORIDAREGIONALTRANSPORTATION AUTHORITY (S.F.R.T.A.)
COMPLIANCE WITH THE U.S. DEPARTMENT OF HOlvlELAND SECURITY U.S. CITIZENSHIP AND I!VIMIGRATION SERVICES
EMPLOYMENT ELIGIBILITY VERIFICATION (E-VERIFY)
TIIlS FORM MUST BE SIGNED AND SWORN TO IN THE PRESENCE OF A NOTARY PUBLIC OR OTHER OFFICIAL AUTHORIZED TO ADN1INISTER OATHS.
This sworn statement is submitted to: South Florida Regional Transportation Authority.
by -----;(:print :ind.ividuavl's nkamfe aundatitle) 'snanw -----
fol' (print name of entity sub itting swom statement)
whose business address is:--------------------------
and (if applicable) its Federal Employer Identification Number (FEIN) is _ (if the entity has no FEIN, include Social Security Number of the individual signing this sworn statement:
.)
I, being duly first sworn state:
That the above name fil'm, corporation or organization is in compliance with and agrnes to continue to pomply with, and assure that any sub-contractor, or third patty contractor under this project complies with all applicable requirements of the laws listed below including, but not limited to, those provisions pertaining to employment, provisions or progrnms and services, transpo1tation, communication, access to facilities, renovations, and new construction.
E-Verify program is found in Title IV, Subtitle A, of the Illegal Immigration Reform and Immigration Responsibility Act of 1996 (llRIRA), Pub. L. 104-208, 110 Stat. 3009, as amended (8 U.S,C. § 1324anote), Authority for use of the E-Verify program by Federal contractors and subcontractors covered by the terms of Subpart 22.18, "Employment Eligibility Verification", of the Federal Acquisition Regulation (FAR) (hereinafter referred to in this MOU as a "Federal contractor with the FAR E-Verify clause") to verify the employment eligibility of certain employees working on Federal contracts is also found in Subpart 22.18 and in Executive Order 12989, as amended.
EX11-20F2 RFPNUMBER 16-010
Exhibit 11
SOUTH FLORIDA REGIONAL TRANSPORTA'TION AUTHORITY (S,F.R.T.A.) COMPLIANCE WITH THE U.S. DEPARTMENT OF HOMELAND SECURITY U.S. CJTIZENSHIP AND Il\/lMTGRATION SERVICES ElvIPLOYMENT ELIGIBILITY VERIFICATION (E-VERIFY)
(Signature)
Sworn to and subscribe before me this day of , 20
.Personally known
or produced identification: Nota1y Public, State of _
My Commission Expires _ (fype of Identification)
(Printed, typed or stamped commissioned name of Notary Public)
ADDENDUM NO.1 Page STC-2 of27
, RtOtONI\L
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111omff rLonlol\l OPERATING SERVICES CONrRACT rn/\NsPoflrllTIOI\I SPECIAL TERMS AND CONDITIONS /\urttomrv Contract No.16,010
3.® 11...AIB(Q) Elt.A'li'OO>NS ANID> IEMl!fl'ILOlVMIEN'ii'
3,:il. Ralll'oad Retll'ement Requil'ements All Employees providing Train Operations Work a11d Dispatching Work shall be employed by an employer within the meaning of the Railroad Retirement Act (45 USC section 231, et seq,) and the Railroad Unemployment Insurance Act (45 USC 351, et seq.) ("Railroad Retirement Requirements"), All Employees providing the Operating Services shall be employees of the Contractor, except to the extent that It Is necessary for the Contractor to have corporate affiliates (but NOT third party contractors) perform the Train Operations and Dispatching portions of the Operating Services, In order to satisfy the Rallroad Retlrem1mt Hequlrements. The sole exception to the requirement that all Employees be employed by either the Contractor or one (or more) of Its corporate afflllates shall be the Employees providing Station Maintenance Work for the Operating Services.
3.2 Labor Protection The Contractor shall provide SFRTA with current versions of any applicable collectlve bargaining agreements that the Contractor has with the duly authorized representatives, If an, of Its
employees who are providing Operating Services throughout the Term within twenty-four (24)
hours of SFRTA's request.
The Contractor shall not enter Into any collectlve bargaining agreement(s), side letters, bypass agreements, or other agreements, by whatever name, that contain a term that co11fllcts With the requirements of the Contract Documents. Entering Into such an agreement, or any refusal by the Contractor to comply with any requirement of the Contract Documents based on the existence of a conflicting requirement In an agreement between the Contractor and a third party shall be considered a material breach of the Contract Documents.
The Contractor shall lridemntry, defend and hold harmless SFRTA, Its officers, employees and agents, from any claim, action, suit or damages, arising from any action taken by the Contractor with respect to an applicant or employee In order to comply with the terms of 1he Contract Documents, This Indemnification shall Include any appeals.
"Section 13(c)'' refers to Section 18(c) of the Federal Transit Act, now codified at 49 u.s.c. §
5333(b).
The responsibility of the Contractor relatlng toSection 13(c) Labor Protection shall be as follows:
A. Contractor shall be flnanclally and legally responsible for any claims or obllgatlons arising under Section 13(c) of the Federal Transit Act (49 U,S.C. § 5333(b)), Including claims arising under SFRTA's existing 13(c) agreements and any such agreement as may be entered Into during the Term. Contractor shall Indemnify, defend, and hold SFRTA harmless from any Section 13(c) Labor Protection claims, obligations, costs, expenses, and attorney fees.
Contractor and SFRTA agree and acknowledge that $100,000.00 of the annual total compensation under this Contract Is given as separate consideration for this
ADDENDUM NO, 1 Poge ST0-3 of 27
i nrn1or111
\ \ l I / l
I ::ourn fL011m11 I OPERATING SERVICES CONTRACT
lfl/\NSPOfl("110tl SPECIAL TERMS AND CONDITIONS Aurnon,rv Contract No, ;1,6,010
Indemnification, the sufficiency of which Is acknowledged by Contractor's execution of this Agreement.
B. contractor agrees to afford any Employees currently providing the Worl<, a priority In hiring for positions with the Contractor In the performance of those same services, Contractor shall, at a minimum, use the hiring standards and other hiring criteria contained herein, but may Independently establish other reasonable quallflcatlons for hiring provided they are not less stringent than or otherwise conflict with the hiring standards, and may utlllze such qualifications In the hiring process (Including the hiring of any Employees who are afforded a priority In hiring pursuant to this paragraph), Contractor shall provide to SFRTA a description of the process It will use to comply with this Section, Including the procedure It wlll use to Interview employees, the quallficatlons and evaluation criteria It wlll use In hiring, and the training It will offer to assist Employees to qualify for positions. Any subcontractor to the Contractor must also comply with the requirements of this Section.
C, Contractor shall bargain collectively with any representative that Is duly authorized by Its employees In accordance with applicable law, or with which It Is otherwise required to bargain by applicable law, and shall comply with the terms and conditions of any collective bargaining agreement that Contractor enters Into with such labor organization,
D. Contractor shall promptly share with SFRTA all Information SFRTA deems necessary In connection with the administration of any Section 13(c) obligations In connection with the Work, Including the resolution or defense of Section 13(c) claims or disputes, and the negotiation of agreements or settlements over Issues that may arise In connection with or relate to the Work, Contractor shall also tal<e all appropriate actions to avoid and minimize any S ctlon 13(c) llablllty relating to the Worlc.
E, Employee Quallflcatlons
In addition to any requirements for Employee qualifications In 49 CFR Parts 240 and 242, all Contractor personnel covered by 49 CFR Parts 240 and 242 shall meet the requirement 2 below. Unless speclflcally waived by SFRTA, all Key Management Personnel, l<ey Personnel, and Supervisors, shall be required to meet the following requirements In 1 through 5:
1, High school diploma, or equivalent (or as required by the Contract Documents for that position)
2, Ablllty to fluently read, write, and speak In English
3, Not be hearing Impaired
4. Have corrected vision io 20/40
5, Not be color blind
I
\ \ I I I SOUTH fLOfllD/1I ,T. I, REOH)N/\L OPERATING SERVICES CONTRACT
I 111/\NSl'OIITI\TION SPECIAL TERMS AND CONDITIONS 1 I\UTHo nr1v Contract No. 16,010
®•® IP'IRllOl1flE@1fO@N IO>IF PIR<@Ple!Kt'll1{
The Contractor shall, at all times throughout the Term, perform Work In such a manner that all property owned, leased or operated by SFRTA, the State, CSXT, FECR or any other third party (the "Property") Is protected. The Contractor shall be responsible for repairing or replacing (as determined solely by SFRTA) ln-lilnd any article of the Property that has been damaged or destroyed, In whole or In part, as a result of the Work. Replacement of In-kind, damaged, or destroyed Property shall be provided by the Contractor, at no expense to SFRTA, lhe State, CSXT, FECR or any other applicable third party and shall become the property of SFRTA to the same extent that that replaced property was the property of he SFRTA.
:Mb.@ SIUIBCON1f!R?AC'lf@!Rl$
The Contractor shall not use leased or temporary employees without prior written Approval of SFRTA.
All subcont1·actors shall petfonn their Work In accordance with the Contract Documents, Including compliance with all health, safety, EEO, and SFRTA Insurance requirements.
In the event that the Contractor terminates a subcontractor, SFRTA shall not be liable to the Contractor or to such subcontractor for any damages, whether direct, consequential, Incidental, liquidated or otherwise, resulting from the termination of such subcontractor,
Each subcontract between the Contractor and any subcontractor shall Include a waiver by the subcontractor of any right to assert any claim against SFRTA on account of such termination,
The Contractor, at no additional cost to SFRTA, shall replace subcontractors that fall to meet the above requirements. All subcontractor substitutes a1·e subject to SFRTA's prior written Approval,
The Contractor shall remain solely responsible for any Work In the Contl'Bct Documents for which It employs subcontractors, and SFRTA shall have no obligation to such subcontractors whatsoever.
:ll.:D..@ IFOl!itIE MA.DIEIIJ!mlE
:11.1 General Each Party will be excused from performance of any of Its obligations to the other under the Contract Documents, where such non-performance Is caused by any event beyond the non- performing Party's control which shall Include, without limitation, any order, rnle, or regulation of any federal, state, or local government body, agency, 01· Instrumentality (other than orders relating to the correction by Contractor of Its non-compllance with applicable laws and regulations applicable to the periormance of the Work); natural disaster; or clvll disorder, provided, however, that the party excused hereunder shall use all reasonable efforts to minimize Its non-performance and to overcome, remedy, or remove such event ln the shortest practical time, Conditions caused by other weather conditions shall not constitute an event beyond the parties' control for the purposes of this section. The obllgatlons of the parties In the event of a storm shall be in accordance with the provisions of the Contract Documents.
ADDENDUM NO,1 Pago ST0.7 of27
Overhaul, Conversion and Upgrade of Diesel-Electric Locomotives
2017-100 99
November 10, 2017
EXHIBIT 1 CONTRACTOR’S PRICE
PROPOSAL FORM
Overhaul, Conversion and Upgrade of Diesel-Electric Locomotives
2017-100 100
November 10, 2017
EXHIBIT 1
CONTRACTOR’S PRICE WARRANTY
4050 Esplanade Way
Tallahassee, FL 32399-0950
Tel: 850-488-2786 | Fax: 850-922-6149
www.dms.MyFlorida.com
Rick Scott, Governor Chad Poppell, Secretary
March 2, 2016
AMENDMENT NO.: (425-001-12-1) – 1 TO: Department Addressed / User Agency FROM: Chief Procurement Officer and Director of State Purchasing SUBJECT: Contract No. 425-001-12-1 TITLE: Office Furniture and Files ______________________________________________________________________________________ The above mentioned Contract is renewed effective March 2, 2016 through March 1, 2020 with the following contractors:
1. Affordable Interior Systems (AIS), Hudson, MA (A) 2. Allseating Corporation, Mississauga, Ontario, CANADA (A) 3. Allsteel, Inc., Muscatine, IA (A) 4. Artopex, Inc., Granby, Quebec, CANADA (A) 5. Berco Industries, Inc. Saint Louis, MO (R) 6. CF Group (Commercial Furniture Group) St. Louis, MO (A) 7. DAR/RAN Furniture, High Point, NC (A) 8. Dauphin North America, Boonton, NJ (A) 9. David Edward Company, Ltd. Inc., Baltimore, MD (A) 10. Encore Seating, Inc., Cerritos, CA (A) 11. ErgoGenesis, LLC, Navasota, TX (A) 12. ESI Ergonomic Solutions, LLC, Mesa, AZ (R) 13. Evans Consoles, Inc., Calgary, AB, Canada (A) 14. Exemplis Corporation/SitOnIt Seating, Cypress, CA (A) 15. Great Openings, Ludington, MI (A) 16. Groupe Lacasse, LLC, St. Pie, Quebec, CANADA (A) 17. Gunlocke Company, LLC, the, Wayland, NY (A) 18. Harter, Middlebury, IN (A) 19. Haworth, Inc., Holland, MI (A) 20. Herman Miller, Inc., Zeeland, MI (A) 21. High Point Furniture Industries, Inc., High Point, NC (A) 22. Highmark, Huntington Beach, CA (A) 23. HON Company, the, Muscatine, IA (A) 24. Humanscale Corporation, Piscataway, NJ (A) 25. Indiana Furniture DBA Indiana Desk, Jasper, IN (A) 26. Integra, Inc., Walworth, WI (A)
Page 2
27. Jasper Seating, Jasper, IN (A) 28. K&A Manufacturing, Inc., Schofield, WI (A) 29. Kimball International Marketing DBA Kimball Office, Jasper, IN (A) 30. Knoll, Inc., East Greenville, PA (A) 31. Krueger International (KI), Greenbay, WI (A) 32. Krug, Inc., Kitchener, Ontario, Canada (A) 33. La-Z-Boy, Ferdinand, IN (A) 34. Magnuson Group Inc., Woodridge, IL (A) 35. Martin Brattrud, Inc., Gardena, CA (A) 36. Maxon Furniture, Kent, WA (A) 37. Mayline Company, Sheboygan, WI (A) 38. National Office Furniture, Jasper, IN 39. Neutral Posture, Inc., Bryan, TX (A) 40. Nucraft Furniture, Comstock Park, MI (A) 41. Office Master, Inc., Ontario, CA (A) 42. OFS Brands, Inc., Huntingburg, IN (A) 43. Paoli, Inc., Orleans, IN (A) 44. Richards-Wilcox, Inc., Aurora, IL (A) 45. Source International, Shrewsbury, MA (A) 46. Spec Furniture, Inc. Toronto, Ontario, CANADA (A) 47. Steelcase, Inc., Grand Rapids, MI (A) 48. Symmetry Office, Tampa, FL (A) 49. Teknion, LLC, Mount Laurel, NJ (A) 50. Trendway Corporation, Holland, MI (A) 51. Trinity Furniture, Trinity, NC (A) 52. Versteel, Jasper, IN (A) 53. Watson Furniture Group, Inc., Poulsbo, WA (A) 54. Workrite Ergonomics, Petaluma, CA (A) 55. Wright Line, LLC, Worcester, MA (A)
Any questions or problems in delivery or service that may arise regarding this contract should be directed to the Contract Administrator.
www.dms.MyFlorida.com
March 2, 2012
MEMORANDUM NO.: (425-001-12-1) - 1
TO: User Agency
FROM: Director, State Purchasing
SUBJECT: Contract No. 425-001-12-1
Title: Office Furniture and Files
Effective March 2, 2012, the Contract Manager has been changed to Shameka Smith. Please direct questions to Shameka Smith at (850) 488-414-6740 or Shameka.Smith@dms.MyFlorida.com.
Any questions or problems in delivery or service that may arise regarding this contract should be directed to the Contract Manager.
www.dms.MyFlorida.com
CERTIFICATION OF CONTRACT TITLE: Office Furniture and Files
CONTRACT NO.: 425-001-12-1
ITB NO.: 17-425-001-F
EFFECTIVE: March 2, 2012 through March 1, 2016
SUPERSEDES: 425-001-06-1
CONTRACTOR(S): See Attached List
______________________________________________________________________________
B. AUTHORITY – Upon affirmative action taken by the State of Florida Department of Management Services, a
contract has been executed between the State of Florida and the designated contractors.
C. EFFECT – This contract was entered into to provide economies in the purchase of Office Furniture and Files by all
State of Florida agencies and institutions. Therefore, in compliance with Section 287.042, Florida Statutes, all
purchases of these commodities shall be made under the terms, prices, and conditions of this contract and with the
suppliers specified.
D. ORDERING INSTRUCTIONS – All purchase orders shall be issued in accordance with the attached ordering
instructions. Purchaser shall order at the prices indicated, exclusive of all Federal, State and local taxes.
All contract purchase orders shall show the State Purchasing contract number, product number, quantity,
description of item, with unit prices extended and purchase order totaled. (This requirement may be waived when
purchase is made by a blanket purchase order.)
E. CONTRACTOR PERFORMANCE – Agencies shall report any vendor failure to perform according to the
requirements of this contract on Complaint to Vendor, form PUR7017. Should the vendor fail to correct the
problem within a prescribed period of time, then form PUR7029, Request for Assistance, is to be filed with this
office.
F. SPECIAL AND GENERAL CONDITIONS - Special and general conditions are enclosed for your information.
Any restrictions accepted from the supplier are noted on the ordering instructions
ATTACHMENT
Page 5
Contractors Awarded:
Affordable Interior Systems (AIS), Hudson, MA (A)
Allseating Corporation, Mississauga, Ontario, CANADA (A)
Allsteel, Inc., Muscatine, IA (A)
Artopex, Inc., Granby, Quebec, CANADA (A)
Berco Industries, Inc. Saint Louis, MO (R)
CF Group (Commercial Furniture Group) St. Louis, MO (A)
Chromcraft Corporation, Senatobia, MS (A)
Compatico, Inc., Grand Rapids, MI (A)
DAR/RAN Furniture, High Point, NC (A)
Dauphin North America, Boonton, NJ (A)
David Edward Company, Ltd. Inc., Baltimore, MD (A)
Encore Seating, Inc., Cerritos, CA (A) Endura LLC, Waukesha, WI (A)
ErgoGenesis, LLC, Navasota, TX (A)
ESI Ergonomic Solutions, LLC, Mesa, AZ (R)
Evans Consoles, Inc., Calgary, AB, Canada (A)
Exemplis Corporation/SitOnIt Seating, Cypress, CA (A)
Fulmarque DBA EKO, Cleveland, TN (A)
Great Openings, Ludington, MI (A)
Groupe Lacasse, LLC, St. Pie, Quebec, CANADA (A)
Gunlocke Company, LLC, the, Wayland, NY (A)
Harter, Middlebury, IN (A)
Haworth, Inc., Holland, MI (A)
Herman Miller, Inc., Zeeland, MI (A)
High Point Furniture Industries, Inc., High Point, NC (A)
Highmark, Huntington Beach, CA (A)
HON Company, the, Muscatine, IA (A)
Hoover Panel Company, Rockwall, TX (A)
Humanscale Corporation, Piscataway, NJ (A)
Indiana Furniture DBA Indiana Desk, Jasper, IN (A)
Integra, Inc., Walworth, WI (A)
Inwood Office Invironments, Jasper, IN (A)
Jasper Seating, Jasper, IN (A)
Jofco, Inc., Jasper, IN (A)
K&A Manufacturing, Inc., Schofield, WI (A)
Kimball International Marketing DBA Kimball Office, Jasper, IN (A)
Knoll, Inc., East Greenville, PA (A)
Krueger International (KI), Greenbay, WI (A)
Krug, Inc., Kitchener, Ontario, Canada (A)
La-Z-Boy, Ferdinand, IN (A)
Logiflex (Mobilier de Bureau), Sherbrooke, Quebec, Canada (A)
Magnuson Group Inc., Woodridge, IL (A)
Martin Brattrud, Inc., Gardena, CA (A)
Maxon Furniture, Kent, WA (A)
Mayline Company, Sheboygan, WI (A)
National Office Furniture, Jasper, IN
Neutral Posture, Inc., Bryan, TX (A)
Nevers Industries, Inc., Minneapolis, MN (A)
Nucraft Furniture, Comstock Park, MI (A)
Page 6
Office Master, Inc., Ontario, CA (A)
OFS Brands, Inc., Huntingburg, IN (A)
Paoli, Inc., Orleans, IN (A)
Richards-Wilcox, Inc., Aurora, IL (A)
Safco Patrician Furniture Co., High Point, NC (C)
Source International, Shrewsbury, MA (A)
Spec Furniture, Inc. Toronto, Ontario, CANADA (A)
Steelcase, Inc., Grand Rapids, MI (A)
Symmetry Office, Tampa, FL (A)
Teknion, LLC, Mount Laurel, NJ (A)
Trendway Corporation, Holland, MI (A)
Trinity Furniture, Trinity, NC (A)
Versteel, Jasper, IN (A)
Watson Furniture Group, Inc., Poulsbo, WA (A)
Workrite Ergonomics, Petaluma, CA (A)
Wright Line, LLC, Worcester, MA (A)
Zoom Seating, Middlebury, IN (A)
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CONTRACT BETWEEN
FLORIDA DEPARTMENT OF MANAGEMENT SERVICES
AND
[Contractor Name]
This Contract is by and between the State of Florida, Department of Management Services (Department), Division of State Purchasing (Division), an agency of the State of Florida with offices at 4050 Esplanade Way, Tallahassee, Florida 32399-0950, and (Contractor). Whereas, the Contractor replied to the Division’s Invitation to Bid (ITB) No.:17-425-001-F- Office Furniture and Files; Accordingly, and in consideration of the mutual promises contained in the Contract documents, the Department and the Contractor do hereby enter into this Contract.
1.0 NAME OF PROJECT Office Furniture and Files
2.0 SUMMARY OF THE CONTRACTUAL SERVICES / SCOPE OF WORK This state term contract includes for the purchase of office and conference/public area furniture, including lateral and vertical steel files, dispatch/911 furniture, conference or training tables, mail processing furniture, conference or training chairs, map files, storage and presentation accessories, reception desks, single and multiple seating units, sofas and loveseats (public areas), and occasional tables. Fireproof files, art work and decorative lamps and accessories are not part of this contract.
3.0 DELIVERABLES All products offered under this Contract shall be new and unused and in current production - remanufactured or refurbished products are not part of this offering. No series shall be considered for award under this Contract if already awarded or in conflict with another State Term Contract. Eligible products include, but are not limited to:
Office Furniture Lateral, Vertical and Fireproof Steel Files Dispatch/911 Furniture Conference or Training Tables Mail Processing Furniture Conference or Training Chairs Map Files Storage and Presentation Accessories Reception Desks Single & Multiple Seating Units Sofas & Loveseats (Public Areas) Occasional Tables
4.0 SUMMARY OF PENALTY FOR FAILURE OF CONTRACTOR TO MEET DELIVERALBES Delay in delivery beyond the time specified must be justified to the ordering agency, in writing, and if required, the Contractor shall provide temporary furniture on a rent-free basis. Furthermore, items not delivered within the required delivery schedule may result in the Contractor being found in default by the Department in accordance with contract conditions.
5.0 EFFECTIVE DATE This Contract shall begin on March 2, 2012, or on the last date in which it is signed by all parties, whichever is later.
6.0 EXPIRATION DATE This Contract shall expire on March 1, 2016 unless cancelled earlier in accordance with its terms.
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7.0 RENEWAL In accordance with Section 4.26 of the State Term Contract No. 425-001-12-1, upon mutual written agreement, the Customer and the Contractor may renew the Contract, in whole or in part, for a period that may not exceed 4 years at the same price, terms and conditions, allowed by Chapter 287, Florida Statutes.
8.0 EFFECT OF A REPLACEMENT CONTRACT A replacement contract may be established under a new solicitation process prior to March 1, 2016. In such case, the Department may terminate this Contract prior to March 1, 2016.
9.0 INTELLECTUAL PROPERTY
The parties do not anticipate that any intellectual property will be developed as a result of this contract.
10.0 PREFERRED PRICE The Contractor agrees to submit to Customer at least annually an affidavit from an authorized representative attesting that the Contractor is in compliance with the preferred pricing provision in Section 4(b) of form PUR 1000.
11.0 SCRUTINIZED COMPANY LIST In executing this contract, Contractor certifies that it is not listed on either the Scrutinized Companies with Activities in Sudan List or the Scrutinized Companies with Activities in the Iran Petroleum Energy Sector List, created pursuant to section 215.473, Florida Statutes. Pursuant to section 287.135(5), F.S., Contractor agrees the Department may immediately terminate this contract for cause if the Contractor is found to have submitted a false certification or if Contractor is placed on the Scrutinized Companies with Activities in Sudan List or the Scrutinized Companies with Activities in the Iran Petroleum Energy Sector List during the term of the contract.
12.0 EMPLOYMENT ELIGIBILITY VERIFICATION Pursuant to State of Florida Executive Orders Nos.: 11-02 and 11-116, Contractor is required to utilize the U.S. Department of Homeland Security’s E-Verify system to verify the employment of all new employees hired by the Contractor during the contract term. Also, Contractor shall include in related subcontracts a requirement that subcontractors performing work or providing services pursuant to the state contract utilize the E-Verify system to verify employment of all new employees hired by the subcontractor during the contract term.
13.0 REPORTING REQUIREMENTS Section 5.7 of the ITB 17-425-001-F, is superseded and entirely replaced with the following:
Each Contractor shall submit a sales report on a Quarterly basis. Reporting periods coincide with the State Fiscal Year:
Quarter 1- (July‐September)
Quarter 2 - (October‐December)
Quarter 3 ‐ (January‐March)
Quarter 4 - (April‐June)
Each Quarterly Sales Report must be in Excel format and shall include:
Contractor’s Name and contact information as required on the Department of Management Services “Contract Quarterly Report”
Detail of time period covered by included data
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Total sales including detail of list price and contract price
Transaction detail will include:
Part Number/SKU Your product part number if applicable Item / Service Name Given name of Item or Service MFG Manufacturer, Publisher, Service Provider
Item Category Description of the product category, according to attached table
Item Subcategory Additional grouping for item Product Description Additional detail for item
Customer Name State Agencies, Universities, Political Subdivisions, Other Eligible Users
NIGP Code National Institute of Government Procurement code Florida Commodity Code Florida Commodity Code UOM Unit of Measure UOM Desc Description of unit of measure (see example) Volume Qty Number of items/services purchased/provided Order Date Order date Date Delivered Delivered date to customer Purchase Type Purchase Order, Payment Card, Other List Price List price (Market + fee contracts use market price) Contract Price Contracted price with state per contract terms
Additional Fields Any new information related to your company's products/services
Failure to provide quarterly and annual sales reports, including no sales, within thirty (30) calendar days following the end of each quarter (January, April, July and October) and/or contract year may result in the contract supplier being found in default and termination of the contract by the Department. Upon request, the Contractor shall report to the Department, spend with certified and other minority business enterprises. Reports must include the period covered, the name, minority code and Federal Employer Identification Number of each minority vendor utilized during the period, commodities and services provided by the minority business enterprise, and the amount paid to each minority vendor on behalf of each purchasing agency ordering under the terms of this contract. Initiation and submission of the Contract Sales Summaries are to be the responsibility of the Contractor without prompting or notification by the Contract Manager. The Contractor will submit the completed Contract Sales Summary forms by email to the Contract Manager.
14.0 MYFLORIDAMARKETPLACE (MFMP) CATALOG REQUIREMENTS Section 5.25 of the ITB 17-425-001-F, is supplemented with the following specific detail:
The Contractor shall provide a Line-item catalog containing all awarded items and contracted final
prices using the format supported by the system. The awarded supplier (“Contractor”) hereby agrees to
cooperate with DMS and MyFloridaMarketPlace (and any authorized agent or successor entity to
MyFloridaMarketPlace) in the event DMS selects this statewide contract to be exhibited on the
MyFloridaMarketPlace. At a minimum, the Contractor agrees to the following:
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1.0 Contractor agrees, upon DMS’ request, to deliver a line item catalog. The line item catalog
content must be limited to the Contractor’s statewide contract offering.
2.0 Line Item Catalog. By providing a line item catalog, Contractor is providing a list of its
products/services and pricing within a specific template format for MyFloridaMarketPlace
through a catalog repository tool used for MyFloridaMarketPlace called Aravo*. In this scenario,
Contractor must submit an updated electronic catalog from time to time to maintain the most up
to-date version of its product/service offering under the statewide contract. As a result, DMS will
have an opportunity to confirm the accuracy of the electronic catalog that was loaded into Aravo
before the electronic data file is loaded into the MyFloridaMarketPlace eProcurement System
(MFMP). In addition, DMS will have the ability to define when the electronic catalog and any
subsequent revisions thereto “go live”.
3.0 The Contractor agrees to meet the following requirements:
a. Catalog must contain the most current pricing, including all applicable administrative fees
and or discounts, as well as the most up-to-date product/service offering the Contractor is
authorized to provide in accordance with the statewide contract; and
The accuracy of the catalog must be maintained by Contractor throughout the duration of the
statewide contract; and
b. The catalog must include a State-specific contract identification number; and
c. The catalog must include detailed product line item descriptions; and
d. The catalog must include pictures when possible;** and
e. The catalog must include any additional DMS content requirements
4.0 Contractor agrees that DMS controls which statewide contracts appear in MFMP and that DMS
may elect at any time to remove any Contractor’s offering from MFMP.
5.0 Contractor must be able to accept Purchase Orders via fax, e-mail, cXML or EDI INT AS 12.
*Aravo is a catalog repository tool used by MFMP. Contractors maintain their line item catalog offerings
through this online tool. Contractor’s catalog content is reviewed and approved by DMS in Aravo
before being migrated into the MyFloridaMarketPlace eProcurement System. These services will be
provided by MFMP at no additional cost to the Contractor.
**Details regarding the submission of image files and catalog content will be discussed during the
enablement process; however, the following represents key information regarding the submission of
product image files:
o Provide actual image files (in gif, jpeg and other commonly used formats) for all of the items in the
Contractor’s catalog that will be hosted by the MyFloridaMarketPlace system. These images are
displayed to the customer directly in search results as well as in the product details window.
o Provide the actual image files in a ‘zip archive’. Please go to www.winzip.com to download the
WinZip® application that is needed to create such an archive as well as additional details about
using WinZip® application.
o Provide only one image per product.
o Color pictures are preferred; however, black and white pictures or drawings are acceptable if this is
the current standard for the Contractor’s business marketing.
o Please note the MyFloridaMarketPlace prefers jpg format for image files (280X280 pixels) although
images in many other formats are accepted.
When an image is in jpg format, it is resized to 280X280 pixels, if necessary, to maintain a
consistent appearance MFMP.
When an image is in a format other than jpg, it will be converted to jpg and resized to
280X280 pixels to maintain a consistent appearance for MFMP.
o As products change, updated image files must be submitted to update the MyFloridaMarketPlace
Catalog.
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In rare instances where an image is not available, DMS will work with the Contractor to determine the
best solution for advertising the Contractor’s offering. 15.0 ELECTRONIC INVOICE The Contractor shall supply electronic invoices in lieu of paper-based invoices
for those transactions processed through the MFMP. Contractor agrees, upon DMS’ request, to establish electronic invoicing within ninety (90) days of written request. Electronic invoices shall be submitted to the agency through the Ariba Supplier Network (ASN) in one of three mechanisms as listed below. Suppliers can select the method that best meets their capabilities from the following list:
cXML (commerce eXtensible Markup Language) This standard establishes the data contents required for invoicing via cXML within the context of an electronic environment. This transaction set can be used for invoicing via the ASN for catalog and non-catalog goods and services. The cXML format is the Ariba preferred method for eInvoicing.
EDI (Electronic Data Interchange) This standard establishes the data contents of the Invoice Transaction Set (810) for use within the context of an Electronic Data Interchange (EDI) environment. This transaction set can be used for invoicing via the ASN for catalog and non-catalog goods and services.
PO Flip via ASN The online process allows suppliers to submit invoices via the ASN for catalog and non-catalog goods and services. Suppliers have the ability to create an invoice directly from their Inbox in their ASN account by simply “flipping” the PO into an invoice. This option does not require any special software or technical capabilities.
For the purposes of this section, the Contractor warrants and represents that it is authorized and empowered to and hereby grants the State and the third party provider of MFMP, a State Contractor, the right and license to use, reproduce, transmit, distribute, and publicly display within the system the information outlined above. In addition, the Contractor warrants and represents that it is authorized and empowered to and hereby grants the State and the third party provider the right and license to reproduce and display within the system the Contractor’s trademarks, system marks, logos, trade dress, or other branding designation that identifies the products made available by the Contractor under the Contract. The Contractor will work with the MFMP management team to obtain specific requirements for the Electronic Invoicing upon contract award.
16.0 CONTRACT DOCUMENTS
This Contract, together with the following attached documents, set forth the entire understanding of the parties with respect to the subject matter. In case of conflict, the terms of this Contract shall control. If a conflict exists among any of the attached documents, the documents shall have priority in the order listed: A. ATTACHMENT I: THIS DOCUMENT B. ATTACHMENT II: ITB, No.: 17-425-001-F, as amended. C. ATTACHMENT III: Contractor’s Response to the ITB.
17.0 CONTRACT MANAGEMENT
A. Contract Manager The Department employee who is primarily responsible for overseeing the Contractor’s performance of its duties and obligations pursuant to the terms of this Contract and for maintaining the Contract administration file. The Contract Manager shall be as follows:
Shameka Smith
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Contract Manager Department of Management Services 4050 Esplanade Way #360 Tallahassee, FL 32399-0950 Telephone: (850) 414-6740 Fax: (850) 414-6122 E-mail: shameka.smith@dms.myflorida.com The Department may appoint a different Contract Manager, which shall not constitute an amendment to the Contract, by sending written notice to Contractor. Any communication to the Department relating to the Contract shall be addressed to the Contract Manager.
B. Contractor’s Representative
[Representative Name] [Contractor Name] [Street Address] [City, State, Zipcode] Telephone: [number] Fax: [number] E-mail: [address]
18.0 WARRANT OF AUTHORITY Each person signing this Contract warrants that he or she is duly authorized to do so and to bind the
respective party.
State of Florida, [Contractor Name] Department of Management Services: By:__________________________ By:_____________________________ Name: Kelly Loll, C.P.M. Name:__________________________ Chief Procurement Officer & Title:_ Director of State Purchasing Title:___________________________ Date:_________________________ Date:___________________________
Approved as to form and legality By: Office of the General Counsel Date Department of Management Services
www.dms.MyFlorida.com
Invitation to Negotiate (I
INVITATION TO BID (ITB)
For
OFFICE FURNITURE AND FILES
ITB Number 17-425-001-F
ITB Issue Date: December 20, 2010
Responses Due: January 24, 2011 (2:00 pm ET)
STATE OF FLORIDA
DEPARTMENT OF MANAGEMENT SERVICES DIVISION OF STATE PURCHASING
4050 ESPLANADE WAY, SUITE 360
TALLAHASSEE, FL 32399-0950
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TABLE OF CONTENTS
1.0 INTRODUCTION
2.0 GENERAL INSTRUCTIONS TO RESPONDENTS [PUR1001 (10/06)]
3.0 SPECIAL INSTRUCTIONS TO RESPONDENTS
4.0 GENERAL CONTRACT CONDITIONS [PUR1000 (10/06)
5.0 SPECIAL CONDITIONS
6.0 PRICE SHEET
7.0 FORMS
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SECTION ONE: INTRODUCTION
CONTENTS:
1.1 Introduction
1.2 Event Timeline
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1.1 Introduction The State of Florida’s current Office Furniture and Files State Term Contract #425-001-06-1 has an average annual sales
volume of $73,000,000.00.* Customers include 34 State agencies and other Eligible Users. Current Eligible Users consist
of local governmental entities such as cities, counties, colleges, universities, and school boards in the State of Florida, as
defined in 60A-1.005, Florida Administrative Code.
*(The figures listed are for informational purposes only and should be used as a guide for responding purposes.)
1.2 Event Timeline
Respondents should review and become familiar with the Event Timeline. The Dates and Times within the Event Timeline
may be subject to change. It is the responsibility of the Respondent to check for any changes. All changes to the Event
Timeline will be through an Addendum to this solicitation.
Event Timeline Activity for ITB #17-425-001-F Date
Notice of Office Furniture & Files solicitation is posted to the Vendor Bid System (VBS)
and the complete Office Furniture & Files solicitation is posted in the
MyFloridaMarketPlace Sourcing Tool. Solicitation will initially be in “Preview” status
where Respondents can view/download all information and ask questions, but cannot input
or submit responses.
December 20, 2010
Deadline to submit Questions, or request for specification change via the
MyFloridaMarketPlace Sourcing tool Q&A Board (Respondents must monitor Message
Board for communications).
January 4, 2011
5 pm ET
Department will post Answers to Respondents’ questions as an addendum to the solicitation
within the MyFloridaMarketPlace Sourcing Tool. Respondents must monitor Message
Board for communications.
January 11, 2011
Deadline to submit Response, including all required documents in the
MyFloridaMarketPlace Sourcing Tool. Utilize the Response Preparation Checklist to
make sure all required documents and responses are completed. (Section 7.7)
January 24, 2011
2 pm ET
Deadline for submittal of State Term Contract dedicated web site URL Address. (Section
3.12)
January 24, 2011
2 pm ET
Notice of Intent to Award posted on Vendor Bid System (VBS). March 29, 2011
Deadline for development of eProcurement catalog within MyFloridaMarketPlace. To Be Determined
Prior to Contract
Award
Contract Award Per Section 2.17
Contract Formation
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SECTION TWO: GENERAL INSTRUCTIONS TO RESPONDENTS (PUR 1001 10/06)
CONTENTS:
2.1 Definitions
2.2 General Instructions
2.3 Electronic Submission of Responses
2.4 Terms and Conditions
2.5 Questions
2.6 Conflict of Interest
2.7 Convicted Vendors
2.8 Discriminatory Vendors
2.9 Respondent’s Representation and Authorization
2.10 Manufacturer’s Name and Approved Equivalents
2.11 Performance Qualifications
2.12 Public Opening
2.13 Electronic Posting of Notice of Intended Award
2.14 Firm Response
2.15 Clarifications/Revisions
2.16 Minor Irregularities/Right to Reject
2.17 Contract Formation
2.18 Contract Overlap
2.19 Public Records
2.20 Protests
2.21 Limitation on Vendor Contact with Agency During Solicitation Period
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2.1 Definitions The definitions found in s. 60A-1.001, F.A.C. shall apply to this agreement. The following additional terms are also defined:
(a) "Buyer" means the entity that has released the solicitation. The “Buyer” may also be the “Customer” as defined in the
PUR 1000 if that entity meets the definition of both terms.
(b) "Procurement Officer" means the Buyer's contracting personnel, as identified in the Introductory Materials.
(c) "Respondent" means the entity that submits materials to the Buyer in accordance with these Instructions.
(d) "Response" means the material submitted by the respondent in answering the solicitation.
(e) "Timeline" means the list of critical dates and actions included in the Introductory Materials.
2.2 General Instructions
Potential respondents to the solicitation are encouraged to carefully review all the materials contained herein and prepare
responses accordingly.
2.3 Electronic Submission of Responses
Respondents are required to submit responses electronically. For this purpose, all references herein to signatures, signing
requirements, or other required acknowledgments hereby include electronic signature by means of clicking the "Submit
Response" button (or other similar symbol or process) attached to or logically associated with the response created by the
respondent within MyFloridaMarketPlace. The respondent agrees that the action of electronically submitting its response
constitutes:
an electronic signature on the response, generally,
an electronic signature on any form or section specifically calling for a signature, and
an affirmative agreement to any statement contained in the solicitation that requires a definite confirmation
or acknowledgement.
2.4 Terms and Conditions
All responses are subject to the terms of the following sections of this solicitation, which, in case of conflict, shall have the
order of precedence listed:
Technical Specifications,
Special Conditions and Instructions,
Instructions to Respondents (PUR 1001),
General Conditions (PUR 1000), and
Introductory Materials.
The Buyer objects to and shall not consider any additional terms or conditions submitted by a respondent, including any
appearing in documents attached as part of a respondent’s response. In submitting its response, a respondent agrees that any
additional terms or conditions, whether submitted intentionally or inadvertently, shall have no force or effect. Failure to
comply with terms and conditions, including those specifying information that must be submitted with a response, shall be
grounds for rejecting a response.
2.5 Questions Respondents shall address all questions regarding this solicitation to the Procurement Officer. Questions must be submitted
via the Q&A Board within MyFloridaMarketPlace and must be RECEIVED NO LATER THAN the time and date reflected
on the Timeline. Questions shall be answered in accordance with the Timeline. All questions submitted shall be published
and answered in a manner that all respondents will be able to view. Respondents shall not contact any other employee of the
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Buyer or the State for information with respect to this solicitation. Each respondent is responsible for monitoring the
MyFloridaMarketPlace site for new or changing information. The Buyer shall not be bound by any verbal information or by
any written information that is not contained within the solicitation documents or formally noticed and issued by the Buyer's
contracting personnel. Questions to the Procurement Officer or to any Buyer personnel shall not constitute formal protest of
the specifications or of the solicitation, a process addressed in paragraph 20 of these Instructions.
2.6 Conflict of Interest
This solicitation is subject to chapter 112 of the Florida Statutes. Respondents shall disclose with their response the name of
any officer, director, employee or other agent who is also an employee of the State. Respondents shall also disclose the name
of any State employee who owns, directly or indirectly, an interest of five percent (5%) or more in the respondent or its
affiliates.
2.7 Convicted Vendors
A person or affiliate placed on the convicted vendor list following a conviction for a public entity crime is prohibited from
doing any of the following for a period of 36 months from the date of being placed on the convicted vendor list:
submitting a bid on a contract to provide any goods or services to a public entity;
submitting a bid on a contract with a public entity for the construction or repair of a public building or public work;
submitting bids on leases of real property to a public entity;
being awarded or performing work as a contractor, supplier, subcontractor, or consultant under a contract with any
public entity; and
transacting business with any public entity in excess of the Category Two threshold amount ($25,000) provided in
section 287.017 of the Florida Statutes.
2.8 Discriminatory Vendors
An entity or affiliate placed on the discriminatory vendor list pursuant to section 287.134 of the Florida Statutes may not:
submit a bid on a contract to provide any goods or services to a public entity;
submit a bid on a contract with a public entity for the construction or repair of a public building or public work;
submit bids on leases of real property to a public entity;
be awarded or perform work as a contractor, supplier, sub-contractor, or consultant under a contract with any public
entity; or
transact business with any public entity.
2.9 Respondent’s Representation and Authorization
In submitting a response, each respondent understands, represents, and acknowledges the following (if the respondent cannot
so certify to any of following, the respondent shall submit with its response a written explanation of why it cannot do so).
The respondent is not currently under suspension or debarment by the State or any other governmental authority.
To the best of the knowledge of the person signing the response, the respondent, its affiliates, subsidiaries, directors,
officers, and employees are not currently under investigation by any governmental authority and have not in the last
ten (10) years been convicted or found liable for any act prohibited by law in any jurisdiction, involving conspiracy
or collusion with respect to bidding on any public contract.
Respondent currently has no delinquent obligations to the State, including a claim by the State for liquidated damages
under any other contract.
The submission is made in good faith and not pursuant to any agreement or discussion with, or inducement from,
any firm or person to submit a complementary or other noncompetitive response.
The prices and amounts have been arrived at independently and without consultation, communication, or agreement
with any other respondent or potential respondent; neither the prices nor amounts, actual or approximate, have been
disclosed to any respondent or potential respondent, and they will not be disclosed before the solicitation opening.
The respondent has fully informed the Buyer in writing of all convictions of the firm, its affiliates (as defined in
section 287.133(1) (a) of the Florida Statutes), and all directors, officers, and employees of the firm and its affiliates
for violation of state or federal antitrust laws with respect to a public contract for violation of any state or federal law
involving fraud, bribery, collusion, conspiracy or material misrepresentation with respect to a public contract. This
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includes disclosure of the names of current employees who were convicted of contract crimes while in the employ
of another company.
Neither the respondent nor any person associated with it in the capacity of owner, partner, director, officer, principal,
investigator, project director, manager, auditor, or position involving the administration of federal funds:
o Has within the preceding three years been convicted of or had a civil judgment rendered against them or is
presently indicted for or otherwise criminally or civilly charged for: commission of fraud or a criminal offense
in connection with obtaining, attempting to obtain, or performing a federal, state, or local government transaction
or public contract; violation of federal or state antitrust statutes; or commission of embezzlement, theft, forgery,
bribery, falsification or destruction of records, making false statements, or receiving stolen property; or
o Has within a three-year period preceding this certification had one or more federal, state, or local government
contracts terminated for cause or default.
The product offered by the respondent will conform to the specifications without exception.
The respondent has read and understands the Contract terms and conditions, and the submission is made in
conformance with those terms and conditions.
If an award is made to the respondent, the respondent agrees that it intends to be legally bound to the Contract that
is formed with the State.
The respondent has made a diligent inquiry of its employees and agents responsible for preparing, approving, or
submitting the response, and has been advised by each of them that he or she has not participated in any
communication, consultation, discussion, agreement, collusion, act or other conduct inconsistent with any of the
statements and representations made in the response.
The respondent shall indemnify, defend, and hold harmless the Buyer and its employees against any cost, damage,
or expense which may be incurred or be caused by any error in the respondent’s preparation of its bid.
All information provided by, and representations made by, the respondent are material and important and will be
relied upon by the Buyer in awarding the Contract. Any misstatement shall be treated as fraudulent concealment
from the Buyer of the true facts relating to submission of the bid. A misrepresentation shall be punishable under
law, including, but not limited to, Chapter 817 of the Florida Statutes.
2.10 Manufacturer’s Name and Approved Equivalents
Unless otherwise specified, any manufacturers’ names, trade names, brand names, information or catalog numbers listed in
a specification are descriptive, not restrictive. With the Buyer’s prior approval, the Contractor may provide any product that
meets or exceeds the applicable specifications. The Contractor shall demonstrate comparability, including appropriate
catalog materials, literature, specifications, test data, etc. The Buyer shall determine in its sole discretion whether a product
is acceptable as an equivalent.
2.11 Performance Qualifications The Buyer reserves the right to investigate or inspect at any time whether the product, qualifications, or facilities offered by
Respondent meet the Contract requirements. Respondent shall at all times during the Contract term remain responsive and
responsible. In determining Respondent’s responsibility as a vendor, the agency shall consider all information or evidence
which is gathered or comes to the attention of the agency which demonstrates the Respondent’s capability to fully satisfy the
requirements of the solicitation and the contract.
Respondent must be prepared, if requested by the Buyer, to present evidence of experience, ability, and financial standing,
as well as a statement as to plant, machinery, and capacity of the respondent for the production, distribution, and servicing
of the product bid. If the Buyer determines that the conditions of the solicitation documents are not complied with, or that
the product proposed to be furnished does not meet the specified requirements, or that the qualifications, financial standing,
or facilities are not satisfactory, or that performance is untimely, the Buyer may reject the response or terminate the Contract.
Respondent may be disqualified from receiving awards if respondent, or anyone in respondent’s employment, has previously
failed to perform satisfactorily in connection with public bidding or contracts. This paragraph shall not mean or imply that it
is obligatory upon the Buyer to make an investigation either before or after award of the Contract, but should the Buyer elect
to do so, respondent is not relieved from fulfilling all Contract requirements.
2.12 Public Opening
Responses shall be opened on the date and at the location indicated on the Timeline. Respondents may, but are not required
to, attend. The Buyer may choose not to announce prices or release other materials pursuant to s. 119.071(1) (b), Florida
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Statutes. Any person requiring a special accommodation because of a disability should contact the Procurement Officer at
least five (5) workdays prior to the solicitation opening. If you are hearing or speech impaired, please contact the Buyer by
using the Florida Relay Service at (800) 955-8771 (TDD).
2.13 Electronic Posting of Notice of Intended Award
Based on the evaluation, on the date indicated on the Timeline the Buyer shall electronically post a notice of intended award
at http://fcn.state.fl.us/owa_vbs/owa/vbs_www.main_menu. If the notice of award is delayed, in lieu of posting the notice of
intended award the Buyer shall post a notice of the delay and a revised date for posting the notice of intended award. Any
person who is adversely affected by the decision shall file with the Buyer a notice of protest within 72 hours after the
electronic posting. The Buyer shall not provide tabulations or notices of award by telephone.
2.14 Firm Response The Buyer may make an award within sixty (60) days after the date of the opening, during which period responses shall
remain firm and shall not be withdrawn. If award is not made within sixty (60) days, the response shall remain firm until
either the Buyer awards the Contract or the Buyer receives from the respondent written notice that the response is withdrawn.
Any response that expresses a shorter duration may, in the Buyer's sole discretion, be accepted or rejected.
2.15 Clarifications/Revisions
Before award, the Buyer reserves the right to seek clarifications or request any information deemed necessary for proper
evaluation of submissions from all respondents deemed eligible for Contract award. Failure to provide requested information
may result in rejection of the response.
2.16 Minor Irregularities/Right to Reject
The Buyer reserves the right to accept or reject any and all bids, or separable portions thereof, and to waive any minor
irregularity, technicality, or omission if the Buyer determines that doing so will serve the State’s best interests. The Buyer
may reject any response not submitted in the manner specified by the solicitation documents.
2.17 Contract Formation
The Buyer shall issue a notice of award, if any, to successful respondent(s), however, no contract shall be formed between
respondent and the Buyer until the Buyer signs the Contract. The Buyer shall not be liable for any costs incurred by a
respondent in preparing or producing its response or for any work performed before the Contract is effective.
2.18 Contract Overlap
Respondents shall identify any products covered by this solicitation that they are currently authorized to furnish under any
state term contract. By entering into the Contract, a Contractor authorizes the Buyer to eliminate duplication between
agreements in the manner the Buyer deems to be in its best interest. 2.19 Public Records
Article 1, section 24, Florida Constitution, guarantees every person access to all public records, and Section 119.011, Florida
Statutes, provides a broad definition of public record. As such, all responses to a competitive solicitation are public records
unless exempt by law. Any respondent claiming that its response contains information that is exempt from the public records
law shall clearly segregate and mark that information and provide the specific statutory citation for such exemption.
2.20 Protests Any protest concerning this solicitation shall be made in accordance with sections 120.57(3) and 287.042(2) of the Florida
Statutes and chapter 28-110 of the Florida Administrative Code. Questions to the Procurement Officer shall not constitute
formal notice of a protest. It is the Buyer's intent to ensure that specifications are written to obtain the best value for the State
and that specifications are written to ensure competitiveness, fairness, necessity and reasonableness in the solicitation
process.
Section 120.57(3) (b), F.S. and Section 28-110.003, Fla. Admin. Code require that a notice of protest of the solicitation
documents shall be made within seventy-two hours after the posting of the solicitation.
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Section 120.57(3) (a), F.S. requires the following statement to be included in the solicitation: "Failure to file a protest within
the time prescribed in section 120.57(3), Florida Statutes, shall constitute a waiver of proceedings under Chapter 120, Florida
Statutes."
Section 28-110.005, Fla. Admin. Code requires the following statement to be included in the solicitation: "Failure to file a
protest within the time prescribed in Section 120.57(3), Florida Statutes, or failure to post the bond or other security required
by law within the time allowed for filing a bond shall constitute a waiver of proceedings under Chapter 120, Florida Statutes.”
2.21 Limitation on Vendor Contact with Agency During Solicitation Period
Respondents to this solicitation or persons acting on their behalf may not contact, between the release of the solicitation and
the end of the 72-hour period following the agency posting the notice of intended award, excluding Saturdays, Sundays, and
state holidays, any employee or officer of the executive or legislative branch concerning any aspect of this solicitation, except
in writing to the procurement officer or as provided in the solicitation documents. Violation of this provision may be grounds
for rejecting a response.
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SECTION THREE: SPECIAL INSTRUCTIONS TO RESPONDENTS
CONTENTS:
3.1 Definitions
3.2 Purpose and Scope
3.3 Contact Person
3.4 Who May Respond
3.5 MyFloridaMarketPlace Overview
3.5.1 MyFloridaMarketPlace Vendor Registration Application
3.5.2 MyFloridaMarketPlace Sourcing Tool Training
3.5.3 Sourcing Tool Tips
3.5.4 Email Notification
3.5.5 Questions & Answers
3.6 Amendments or Addendums to the Solicitation Documents
3.7 Order of Precedence
3.8 Submittal of Response
3.8.1 Price Sheet
3.8.2 Ordering Instructions
3.8.1 Authorized Dealers & Manufacturer Representatives
3.8.2 Savings/Price Reductions
3.8.3 Product List
3.8.4 Certification of Drug-Free Workplace
3.9 Purchase Orders or Invoices for Reference
3.10 Environmental Requirements
3.11 Recycled Content Requirements
3.12 Manufacturer’s URL Address for Dedicated Website Address
3.13 Cost Savings Objective
3.14 State Objectives
3.14.1 Diversity
3.14.2 Environmental Considerations
3.14.3 Certification of Drug-Free Workplace Program
3.14.4 Products Available from the Blind or Other Handicapped (RESPECT)
3.14.5 Prison Rehabilitative Industries and Diversified Enterprises, Inc. (PRIDE)
3.15 Basis for Award
3.16 Special Accommodation
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3.1 Definitions
The definitions found below (alphabetical order) and referenced in General Instructions to Respondents, (PUR 1001) Section
2.1 and General Contract Conditions, (PUR 1000) Section 4.1 of the ITB shall apply.
Delivery Methods – Definition of Terms
Drop-Ship: FOB Destination. Orders shipped directly by a manufacturer to the purchaser or user. Items
delivered to the ordering agency shall be unloaded by the delivering carrier and placed on the agency’s loading
dock. If there is no loading dock, items shall be unloaded by the delivery carrier and placed in a space
immediately adjacent to the carrier’s vehicle at the delivery location.
Delivered Not Installed: On delivered non-installed orders items delivered to the ordering agency shall be
unloaded by the delivering carrier and placed on the agency's loading dock. If there is no loading dock, items
shall be unloaded by the delivery carrier and placed in a space immediately adjacent to the carrier's vehicle
at the delivery location.
Inside Delivery, Non-Installed: On orders specifying inside (non-installed) delivery, items shall be unloaded
and delivered, in the shipping carton, to the ordering agency by the delivering carrier and placed inside the door
on the first or ground level floor of the building.
Installed Delivery: On installed orders, (open, set in place, ready for use) the Contractor or the delivering carrier,
acting as the Contractor's agent, shall be responsible for receipt, inspection, and assembly of items delivered in the
area designated by the ordering agency, as well as prompt removal and disposal of all debris which is a result
of the delivery. The ordering agency shall be responsible for the immediate removal of any existing furniture from
the area in which the contract items are to be installed. Elevator(s) must be made available if more than one story.
If no elevator is available, delivery will be made to the ground floor, or additional delivery fees may be negotiated.
Department (http://dms.myflorida.com): The Department of Management Services for the State of Florida. DMS
provides administrative support for state agencies and state employees.
Eligible User of the Contract: Eligible users are defined in Rule 60A-1.005, Florida Administrative Code (F.A.C.) as: (i)
all 34 State agencies, (ii) all other governmental agencies, as defined in Section 163.3164, Florida Statutes, which have a
physical presence in the State of Florida, and (iii) any independent, nonprofit college or university located in Florida and
accredited by the Southern Association of Colleges and Schools. Specific Authority 287.042 (12) FS. Law Implemented
287.012 (12) F.S. History – New 8-24-04.
Environmentally Preferable Product (EPP): A product or service that has a lesser or reduced effect on human
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health and the environment when compared with competing products or services that serve the same purpose. Such
products or services may include, but are not limited to, those which contain recycled content, minimize waste,
conserve energy or water, and reduce the amount of toxics either disposed of or consumed.
Environmental Policy or Mission: A statement or philosophy by the organization of its intentions and principles in
relation to its overall environmental performance, which provides a framework for action and for the setting of its
environmental objectives and targets.
GSA: Acronym for the U.S. General Services Administration. GSA leverages the buying power of the
federal government to acquire best value for taxpayers and federal customers. For additional information
about GSA, please visit the U.S. General Service Administration at: http://www.gsa.gov.
ITB: Acronym for Invitation to Bid.
Manufacturer(s): The original producer of a commodity and/or contractual service.
MSRP: Acronym for the Manufacturer’s Suggested Retail Price. It represents the Manufacturer’s
recommended retail selling price, list price, published price or other usual and customary price that would
be paid by the purchaser for specific commodities and contractual services without benefit of a Contract
resulting from the solicitation. It must publically listed, available, and verifiable by the Department.
Post-Consumer Content: Materials in a recycled product which are derived from businesses or consumers
after having served their intended uses, and which have been separated or diverted from solid waste for the
purpose of collection, recycling and disposition.
Post-Industrial Content: Materials generated by manufacturers or product converters, such as trimmings, overruns and
obsolete products, that are incorporating back into the manufacturing process of the same or different products are considered
post-industrial materials or scraps.
Recycle (www.epa.gov): Collecting recyclable materials that would otherwise be considered waste, sorting and processing
recyclables into raw materials such as fibers, manufacturing raw materials into new products, and purchasing recycled
products.
SCS Indoor Advantage™: The Scientific Certification Systems (SCS) organization was founded in 1984 as an
internationally recognized, neutral third party to certify environmentally safe indoor products. The SCS Indoor Advantage
certification program identifies those products that meet specific indoor air quality emission requirements. These standards
are set by the Business and Institutional Furniture Manufacturer’s Association (BIFMA) and the U.S. Green Building
Council’s Leadership in Energy and Environmental Design (LEED). The program applies to any non-flooring product
generally used within an enclosed indoor environment including wall coverings, systems furniture, casegoods, and
insulation. SCS Indoor Advantage™Gold: The program tests and certifies products for compliance with the indoor air
quality emission requirements of BIFMA, LEED, and California Section 01350, an environmental standard specification to
cover key environmental performance issues.
State: means the State of Florida.
3.2 Purpose and Scope
The State of Florida, Department of Management Services, invites interested Respondents, to submit proposals in accordance
with the solicitation documents. The purpose of this ITB is to establish a forty-eight month (48) State Term Contract for the
purchase of Office Furniture & Files with the potential option for renewals as allowed by Chapter 287, Florida Statutes for
purchase by all State Agencies and other eligible users.
3.3 Contact Person The following person is the Department’s SOLE point of contact from the date of release of this ITB until selection of
successful provider(s).
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Brenda Wells, CPPB, FCPM, FCPA, FCCM
Purchasing Analyst, Team Lead
State of Florida Interior Design License #0002922
Department of Management Services
Division of State Purchasing
4050 Esplanade Way, Suite 360
Tallahassee, Florida 32399
Telephone: (850) 488-6904
Fax: (850) 414-6122
Email: Brenda.Wells@dms.MyFlorida.com
3. 4 Who May Respond
The Department seeks Responses from manufacturers holding current Federal (GSA) Contracts for products offered on this
Contract. Though the Department intends to contract directly with manufacturers, the Department encourages the
participation of certified minority business enterprises (CMBE). Information on CMBEs is available from the Office of
Supplier Diversity at http://osd.dms.state.fl.us.
Each Respondent must be authorized to conduct business with the State of Florida, and possess the experience and
personnel resources to provide the products and services described in this ITB. The Department retains the right to request
additional information pertaining to the Respondent’s ability and qualifications to accomplish all services described in this
ITB as deemed necessary during the ITB or after contract award.
3.5 MyFloridaMarketPlace Overview
The Department uses the MyFloridaMarketPlace system (MFMP) to receive Responses electronically. This solicitation will
be conducted using the MyFloridaMarketPlace Sourcing Tool.
3.5.1 MyFloridaMarketPlace Vendor Registration Application Vendors must have a revised, current, and complete Vendor Registration Application identified on the
MyFloridaMarketPlace Vendor Registration System at: https://vendor.myfloridamarketplace.com/. If you have
not registered or have requested a registration update, please be advised that a minimum of forty-eight (48) hours
will be required for access to the MyFloridaMarketPlace Sourcing Tool. Completion of this registration is
mandatory for those Vendors who wish to submit a Response.
3.5.2 MyFloridaMarketPlace Sourcing Tool Training
This solicitation will be conducted using the MyFloridaMarketPlace Sourcing Tool at:
https://sourcing.myfloridamarketplace.com/. Optional training on how to respond to this solicitation electronically
is offered at: http://marketplace.myflorida.com/vendor/vendor_solicitation_help.htm. While training is optional,
we strongly recommend you take advantage of this offer.
Download and review the document titled “ITB Event User Guide.”
For all technical questions about the Sourcing Tool, Vendors should contact the MyFloridaMarketPlace
Customer Service Desk at 866-FLA-EPRO (866-352-3776) or: vendorhelp@myfloridamarketplace.com.
For additional information or assistance on using the Sourcing Tool, please visit the MyFloridaMarketPlace
website at the following link: http://marketplace.myflorida.com/vendor/vendor_solicitation_help.htm.
This site includes:
a. Solicitation User Guides
b. On Demand web-based Sourcing training link
c. WinZip FAQs
d. Vendor FAQs
e.
3.5.3 MyFloridaMarketPlace Sourcing Tool Tips
When working in the MyFloridaMarketPlace Sourcing Tool, be aware of the twenty (20) minute time-out function
in the tool. This means that you should save your work (click the SAVE button) at intervals of less than twenty (20)
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minutes to ensure your entries since you last saved are not lost.
Please note that clicking the SAVE button within the MyFloridaMarketPlace Sourcing Tool only saves your
solicitation Responses. The SAVE button does not transmit your solicitation Response to the State. In order to
transmit your solicitation Response to the State, you must click the SUBMIT button on the SUMMARY page of the
solicitation Response.
After clicking the SUBMIT button, it is the Respondent’s responsibility to check any submitted Response within
the MyFloridaMarketPlace Sourcing Tool to verify that the Response is accurately and completely captured within
the MyFloridaMarketPlace Sourcing Tool. Respondents must do this while there is sufficient time remaining in
the solicitation period in the event you discover an error and need to resubmit a revised Response.
To validate your Response, you should do the following before the solicitation period ends:
Go to the “My Bids / My Responses” tab within the MyFloridaMarketPlace Sourcing Tool after you
submitted your Response.
Click on the Response ID number of your last submitted Response.
Review entire Response to make sure all responses are complete, accurate, and as you intended to
submit.
Minimum areas to check are:
Text boxes – Is your entire answer viewable?
Yes/No questions – Is the displayed answer correct?
All uploaded document files – Can you open attached document(s) and clearly view entire
content? Does the content of the file(s) match your intended Response within the
MyFloridaMarketPlace Sourcing Tool (e.g., not an earlier version, incomplete copy, or
working copy)?
Pricing and Other Information – Are all Prices and other information you intended to submit
visible and accurately captured within MyFloridaMarketPlace Sourcing Tool?
Required Items - Are all items listed in the solicitation completed as required within the
MyFloridaMarketPlace Sourcing Tool?
DO NOT RELY ON THE MYFLORIDAMARKETPLACE SOURCING TOOL’S TIME REMAINING
CLOCK. THE OFFICIAL SOLICITATION CLOSING TIME SHALL BE AS REFLECTED IN SECTION
1.2, EVENT TIMELINE. The Response deadline(s) shall be as reflected in Section 1.2, Event Timeline, of this
solicitation. The MyFloridaMarketPlace Sourcing Tool’s time remaining clock is not the official submission date
and time deadline, it is intended only to approximate the solicitation closing and may require periodic adjustments.
It is strongly recommended that you submit your response as early as possible. You should allow time to
receive any requested assistance and to receive verification of your submittal; waiting until the last hours of the
solicitation could impact the timely submittal of your response.
3.5.4 Email Notification
Respondents are reminded that the Sourcing Tool’s email notifications are an option provided to Respondents as a
courtesy. The State of Florida is not under any obligation and does not guarantee that Respondents will receive email
Notifications concerning the posting, amendment or close of ITB’s. Respondents are responsible for checking the
MyFloridaMarketPlace Sourcing Tool and the Vendor Bid System for information and updates concerning this ITB.
3.5.5 Questions and Answers
Respondents shall examine this solicitation to determine if the Department’s requirements are clearly stated. If
there are any requirements which are unclear or objectionable, Respondents should submit notice to the
Department using the Sourcing Tool’s Q&A Board by the due date for Respondents to submit questions listed in
the Event Timeline.
Please note that questions will NOT be answered via telephone or fax. The Department shall post the answers to
the questions via the MyFloridaMarketPlace Sourcing Tool by the date stated on the Event Timeline. Each
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Respondent is responsible for monitoring the MyFloridaMarketPlace system for new or changing information. The
Department shall not be bound by any verbal information or by any written information that is not either contained
within the solicitation documents or formally noticed and issued by the ITB sole point of contact. Questions shall
not constitute formal protest of the specifications or of the solicitation. The formal protest process is described in
Section 2.20 Protests.
3.6 Amendments or Addendums to the Solicitation Documents The Department reserves the right to issue amendments or addendums to the solicitation. Notice of any amendment or
addendum will be posted within the MyFloridaMarketPlace Sourcing Tool and the Vendor Bid System. Such notice, if
required, will contain the appropriate details for identifying and/or reviewing the formal changes to the solicitation. Each
Respondent is responsible for monitoring the sites for new or changing information concerning this solicitation.
3.7 Order of Precedence
Respondents are encouraged to carefully review all materials contained herein and prepare responses accordingly. In the
event any conflict exists between the Special and General Instructions, the Special Instructions shall prevail. In the event
any conflict exists between the Special and General Conditions, the Special Conditions shall prevail. This Section, 3.7,
supersedes and replaces Section 2.4, General Instructions Terms and Conditions.
All responses are subject to the terms of the following sections of this ITB which, in case of conflict, shall have the order
of precedence listed:
a) Introduction
b) Special Contract Conditions
c) Special Instructions To Respondents
d) General Contract Conditions (PUR 1000)
e) General Instruction to Respondents (PUR 1001)
f) Price Sheets
g) Forms
The Department objects to and shall not consider any additional terms or conditions submitted by a Respondent, including
any appearing in documents attached as part of a Respondent’s Response. In submitting its Response, the Respondent agrees
that any additional terms or conditions, whether submitted intentionally or inadvertently, shall result in the disqualification
of the Respondent’s Response for any offers associated with the additional terms or conditions. Failure to comply with the
solicitation requirements, specifications, terms, and conditions, including those specifying information that must be
submitted with a Response, may be grounds for rejecting a Response.
3.8 Submittal of Response Respondents shall submit their offer online via the MyFloridaMarketPlace Sourcing Tool at:
https://sourcing.myfloridamarketplace.com.
OFFERS MUST BE SUBMITTED IN THE MYFLORIDAMARKETPLACE SOURCING TOOL BY THE
DATE AND TIME SPECIFIED ON THE EVENT TIMELINE. Offers not submitted within
MyFloridaMarketPlace shall be rejected.
The Department shall not consider late offers and the Sourcing Tool will NOT accept offers after the closing date and
time specified in the Event Timeline or as amended by the Department. Each Respondent is responsible for ensuring
that its response is submitted at the proper time. In the event a Respondent submits more than one response in the
MyFloridaMarketPlace Sourcing Tool, only the last Response received by the system shall be considered for award.
Previous responses will not be visible to the State of Florida. The Response Preparation Checklist is provided to assist
submittal but does not relieve the Respondent of responsibility for ensuring that all Requirements of the ITB are
included with the Response submittal.
The following documents must be uploaded into the Respondent’s Response within the MyFloridaMarketPlace
Sourcing Tool*:
1. Price Sheet
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2. Ordering Instructions Form
3. Authorized Dealers & Manufacturer Representatives Form
4. Savings/Price Reductions Form
5. Product List Form
6. Certification of Drug-Free Workplace Form
*IT IS STRONGLY RECOMMENDED THAT YOU SUBMIT YOUR RESPONSE AS EARLY AS POSSIBLE. YOU
SHOULD ALLOW TIME TO RECEIVE ANY REQUESTED ASSISTANCE AND TO RECEIVE VERIFICATION
OF YOUR SUBMITTAL; WAITING UNTIL THE LAST HOURS OF THE SOLICITATION COULD IMPACT
THE TIMELY SUBMITTAL OF YOUR RESPONSE. DO NOT RELY ON THE “MYFLORIDAMARKETPLACE”
SOURCING TOOL’S TIME REMAINING CLOCK. THE OFFICIAL SOLICITATION CLOSING TIME SHALL BE AS
REFLECTED IN THE EVENT TIMELINE OF THIS ITB.
Additionally, the following information must be received by the contact person below no later than the Response Opening
Date & Time. Please refer back to the Event Timeline for Dates and Times.
1. Current Manufacturer Published Price List/Book* (compact disc – CD) (Section 5.10)
Cover page and table of contents must be included with price pages. *Consistent with
GSA Contract.
2. Current Federal GSA Catalog/Price Book (compact disc – CD) (Section 5.10)
Cover page, terms and conditions, table of contents must be included with price pages.
3. Copy of your GSA Contract (compact disc- CD) (Section 5.10) Documentation of the price, discount and tiers offered must be submitted with the Response.
4. Purchase Orders or Invoices for Reference (Section 3.9)
5. Environmental Requirements (Section 3.10)
6. Recycled Content Requirements (Section 3.11)
7. Manufacturer’s URL Address for dedicated website address (Section 3.12)
Failure to provide all requested information within the Response may result in rejection of the Response.
Outer packaging shall clearly state Bid Title, Bid (solicitation) Number, Bid Opening Date and Time.
3.8.1 Price Sheet
Price Sheet Responses shall be submitted on the Price Sheet Form, Section 6.1.
All pricing shall duplicate GSA price lists and discounts for every item offered. Reference Prices/Discounts, Section 5.10 and Balance-of-Line Price/Products, Section 5.11.
This document must be uploaded into Respondent’s Response within MyFloridaMarketPlace.
Failure to comply with this requirement shall result in disqualification of Response.
3.8.2 Ordering Instructions Form (Section 7.1) On the Ordering Instructions Form Respondents shall identify persons responsible for answering
questions about the Response and administering the Contract, and shall provide information
necessary for placing orders under the Contract.
This document must be uploaded into Respondent’s Response within MyFloridaMarketPlace.
Failure to comply with this requirement may result in disqualification of Response.
3.8.3 Authorized Dealers & Manufacturer Representatives Form (Section 7.2)
Respondents are required to name at least a minimum of two (2) different servicing dealers for the State
of Florida. Respondents are encouraged to use certified Minority Business Enterprise dealers.
Reference Authorized Dealers & Manufacturer Representative, Section 5.27.
This document must be uploaded into Respondent’s Response within MyFloridaMarketPlace.
Failure to comply with this requirement shall result in disqualification of Response.
3.8.4 Savings/Price Reductions Form (Section 7.5)
Respondents shall submit one (1) accurately completed Savings/Price Reductions Form with their
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Response containing the required savings information offered to the State of Florida. The Savings/Price
Reductions Form will be submitted electronically using the MFMP Sourcing Tool, per Section 3.5 of the
solicitation.
This document must be uploaded into Respondent’s Response within MyFloridaMarketPlace.
Failure to comply with this requirement may result in disqualification of Response.
3.8.5 Product List Form (Section 7.6) The Product List Form is an example of furniture products offered under this ITB which will be
available on the State of Florida Office Furniture & Files Contract. Eligible users of this Contract will
be able to view the contractors name for each listing checked on the State Purchasing Contract website.
This document must be uploaded into Respondent’s Response within MyFloridaMarketPlace.
Failure to comply with this requirement may result in disqualification of Response.
3.8.6 Certification of Drug-Free Workplace Form (Section 7.3)
Respondents shall submit one (1) accurately completed Certification of Drug-Free Workplace Form
with their Response certifying the Respondent has a drug-free workplace program. The Certification of
Drug-Free Workplace Form will be submitted electronically using the MFMP Sourcing Tool, per Section
3.5 of the solicitation.
This document must be uploaded into Respondent’s Response within MyFloridaMarketPlace.
Failure to comply with this requirement may result in disqualification of Response.
3.9 Purchase Orders or Invoices for Reference
All Respondents shall furnish a minimum of three (3) projects sold to “Eligible Users" (see Definitions, Section 3.1)
completed in Florida in the last 24 months including the name of the Customer responsible personnel and phone number
where this specific type of furniture is installed. Copies of the purchase orders or invoices must be legible and identify the
date, Customer, specific furniture type and price. Three (3) purchase orders or invoices shall be submitted with the
mailed Responses and received by the contact person no later than the Deadline to submit Response. The State of Florida
reserves the right to contact the customer regarding the services provided. Failure to comply with this requirement shall result in disqualification of Response.
3.10 Environmental Requirements
The State of Florida is committed to reducing waste and promoting energy conservation. To that effort, Respondents
responding to this ITB are required to meet minimum recycled content standards AND to submit information relating to
their company’s environmental policy and implementation process.
1. Respondents shall submit a detailed environmental policy. This policy shall explain the Respondent’s
environmental mission and shall include detailed information on initiatives or procedures related to the
realization of the environmental mission, for example: Pollution prevention opportunities Disposal of solid and/or hazardous waste
Energy conservation Recycling of scrap
Water conservation Health and safety issues
Green House Gas (GHG) reductions Community involvement
Environmentally preferable products (EPPs) are listed for this Contract on the Florida Climate Friendly
Products List, pursuant to Executive Order 07-126, titled "Leadership by Example: Immediate Actions to
Reduce Greenhouse Gas Emissions from Florida State Government". Upon award, Contractors will be
encouraged to submit a list of their qualifying products for review and posting to the Florida Climate-
Friendly Preferred Products List. The current list can be viewed at the following DMS website link:
2. Respondent shall submit any prepared and/or approved documentation or certifications for GSA products
submitted in relation to the BIFMA Sustainability Guidelines, BIFMA level ™ Certification from
Scientific Certification Systems (SCS), ISO 14001, and EPA Comprehensive Procurement Guidelines.
If awarded, Respondents shall provide a link to this information on the State Contract Web Page as
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described in this Section 5.24, Dedicated State Term Contract Website Requirement.
Environmental Requirements shall be submitted with the mailed Response and received by the
contact person no later than the Response Opening Date and Time.
Failure to comply with this requirement may result in disqualification of Response.
3.11 Recycled Content Requirements
Respondent shall confirm that all corrugated cardboard materials and containers used in the packaging and transport of
office furniture products will be made with a minimum of 35% recycled material (post-consumer and/.or post-industrial)
and meets standard performance requirements. Verification of the recycled material content shall be confirmed in writing
by the product supplier or through documented specifications from the product supplier.
Respondent shall identify all product lines (or products) including recycled content and/or post consumer recycled content.
Awarded contractor shall provide the content percentage of the recycled materials in the identified product lines no later
than 30 days after contract award date.
Recycled Content Requirements shall be submitted with the mailed Response and received by the contact person no
later than the Response Opening Date and Time.
Failure to comply with this requirement may result in disqualification of Response.
3.12 Manufacturer’s URL Address for Dedicated Website Address
The Department displays contract and product information online for customer’s use. Each Contractor shall develop and
maintain a State Contract web page on the Internet to post approved contract information. Respondent shall submit the
Universal Resource Locator (URL) address for this Contract. This URL link may remain hidden while the responses are
under evaluation. Reference Section 5.24, Dedicated State Term Contract Website Requirement for specific
requirements. URL Address shall be submitted with the mailed Response and received by the contact person no later than the
Response Opening Date and Time.
Failure to comply with this requirement may result in disqualification of Response.
3.13 Cost Savings Objective Chapter 2010-151, Laws of Florida, Section 47, provides the following:
Each state agency, as defined in s. 216.011, Florida Statutes, shall review existing contract renewals and reprocurements
with private providers and public-private providers in an effort to reduce contract payments by at least 3 percent. It is the
statewide goal to achieve substantial savings; however, it is the intent of the Legislature that the level and quality of
services not be affected. Each agency shall renegotiate and reprocure contracts consistent with this section. Any savings
that accrue through renegotiating the renewal or reprocurement of an existing contract shall be placed in reserve by the
Executive Office of the Governor.
In order to achieve this objective, the Department seeks to achieve a cost savings of at least 3 percent when compared to
the pricing contained in the Department’s most recent state term contract for these commodities. Current and previous
contracts can be accessed through the Division of State Purchasing website at: http://dms.myflorida.com/business_operations/state_purchasing.
3.14 State Objectives
Within thirty (30) calendar days following award of the Contract, if awarded, the successful Respondent shall submit
plans addressing each of the State’s five (5) objectives listed below, to the extent applicable to the items / services
covered by this solicitation.
3.14.1 Diversity
The State of Florida is committed to supporting its diverse business industry and population through ensuring
participation by minority- and women-owned business enterprises in the economic life of the state. The State of
Florida Mentor Protégé Program connects minority- and women-owned businesses with private corporations for
business development mentoring. We strongly encourage firms doing business with the State of Florida to
consider this initiative. For more information on the Mentor Protégé Program, please contact the Office of
Supplier Diversity at (850) 487-0915.
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It is vital that small, minority, women-owned and veteran-owned business enterprises participate in the State’s
procurement process as both prime Contractors and Subcontractors under prime Contracts. Small, minority, and
women-owned businesses are strongly encouraged to submit replies to this solicitation.
The Contractor shall submit documentation addressing Diversity and describing the efforts being made to encourage
the participation of small, minority, women-owned and veteran-owned businesses. Information on Certified Minority
Business Enterprises (CMBE) is available from the Office of Supplier Diversity at:
http://dms.myflorida.com/other_programs/office_of_supplier_diversity_osd/.
3.14.2 Environmental Considerations The State supports and encourages initiatives to protect and preserve our environment. The Department
encourages the Contractor to submit as part of any response the Contractor’s plan to support the procurement of
products and materials with recycled content. The Contractor shall also provide a plan for reducing and or
handling of any hazardous waste generated by Contractor’s company. Reference Rule 62-730.160, Florida
Administrative Code. It is a requirement of the Florida Department of Environmental Protection that a
generator of hazardous waste materials that exceeds a certain threshold must have a valid and current
Hazardous Waste Generator Identification Number. This identification number shall be submitted as part of
Contractor’s explanation of its company’s hazardous waste plan and shall explain in detail its handling and
disposal of this waste.
3.14.3 Certification of Drug-Free Workplace Program
The State supports and encourages initiatives to keep the workplaces of Florida’s Suppliers and Contractors
drug free. Section 287.087 of the Florida Statutes provides that, where identical tie bids are received,
preference shall be given to a response received from a Respondent that certifies it has implemented a drug-free
workforce program. If applicable, Respondent shall certify that the Respondent has a drug-free workplace
program using the Certification of Drug-Free Workplace form included in Section 7.4 of the solicitation. The
Contractor shall describe how it will address the implementation of a drug free workplace in offering the items
of the solicitation.
3.14.4 Products Available from the Blind or Other Handicapped (RESPECT) The State supports and encourages the gainful employment of citizens with disabilities. It is expressly
understood and agreed that any articles that are the subject of, or required to carry out, this Contract shall be
purchased from a nonprofit agency for the blind or for the severely handicapped that is qualified pursuant to
Chapter 413, Florida Statutes, in the same manner and under the same procedures set forth in Section
413.036(1) and (2), Florida Statutes; and for purposes of this Contract the person, firm, or other business entity
carrying out the provisions of this Contract shall be deemed to be substituted for the state agency insofar as
dealings with such qualified nonprofit agency are concerned. Additional information about the designated
nonprofit agency and the products it offers is available at http://www.respectofflorida.org.
The Contractor shall describe how it will address the use of RESPECT in offering the items of the solicitation.
3.14.5 Prison Rehabilitative Industries and Diversified Enterprises, Inc. (PRIDE) The State supports and encourages the use of Florida correctional work programs. It is expressly understood
and agreed that any articles which are the subject of, or required to carry out, this Contract shall be purchased
from the corporation identified under Chapter 946, F.S., in the same manner and under the same procedures set
forth in Section 946.515(2), and (4), F.S.; and for purposes of this Contract the person, firm, or other business
entity carrying out the provisions of this Contract shall be deemed to be substituted for this agency insofar as
dealings with such corporation are concerned. Additional information about PRIDE and the products it offers is
available at http://www.pride-enterprises.org/.
The Contractor shall describe how it will address the use of PRIDE in offering the items of the solicitation.
3.15 Basis for Award
Award shall be made statewide for each manufacturer’s office furniture product offering currently available on GSA
schedule. The Department intends to award to responsible vendor per brand offering GSA pricing or better. Respondents
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whose bids, past performance, or current status do not reflect the capability, integrity or reliability to fully and in good faith
perform the requirements of the Contract may be rejected as non-responsible.
The Department reserves the right to make awards as determined to be in the best interest of the State of Florida, and to
accept or reject any and all offers, or separable portions, and to waive any minor irregularity, technicality, or omission if the
Department determines that doing so will serve the State of Florida’s best interest.
3.16 Special Accommodation
Any person requiring a special accommodation at State Purchasing because of a disability should call State Purchasing at
(850) 488-8440 at least five (5) workdays prior to the bid opening. If you are hearing or speech impaired, please contact
State Purchasing by using the Florida Relay Service at (800) 955-8771 (TDD).
SECTION FOUR: GENERAL CONTRACT CONDITIONS - PUR 1000 (10/06)
CONTENTS:
4.1 Definitions
4.2 Purchase Orders
4.3 Product Version
4.4 Price Changes Applicable Only to Term Contracts
4.5 Additional Quantities
4.6 Packaging
4.7 Inspection at Contractor’s Site
4.8 Safety Standards
4.9 Americans with Disabilities Act
4.10 Literature
4.11 Transportation and Delivery
4.12 Installation
4.13 Risk of Loss
4.14 Transaction Fee
4.15 Invoicing and Payment
4.16 Taxes
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4.17 Governmental Restrictions
4.18 Lobbying and Integrity
4.19 Indemnification
4.20 Limitation of Liability
4.21 Suspension of Work
4.22 Termination for Convenience
4.23 Termination for Cause
4.24 Force Majeure, Notice of Delay, and No Damages for Delay
4.25 Changes
4.26 Renewal
4.27 Purchase Order Duration
4.28 Advertising
4.29 Assignment
4.30 Antitrust Assignment
4.31 Dispute Resolution
4.32 Employees, Subcontractors, and Agents
4.33 Security and Confidentiality
4.34 Contractor Employees, Subcontractors, and Other Agents
4.35 Insurance Requirements
4.36 Warranty of Authority
4.37 Warranty of Ability to Perform
4.38 Notices
4.39 Leases and Installment Purchases
4.40 Prison Rehabilitative Industries and Diversified Enterprises, Inc. (PRIDE)
4.41 Products Available From the Blind or Other Handicapped
4.42 Modification of Terms
4.43 Cooperative Purchasing
4.44 Waiver
4.45 Annual Appropriations
4.46 Execution in Counterparts
4.47 Severability
4.1 Definitions The definitions contained in s. 60A-1.001, F.A.C. shall apply to this agreement. The following additional terms are also
defined:
(a) “Contract” means the legally enforceable agreement that results from a successful solicitation. The parties to the Contract
will be the Customer and Contractor.
(b) “Customer” means the State agency or other entity identified in a contract as the party to receive commodities or
contractual services pursuant to a contract or that orders commodities or contractual services via purchase order or other
contractual instrument from the Contractor under the Contract. The “Customer” may also be the “Buyer” as defined in the
PUR 1001 if it meets the definition of both terms.
(c) “Product” means any deliverable under the Contract, which may include commodities, services, technology or software.
(d) “Purchase order” means the form or format a Customer uses to make a purchase under the Contract (e.g., a formal written
purchase order, electronic purchase order, procurement card, contract or other authorized means).
4.2 Purchase Orders
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In contracts where commodities or services are ordered by the Customer via purchase order, Contractor shall not deliver or
furnish products until a Customer transmits a purchase order. All purchase orders shall bear the Contract or solicitation
number, shall be placed by the Customer directly with the Contractor, and shall be deemed to incorporate by reference the
Contract and solicitation terms and conditions. Any discrepancy between the Contract terms and the terms stated on the
Contractor’s order form, confirmation, or acknowledgement shall be resolved in favor of terms most favorable to the
Customer. A purchase order for services within the ambit of section 287.058(1) of the Florida Statutes shall be deemed to
incorporate by reference the requirements of subparagraphs (a) through (f) thereof. Customers shall designate a contract
manager and a contract administrator as required by subsections 287.057(15) and (16) of the Florida Statutes.
4.3 Product Version Purchase orders shall be deemed to reference a manufacturer’s most recently release model or version of the product at the
time of the order, unless the Customer specifically requests in writing an earlier model or version and the contractor is willing
to provide such model or version.
4.4 Price Changes Applicable Only to Term Contracts
If this is a term contract for commodities or services, the following provisions apply.
(a) Quantity Discounts. Contractors are urged to offer additional discounts for one time delivery of large single orders.
Customers should seek to negotiate additional price concessions on quantity purchases of any products offered under the
Contract. State Customers shall document their files accordingly.
(b) Best Pricing Offer. During the Contract term, if the Customer becomes aware of better pricing offered by the Contractor
for substantially the same or a smaller quantity of a product outside the Contract, but upon the same or similar terms of the
Contract, then at the discretion of the Customer the price under the Contract shall be immediately reduced to the lower price.
(c) Sales Promotions. In addition to decreasing prices for the balance of the Contract term due to a change in market
conditions, a Contractor may conduct sales promotions involving price reductions for a specified lesser period. A Contractor
shall submit to the Contract Specialist documentation identifying the proposed (1) starting and ending dates of the promotion,
(2) products involved, and (3) promotional prices compared to then-authorized prices. Promotional prices shall be available
to all Customers. Upon approval, the Contractor shall provide conspicuous notice of the promotion.
(d) Trade-In. Customers may trade-in equipment when making purchases from the Contract. A trade-in shall be negotiated
between the Customer and the Contractor. Customers are obligated to actively seek current fair market value when
trading equipment, and to keep accurate records of the process. For State agencies, it may be necessary to provide
documentation to the Department of Financial Services and to the agency property custodian pursuant to Chapter
273, F.S.
(e) Equitable Adjustment. The Customer may, in its sole discretion, make an equitable adjustment in the Contract
terms or pricing if pricing or availability of supply is affected by extreme and unforeseen volatility in the
marketplace, that is, by circumstances that satisfy all the following criteria: (1) the volatility is due to causes wholly
beyond the Contractor’s control, (2) the volatility affects the marketplace or industry, not just the particular
Contract source of supply, (3) the effect on pricing or availability of supply is substantial, and (4) the volatility so
affects the Contractor that continued performance of the Contract would result in a substantial loss.
4.5 Additional Quantities
For a period not exceeding ninety (90) days from the date of solicitation award, the Customer reserves the right to acquire
additional quantities up to the amount shown on the solicitation but not to exceed the threshold for Category Two at the
prices submitted in the response to the solicitation.
4.6 Packaging
Tangible product shall be securely and properly packed for shipment, storage, and stocking in appropriate, clearly labeled,
shipping containers and according to accepted commercial practice, without extra charge for packing materials, cases, or
other types of containers. All containers and packaging shall become and remain Customer’s property.
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4.7 Inspection at Contractor’s Site
The Customer reserves the right to inspect, at any reasonable time with prior notice, the equipment or product or plant or
other facilities of a Contractor to assess conformity with Contract requirements and to determine whether they are adequate
and suitable for proper and effective Contract performance.
4.8 Safety Standards All manufactured items and fabricated assemblies subject to operation under pressure, operation by connection to an electric
source, or operation involving connection to a manufactured, natural, or LP gas source shall be constructed and approved in
a manner acceptable to the appropriate State inspector. Acceptability customarily requires, at a minimum, identification
marking of the appropriate safety standard organization, where such approvals of listings have been established for the type
of device offered and furnished, for example: the American Society of Mechanical Engineers for pressure vessels; the
Underwriters Laboratories and/or National Electrical Manufacturers’ Association for electrically operated assemblies; and
the American Gas Association for gas-operated assemblies. In addition, all items furnished shall meet all applicable
requirements of the Occupational Safety and Health Act and state and federal requirements relating to clean air and water
pollution.
4.9 Americans with Disabilities Act
Contractors should identify any products that may be used or adapted for use by visually, hearing, or other physically
impaired individuals.
4.10 Literature
Upon request, the Contractor shall furnish literature reasonably related to the product offered, for example, user manuals,
price schedules, catalogs, descriptive brochures, etc.
4.11 Transportation and Delivery
Prices shall include all charges for packing, handling, freight, distribution, and inside delivery. Transportation of goods shall
be FOB Destination to any point within thirty (30) days after the Customer places an Order. A Contractor, within five (5)
days after receiving a purchase order, shall notify the Customer of any potential delivery delays. Evidence of inability or
intentional delays shall be cause for Contract cancellation and Contractor suspension.
4.12 Installation
Where installation is required, Contractor shall be responsible for placing and installing the product in the required locations
at no additional charge, unless otherwise designated on the Contract or purchase order. Contractor’s authorized product and
price list shall clearly and separately identify any additional installation charges. All materials used in the installation shall
be of good quality and shall be free of defects that would diminish the appearance of the product or render it structurally or
operationally unsound. Installation includes the furnishing of any equipment, rigging, and materials required to install or
replace the product in the proper location. Contractor shall protect the site from damage and shall repair damages or injury
caused during installation by Contractor or its employees or agents. If any alteration, dismantling, excavation, etc., is required
to achieve installation, the Contractor shall promptly restore the structure or site to its original condition. Contractor shall
perform installation work so as to cause the least inconvenience and interference with Customers and with proper
consideration of others on site. Upon completion of the installation, the location and surrounding area of work shall be left
clean and in a neat and unobstructed condition, with everything in satisfactory repair and order.
4.13 Risk of Loss Matters of inspection and acceptance are addressed in s. 215.422, F.S. Until acceptance, risk of loss or damage shall remain
with the Contractor. The Contractor shall be responsible for filing, processing, and collecting all damage claims. To assist
the Contractor with damage claims, the Customer shall: record any evidence of visible damage on all copies of the delivering
carrier’s Bill of Lading; report damages to the carrier and the Contractor; and provide the Contractor with a copy of the
carrier’s Bill of Lading and damage inspection report. When a Customer rejects a product, Contractor shall remove it from
the premises within ten days after notification or rejection. Upon rejection notification, the risk of loss of rejected or non-
conforming product shall remain with the Contractor. Rejected product not removed by the Contractor within ten days shall
be deemed abandoned by the Contractor, and the Customer shall have the right to dispose of it as its own property. Contractor
shall reimburse the Customer for costs and expenses incurred in storing or effecting removal or disposition of rejected
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product.
4.14 Transaction Fee
The State of Florida has instituted MyFloridaMarketPlace, a statewide eProcurement System (“System”). Pursuant to
section 287.057(23), Florida Statutes (2002), all payments shall be assessed a Transaction Fee of one percent (1.0%), which
the Contractor shall pay to the State, unless exempt pursuant to 60A-1.032, F.A.C.
For payments within the State accounting system (FLAIR or its successor), the Transaction Fee shall, when possible, be
automatically deducted from payments to the Contractor. If automatic deduction is not possible, the Contractor shall pay the
Transaction Fee pursuant to Rule 60A-1.031(2), F.A.C. By submission of these reports and corresponding payments,
Contractor certifies their correctness. All such reports and payments shall be subject to audit by the State or its designee.
Contractor shall receive a credit for any Transaction Fee paid by the Contractor for the purchase of any item(s) if such item(s)
are returned to the Contractor through no fault, act, or omission of the Contractor. Notwithstanding the foregoing, a
Transaction Fee is non-refundable when an item is rejected or returned, or declined, due to the Contractor’s failure to perform
or comply with specifications or requirements of the agreement.
Failure to comply with these requirements shall constitute grounds for declaring the Contractor in default and recovering
reprocurement costs from the Contractor in addition to all outstanding fees. CONTRACTORS DELINQUENT IN
PAYING TRANSACTION FEES MAY BE SUBJECT TO BEING REMOVED FROM THE DEPARTMENT OF
MANAGEMENT SERVICES’ VENDOR LIST AS PROVIDED IN RULE 60A-1.006, F.A.C.
4.15 Invoicing and Payment Invoices shall contain the Contract number, purchase order number if applicable, and the appropriate vendor identification
number. The State may require any other information from the Contractor that the State deems necessary to verify any
purchase order placed under the Contract.
At the State's option, Contractors may be required to invoice electronically pursuant to guidelines of the Department of
Management Services. Current guidelines require that Contractor supply electronic invoices in lieu of paper-based invoices
for those transactions processed through the system. Electronic invoices shall be submitted to the Customer through the Ariba
Supplier Network (ASN) in one of the following mechanisms – EDI 810, cXML, or web-based invoice entry within the
ASN.
Payment shall be made in accordance with sections 215.422 and 287.0585 of the Florida Statutes, which govern time limits
for payment of invoices. Invoices that must be returned to a Contractor due to preparation errors will result in a delay in
payment. Contractors may call (850) 413-7269 Monday through Friday to inquire about the status of payments by State
Agencies. The Customer is responsible for all payments under the Contract. A Customer’s failure to pay, or delay in
payment, shall not constitute a breach of the Contract and shall not relieve the Contractor of its obligations to the Department
or to other Customers.
4.16 Taxes
The State does not pay Federal excise or sales taxes on direct purchases of tangible personal property. The State will not pay
for any personal property taxes levied on the Contractor or for any taxes levied on employees’ wages. Any exceptions to this
paragraph shall be explicitly noted by the Customer in the special contract conditions section of the solicitation or in the
Contract or purchase order.
4.17 Governmental Restrictions If the Contractor believes that any governmental restrictions have been imposed that require alteration of the material, quality,
workmanship or performance of the products offered under the Contract, the Contractor shall immediately notify the
Customer in writing, indicating the specific restriction. The Customer reserves the right and the complete discretion to accept
any such alteration or to cancel the Contract at no further expense to the Customer.
4.18 Lobbying and Integrity Customers shall ensure compliance with Section 11.062, FS and Section 216.347, FS.The Contractor shall not, in connection
with this or any other agreement with the State, directly or indirectly (1) offer, confer, or agree to confer any pecuniary
benefit on anyone as consideration for any State officer or employee’s decision, opinion, recommendation, vote, other
exercise of discretion, or violation of a known legal duty, or (2) offer, give, or agree to give to anyone any gratuity for the
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benefit of, or at the direction or request of, any State officer or employee. For purposes of clause (2), “gratuity” means any
payment of more than nominal monetary value in the form of cash, travel, entertainment, gifts, meals, lodging, loans,
subscriptions, advances, deposits of money, services, employment, or contracts of any kind. Upon request of the Customer’s
Inspector General, or other authorized State official, the Contractor shall provide any type of information the Inspector
General deems relevant to the Contractor’s integrity or responsibility. Such information may include, but shall not be limited
to, the Contractor’s business or financial records, documents, or files of any type or form that refer to or relate to the Contract.
The Contractor shall retain such records for the longer of (1) three years after the expiration of the Contract or (2) the period
required by the General Records Schedules maintained by the Florida Department of State (available at:
http://dlis.dos.state.fl.us/barm/genschedules/gensched.htm). The Contractor agrees to reimburse the State for the reasonable
costs of investigation incurred by the Inspector General or other authorized State official for investigations of the Contractor’s
compliance with the terms of this or any other agreement between the Contractor and the State which results in the suspension
or debarment of the Contractor. Such costs shall include, but shall not be limited to: salaries of investigators, including
overtime; travel and lodging expenses; and expert witness and documentary fees. The Contractor shall not be responsible
for any costs of investigations that do not result in the Contractor’s suspension or debarment.
4.19 Indemnification The Contractor shall be fully liable for the actions of its agents, employees, partners, or subcontractors and shall fully
indemnify, defend, and hold harmless the State and Customers, and their officers, agents, and employees, from suits, actions,
damages, and costs of every name and description, including attorneys’ fees, arising from or relating to personal injury and
damage to real or personal tangible property alleged to be caused in whole or in part by Contractor, its agents, employees,
partners, or subcontractors, provided, however, that the Contractor shall not indemnify for that portion of any loss or damages
proximately caused by the negligent act or omission of the State or a Customer.
Further, the Contractor shall fully indemnify, defend, and hold harmless the State and Customers from any suits, actions,
damages, and costs of every name and description, including attorneys’ fees, arising from or relating to violation or
infringement of a trademark, copyright, patent, trade secret or intellectual property right, provided, however, that the
foregoing obligation shall not apply to a Customer’s misuse or modification of Contractor’s products or a Customer’s
operation or use of Contractor’s products in a manner not contemplated by the Contract or the purchase order. If any product
is the subject of an infringement suit, or in the Contractor’s opinion is likely to become the subject of such a suit, the
Contractor may at its sole expense procure for the Customer the right to continue using the product or to modify it to become
non-infringing. If the Contractor is not reasonably able to modify or otherwise secure the Customer the right to continue
using the product, the Contractor shall remove the product and refund the Customer the amounts paid in excess of a
reasonable rental for past use. The customer shall not be liable for any royalties.
The Contractor’s obligations under the preceding two paragraphs with respect to any legal action are contingent upon the
State or Customer giving the Contractor (1) written notice of any action or threatened action, (2) the opportunity to take over
and settle or defend any such action at Contractor’s sole expense, and (3) assistance in defending the action at Contractor’s
sole expense. The Contractor shall not be liable for any cost, expense, or compromise incurred or made by the State or
Customer in any legal action without the Contractor’s prior written consent, which shall not be unreasonably withheld.
4.20 Limitation of Liability For all claims against the Contractor under any contract or purchase order, and regardless of the basis on which the claim is
made, the Contractor’s liability under a contract or purchase order for direct damages shall be limited to the greater of
$100,000, the dollar amount of the contract or purchase order, or two times the charges rendered by the Contractor under the
purchase order. This limitation shall not apply to claims arising under the Indemnity paragraph contain in this agreement.
Unless otherwise specifically enumerated in the Contract or in the purchase order, no party shall be liable to another for
special, indirect, punitive, or consequential damages, including lost data or records (unless the contract or purchase order
requires the Contractor to back-up data or records), even if the party has been advised that such damages are possible. No
party shall be liable for lost profits, lost revenue, or lost institutional operating savings. The State and Customer may, in
addition to other remedies available to them at law or equity and upon notice to the Contractor, retain such monies from
amounts due Contractor as may be necessary to satisfy any claim for damages, penalties, costs and the like asserted by or
against them. The State may set off any liability or other obligation of the Contractor or its affiliates to the State against any
payments due the Contractor under any contract with the State.
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4.21 Suspension of Work The Customer may in its sole discretion suspend any or all activities under the Contract or purchase order, at any time, when
in the best interests of the State to do so. The Customer shall provide the Contractor written notice outlining the particulars
of suspension. Examples of the reason for suspension include, but are not limited to, budgetary constraints, declaration of
emergency, or other such circumstances. After receiving a suspension notice, the Contractor shall comply with the notice
and shall not accept any purchase orders. Within ninety days, or any longer period agreed to by the Contractor, the Customer
shall either (1) issue a notice authorizing resumption of work, at which time activity shall resume, or (2) terminate the
Contract or purchase order. Suspension of work shall not entitle the Contractor to any additional compensation. 4.22 Termination for Convenience
The Customer, by written notice to the Contractor, may terminate the Contract in whole or in part when the Customer
determines in its sole discretion that it is in the State’s interest to do so. The Contractor shall not furnish any product after it
receives the notice of termination, except as necessary to complete the continued portion of the Contract, if any. The
Contractor shall not be entitled to recover any cancellation charges or lost profits.
4.23 Termination for Cause The Customer may terminate the Contract if the Contractor fails to (1) deliver the product within the time specified in the
Contract or any extension, (2) maintain adequate progress, thus endangering performance of the Contract, (3) honor any term
of the Contract, or (4) abide by any statutory, regulatory, or licensing requirement. Rule 60A-1.006(3), F.A.C., governs the
procedure and consequences of default. The Contractor shall continue work on any work not terminated. Except for defaults
of subcontractors at any tier, the Contractor shall not be liable for any excess costs if the failure to perform the Contract arises
from events completely beyond the control, and without the fault or negligence, of the Contractor. If the failure to perform
is caused by the default of a subcontractor at any tier, and if the cause of the default is completely beyond the control of both
the Contractor and the subcontractor, and without the fault or negligence of either, the Contractor shall not be liable for any
excess costs for failure to perform, unless the subcontracted products were obtainable from other sources in sufficient time
for the Contractor to meet the required delivery schedule. If, after termination, it is determined that the Contractor was not
in default, or that the default was excusable, the rights and obligations of the parties shall be the same as if the termination
had been issued for the convenience of the Customer. The rights and remedies of the Customer in this clause are in addition
to any other rights and remedies provided by law or under the Contract.
4.24 Force Majeure, Notice of Delay, and No Damages for Delay The Contractor shall not be responsible for delay resulting from its failure to perform if neither the fault nor the negligence
of the Contractor or its employees or agents contributed to the delay and the delay is due directly to acts of God, wars, acts
of public enemies, strikes, fires, floods, or other similar cause wholly beyond the Contractor’s control, or for any of the
foregoing that affect subcontractors or suppliers if no alternate source of supply is available to the Contractor. In case of any
delay the Contractor believes is excusable, the Contractor shall notify the Customer in writing of the delay or potential delay
and describe the cause of the delay either (1) within ten (10) days after the cause that creates or will create the delay first
arose, if the Contractor could reasonably foresee that a delay could occur as a result, or (2) if delay is not reasonably
foreseeable, within five (5) days after the date the Contractor first had reason to believe that a delay could result. THE
FOREGOING SHALL CONSTITUTE THE CONTRACTOR’S SOLE REMEDY OR EXCUSE WITH RESPECT
TO DELAY. Providing notice in strict accordance with this paragraph is a condition precedent to such remedy. No claim
for damages, other than for an extension of time, shall be asserted against the Customer. The Contractor shall not be entitled
to an increase in the Contract price or payment of any kind from the Customer for direct, indirect, consequential, impact or
other costs, expenses or damages, including but not limited to costs of acceleration or inefficiency, arising because of delay,
disruption, interference, or hindrance from any cause whatsoever. If performance is suspended or delayed, in whole or in
part, due to any of the causes described in this paragraph, after the causes have ceased to exist the Contractor shall perform
at no increased cost, unless the Customer determines, in its sole discretion, that the delay will significantly impair the value
of the Contract to the State or to Customers, in which case the Customer may (1) accept allocated performance or deliveries
from the Contractor, provided that the Contractor grants preferential treatment to Customers with respect to products
subjected to allocation, or (2) purchase from other sources (without recourse to and by the Contractor for the related costs
and expenses) to replace all or part of the products that are the subject of the delay, which purchases may be deducted from
the Contract quantity, or (3) terminate the Contract in whole or in part.
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4.25 Changes The Customer may unilaterally require, by written order, changes altering, adding to, or deducting from the Contract
specifications, provided that such changes are within the general scope of the Contract. The Customer may make an equitable
adjustment in the Contract price or delivery date if the change affects the cost or time of performance. Such equitable
adjustments require the written consent of the Contractor, which shall not be unreasonably withheld. If unusual quantity
requirements arise, the Customer may solicit separate bids to satisfy them.
4.26 Renewal
Upon mutual agreement, the Customer and the Contractor may renew the Contract, in whole or in part, for a period that may
not exceed 3 years or the term of the contract, whichever period is longer. Any renewal shall specify the renewal price, as
set forth in the solicitation response. The renewal must be in writing and signed by both parties, and is contingent upon
satisfactory performance evaluations and subject to availability of funds.
4.27 Purchase Order Duration
Purchase orders issued pursuant to a state term or agency contract must be received by the Contractor no later than close of
business on the last day of the contract’s term to be considered timely. The Contractor is obliged to fill those orders in
accordance with the contract’s terms and conditions. Purchase orders received by the contractor after close of business on
the last day of the state term or agency contract’s term shall be considered void.
Purchase orders for a one-time delivery of commodities or performance of contractual services shall be valid through the
performance by the Contractor, and all terms and conditions of the state term or agency contract shall apply to the single
delivery/performance, and shall survive the termination of the Contract.
Contractors are required to accept purchase orders specifying delivery schedules exceeding the contracted schedule even
when such extended delivery will occur after expiration of the state term or agency contract. For example, if a state term
contract calls for delivery 30 days after receipt of order (ARO), and an order specifies delivery will occur both in excess of
30 days ARO and after expiration of the state term contract, the Contractor will accept the order. However, if the Contractor
expressly and in writing notifies the ordering office within ten (10) calendar days of receipt of the purchase order that
Contractor will not accept the extended delivery terms beyond the expiration of the state term contract, then the purchase
order will either be amended in writing by the ordering entity within ten (10) calendar days of receipt of the contractor’s
notice to reflect the state term contract delivery schedule, or it shall be considered withdrawn.
The duration of purchase orders for recurring deliveries of commodities or performance of services shall not exceed the
expiration of the state term or agency contract by more than twelve months. However, if an extended pricing plan offered in
the state term or agency contract is selected by the ordering entity, the contract terms on pricing plans and renewals shall
govern the maximum duration of purchase orders reflecting such pricing plans and renewals.
Timely purchase orders shall be valid through their specified term and performance by the Contractor, and all terms and
conditions of the state term or agency contract shall apply to the recurring delivery/performance as provided herein, and shall
survive the termination of the Contract.
Ordering offices shall not renew a purchase order issued pursuant to a state term or agency contract if the underlying contract
expires prior to the effective date of the renewal.
4.28 Advertising
Subject to Chapter 119, Florida Statutes, the Contractor shall not publicly disseminate any information concerning the
Contract without prior written approval from the Customer, including, but not limited to mentioning the Contract in a press
release or other promotional material, identifying the Customer or the State as a reference, or otherwise linking the
Contractor’s name and either a description of the Contract or the name of the State or the Customer in any material published,
either in print or electronically, to any entity that is not a party to Contract, except potential or actual authorized distributors,
dealers, resellers, or service representative.
4.29 Assignment The Contractor shall not sell, assign or transfer any of its rights, duties or obligations under the Contract, or under any
purchase order issued pursuant to the Contract, without the prior written consent of the Customer. In the event of any
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assignment, the Contractor remains secondarily liable for performance of the contract, unless the Customer expressly waives
such secondary liability. The Customer may assign the Contract with prior written notice to Contractor of its intent to do so.
4.30 Antitrust Assignment The Contractor and the State of Florida recognize that in actual economic practice, overcharges resulting from antitrust
violations are in fact usually borne by the State of Florida. Therefore, the contractor hereby assigns to the State of Florida
any and all claims for such overcharges as to goods, materials or services purchased in connection with the Contract.
4.31 Dispute Resolution
Any dispute concerning performance of the Contract shall be decided by the Customer's designated contract manager, who
shall reduce the decision to writing and serve a copy on the Contractor. The decision shall be final and conclusive unless
within twenty one (21) days from the date of receipt, the Contractor files with the Customer a petition for administrative
hearing. The Customer’s decision on the petition shall be final, subject to the Contractor’s right to review pursuant to Chapter
120 of the Florida Statutes. Exhaustion of administrative remedies is an absolute condition precedent to the
Contractor's ability to pursue any other form of dispute resolution; provided, however, that the parties may employ the
alternative dispute resolution procedures outlined in Chapter 120.
Without limiting the foregoing, the exclusive venue of any legal or equitable action that arises out of or relates to the Contract
shall be the appropriate state court in Leon County, Florida; in any such action, Florida law shall apply and the parties waive
any right to jury trial.
4.32 Employees, Subcontractors, and Agents
All Contractor employees, subcontractors, or agents performing work under the Contract shall be properly trained technicians
who meet or exceed any specified training qualifications. Upon request, Contractor shall furnish a copy of technical
certification or other proof of qualification. All employees, subcontractors, or agents performing work under the Contract
must comply with all security and administrative requirements of the Customer and shall comply with all controlling laws
and regulations relevant to the services they are providing under the Contract. The State may conduct, and the Contractor
shall cooperate in, a security background check or otherwise assess any employee, subcontractor, or agent furnished by the
Contractor. The State may refuse access to, or require replacement of, any personnel for cause, including, but not limited to,
technical or training qualifications, quality of work, change in security status, or non-compliance with a Customer’s security
or other requirements. Such approval shall not relieve the Contractor of its obligation to perform all work in compliance
with the Contract. The State may reject and bar from any facility for cause any of the Contractor’s employees, subcontractors,
or agents.
4.33 Security and Confidentiality The Contractor shall comply fully with all security procedures of the United States, State of Florida and Customer in
performance of the Contract. The Contractor shall not divulge to third parties any confidential information obtained by the
Contractor or its agents, distributors, resellers, subcontractors, officers or employees in the course of performing Contract
work, including, but not limited to, security procedures, business operations information, or commercial proprietary
information in the possession of the State or Customer. The Contractor shall not be required to keep confidential information
or material that is publicly available through no fault of the Contractor, material that the Contractor developed independently
without relying on the State’s or Customer’s confidential information, or material that is otherwise obtainable under State
law as a public record. To insure confidentiality, the Contractor shall take appropriate steps as to its personnel, agents, and
subcontractors. The warranties of this paragraph shall survive the Contract.
4.34 Contractor Employees, Subcontractors, and Other Agents The Customer and the State shall take all actions necessary to ensure that Contractor's employees, subcontractors and other
agents are not employees of the State of Florida. Such actions include, but are not limited to, ensuring that Contractor's
employees, subcontractors, and other agents receive benefits and necessary insurance (health, workers' compensations, and
unemployment) from an employer other than the State of Florida.
4.35 Insurance Requirements During the Contract term, the Contractor at its sole expense shall provide commercial insurance of such a type and with such
terms and limits as may be reasonably associated with the Contract. Providing and maintaining adequate insurance coverage is
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a material obligation of the Contractor. Upon request, the Contractor shall provide certificate of insurance. The limits of coverage
under each policy maintained by the Contractor shall not be interpreted as limiting the Contractor’s liability and obligations under
the Contract. All insurance policies shall be through insurers authorized or eligible to write policies in Florida.
4.36 Warranty of Authority
Each person signing the Contract warrants that he or she is duly authorized to do so and to bind the respective party to the
Contract.
4.37 Warranty of Ability to Perform The Contractor warrants that, to the best of its knowledge, there is no pending or threatened action, proceeding, or
investigation, or any other legal or financial condition, that would in any way prohibit, restrain, or diminish the Contractor’s
ability to satisfy its Contract obligations. The Contractor warrants that neither it nor any affiliate is currently on the convicted
vendor list maintained pursuant to section 287.133 of the Florida Statutes, or on any similar list maintained by any other state
or the federal government. The Contractor shall immediately notify the Customer in writing if its ability to perform is
compromised in any manner during the term of the Contract.
4.38 Notices
All notices required under the Contract shall be delivered by certified mail, return receipt requested, by reputable air courier
service, or by personal delivery to the agency designee identified in the original solicitation, or as otherwise identified by the
Customer. Notices to the Contractor shall be delivered to the person who signs the Contract. Either designated recipient may
notify the other, in writing, if someone else is designated to receive notice.
4.39 Leases and Installment Purchases Prior approval of the Chief Financial Officer (as defined in Section 17.001, F.S.) is required for State agencies to enter into
or to extend any lease or installment-purchase agreement in excess of the Category Two amount established by section
287.017 of the Florida Statutes.
4.40 Prison Rehabilitative Industries and Diversified Enterprises, Inc. (PRIDE)
Section 946.515(2), F.S. requires the following statement to be included in the solicitation: "It is expressly understood and
agreed that any articles which are the subject of, or required to carry out, the Contract shall be purchased from the corporation
identified under Chapter 946 of the Florida Statutes (PRIDE) in the same manner and under the same procedures set forth in
section 946.515(2) and (4) of the Florida Statutes; and for purposes of the Contract the person, firm, or other business entity
carrying out the provisions of the Contract shall be deemed to be substituted for the agency insofar as dealings with such
corporation are concerned." Additional information about PRIDE and the products it offers is available at
http://www.pridefl.com.
4.41 Products Available from the Blind or Other Handicapped
Section 413.036(3), F.S. requires the following statement to be included in the solicitation: "It is expressly understood and
agreed that any articles that are the subject of, or required to carry out, this contract shall be purchased from a nonprofit
agency for the Blind or for the Severely Handicapped that is qualified pursuant to Chapter 413, Florida Statutes, in the same
manner and under the same procedures set forth in section 413.036(1) and (2), Florida Statutes; and for purposes of this
contract the person, firm, or other business entity carrying out the provisions of this contract shall be deemed to be substituted
for the State agency insofar as dealings with such qualified nonprofit agency are concerned." Additional information about
the designated nonprofit agency and the products it offers is available at http://www.respectofflorida.org.
4.42 Modification of Terms The Contract contains all the terms and conditions agreed upon by the parties, which terms and conditions shall govern all
transactions between the Customer and the Contractor. The Contract may only be modified or amended upon mutual written
agreement of the Customer and the Contractor. No oral agreements or representations shall be valid or binding upon the
Customer or the Contractor. No alteration or modification of the Contract terms, including substitution of product, shall be
valid or binding against the Customer. The Contractor may not unilaterally modify the terms of the Contract by affixing
additional terms to product upon delivery (e.g., attachment or inclusion of standard preprinted forms, product literature,
“shrink wrap” terms accompanying or affixed to a product, whether written or electronic) or by incorporating such terms
onto the Contractor’s order or fiscal forms or other documents forwarded by the Contractor for payment. The Customer's
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acceptance of product or processing of documentation on forms furnished by the Contractor for approval or payment shall
not constitute acceptance of the proposed modification to terms and conditions.
4.43 Cooperative Purchasing Pursuant to their own governing laws, and subject to the agreement of the Contractor, other entities may be permitted to
make purchases at the terms and conditions contained herein. Non-Customer purchases are independent of the agreement
between Customer and Contractor, and Customer shall not be a party to any transaction between the Contractor and any other
purchaser.
State agencies wishing to make purchases from this agreement are required to follow the provisions of s. 287.042(16) (a),
F.S. This statute requires the Department of Management Services to determine that the requestor's use of the contract is
cost-effective and in the best interest of the State.
4.44 Waiver The delay or failure by the Customer to exercise or enforce any of its rights under this Contract shall not constitute or be
deemed a waiver of the Customer’s right thereafter to enforce those rights, nor shall any single or partial exercise of any such
right preclude any other or further exercise thereof or the exercise of any other right.
4.45 Annual Appropriations The State’s performance and obligation to pay under this contract are contingent upon an annual appropriation by the
Legislature.
4.46 Execution in Counterparts The Contract may be executed in counterparts, each of which shall be an original and all of which shall constitute but one
and the same instrument.
4.47 Severability If a court deems any provision of the Contract void or unenforceable, that provision shall be enforced only to the extent that
it is not in violation of law or is not otherwise unenforceable and all other provisions shall remain in full force and effect.
SECTION FIVE: SPECIAL CONDITIONS
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CONTENTS:
5.1 Eligible Products
5.2 Exclusions
5.3 Qualifications
5.4 Doing Business with the State
5.5 Ethical Business Practices
5.6 Sales Requirement
5.7 Quarterly Contract Sales Summary Requirement
5.8 Purchasing Card Program
5.9 Preferred Pricing Compliance
5.10 Prices/Discounts
5.11 Balance-of-Line Price/Product
5.12 Fill-In Pricing
5.13 Addition/Deletion of Vendors and Products Offered
5.14 Quantity Discounts
5.15 Delays & Complaints
5.16 Compliance with Laws
5.17 Conformance to Codes
5.18 Delivery Requirements
5.19 Delivery/Installation Recommendations for Steel Files
5.20 Installation Costs / Reconfiguration
5.21 Space Planning / Design Fees
5.22 Change Orders
5.23 Contract Revisions
5.24 Dedicated State Term Contract Website Requirement 5.25 MyFloridaMarketPlace (MFMP) Electronic Catalog Requirement
5.26 Requirements of Contractors
5.27 Authorized Servicing Dealers and Manufacturer Representative
5.28 Intellectual Property
5.29 Warranty
5.30 Insurance, Worker’s Compensation
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5. 1 Eligible Products
All products offered under this Contract shall be new and unused and in current production - remanufactured or refurbished
products are not part of this offering. No series shall be considered for award under this Contract if already awarded or in
conflict with another State term contract. Eligible products include, but are not limited to,
Office Furniture Lateral, Vertical and Fireproof Steel Files
Dispatch/911 Furniture Conference or Training Tables
Mail Processing Furniture Conference or Training Chairs
Map Files Storage and Presentation Accessories
Reception Desks Single & Multiple Seating Units
Sofas & Loveseats (Public Areas) Occasional Tables
The Department reserves the right to require Respondents to submit samples of the proposed products before making a
final determination of acceptability.
5. 2 Exclusions
The following items are specifically excluded and not within the scope of this Contract:
Art work
Decorative lamps and accessories
5.3 Qualifications
Only Responses submitted by product manufacturers will be considered for evaluation. Respondents must have the
capability to provide products and services in accordance with the solicitation documents. Contract orders may be directed
to a manufacturer’s representative or to servicing dealers, but only those Responses signed and presented by the product
manufacturer will be considered for contract award.
5.4. Doing Business with the State – Other State Agencies Requirements Vendors doing business with the State of Florida are required to register in the MyFloridaMarketPlace (MFMP) system. In
addition, to conduct business in Florida, a vendor must register/obtain licenses with particular state agencies such as the
Department of State, Division of Corporations, the Department of Revenue, and the Department of Financial Services. To
review these requirements, click on the following link:
http://dms.myflorida.com/business_operations/state_purchasing/myflorida_marketplace/mfmp_vendors/vendor_toolkit/doi
ng_business_with_the_state_of_florida
5.5 Ethical Business Practices Contractor shall work in partnership with the State to ensure a successful and valuable contract, and ethical practices are
required of State employees, Contractors, and all parties representing the contractor. All work performed under this
Contract will be subject to review by the Inspector General of the State of Florida, and any findings suggesting unethical
business practices may be cause for default proceedings and/or contract termination. Reference General Contract
Conditions, PUR 1000, Lobbying and Integrity, Section 4.18 for additional requirements.
5.6 Sales Requirement
Sales will be reviewed on a quarterly basis. Should no sales be recorded in two consecutive contract quarters, the
Contractor may be placed in probationary status or may be subject to termination for convenience.
5.7 Quarterly Contract Sales Summary Requirement
The Contractor is required to provide Quarterly Contract Sales Summary reports to the Contract Manager. Reports shall
include:
• Contractor’s Name
• Reporting Period
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• Total dollar value of purchases per quarter differentiating between Eligible User types, State Agencies and
Political Subdivisions.
• Listing total dollar of Environmentally Preferred Products sales and contract sales through Certified Minority
Business Enterprises.
Initiation and submission of the Contract Sales Summaries are to be the responsibility of the Contractor without prompting
or notification by the Contract Manager. The Contractor will submit the completed Contract Sales Summary forms by email
to the Contract Manager as stipulated. The Department shall distribute, in electronic format, the Contract Sales Summary
forms to be used by the Contractor upon Contract Formation, Section 2.17.
The Department reserves the right to require Contractors to submit more detailed reports as necessary.
Reference General Contract Conditions, PUR 1000, Transaction Fee, Section 4.14 for reporting requirements.
Failure to provide a quarterly report, including no sales, within thirty (30) calendar days following the end of each
quarter may result in the default proceedings and/or termination of the Contract by the Department.
5.8 Purchasing Card Program
The State of Florida and numerous Eligible Users have adopted and implemented various Purchasing Card programs using
different universal card formats (e.g., American Express, MasterCard, and Visa). Accordingly, the Contractor and the
Manufacturer’s authorized Dealers must have the ability to accept universal card format Purchasing Cards, including
American Express, MasterCard, and Visa, during the Contract term. Contractors and Manufacturer’s authorized Dealers
may receive payments from Eligible Users by universal card format Purchasing Cards in the same manner as other credit /
debit card purchases. Universal card format Purchasing Cards (e.g., American Express, MasterCard, and Visa) acceptance
is mandatory, but is not the exclusive method of payment (e.g., Purchase Order). The method of ordering and payment
(e.g., Purchase Order, Purchasing Card) shall be selected by the Eligible User.
The Eligible User will not fill out any Contractor or Manufacturer’s authorized Dealer forms or separate contracts in
association with the Contractor or Manufacturer’s authorized Dealer accepting a Purchasing Card payment. Contractors
and Manufacturer’s authorized Dealers are not allowed to charge a fee for accepting a Purchasing Card payment.
Surcharges or convenience fees are prohibited. On-line billing or payment systems maintained by the Contractor,
Manufacturer’s authorized Dealer, or their respective agent will not store the card holder’s name, account number, and
expiration date for re-use. Card holders will provide the Contractor or Manufacturer’s authorized Dealer, as applicable,
with card account information at each Purchasing Card transaction.
5.9 Preferred Price Compliance In accordance with Chapter 2010-151, Laws of Florida, Section 48(2), the Contractor is required to submit, at least once
during each year of the Contract, an Affidavit from an authorized representative of the Contractor attesting that the Contract
is in compliance with Section 4.4(b), Best Pricing Offer. Contractor’s failure to comply with Section 4.4(b) may be grounds
for terminating the Contract, at the Department’s sole discretion. The Department shall distribute the Affidavit form to be
used by the Contractor upon Contract Formation, Section 2.17.
5.10 Prices/Discounts
All pricing shall duplicate GSA price lists and discounts for every item offered. Prices shall be submitted in the form of:
1.) A discount off manufacturer’s current published price list with the GSA-approved
discount structure or better, in effect at the time of bid opening. A copy of your GSA Contract
verifying the price and discount offered must be submitted with the Response.
AND 2.) The published GSA discounted price lists, in effect at the time of bid opening.
Adjustments to address a difference between the GSA industrial Funding Fee and the MyFloridaMarketPlace Transaction
Fee may be listed on the Price Sheet as a percentage of the total applicable charge, and shall not exceed the exact
difference of the two fees (.25%).
Reference General Conditions (PUR 1000), Section 4.14 Transaction Fee Reports for additional information.
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Reference Special Instructions to Respondents, Price Sheet, Section 3.8.1.
Reference Special Conditions, Contract Revisions, Section 5.23 for price adjustments.
5.11 Balance-of-Line Price/Products
Contractor may offer additional products, parts or items for series that have not been included on the Contractor’s GSA
Contract but expand additional offering and options to the State of Florida. Any Balance-of-Line series or products approved
by GSA during the contract term must be submitted to the State for consideration or remove them from the Balance-of-Line
category. Balance-of-Line items may be added or removed during the contract term and the process will not impact your
GSA product offering on the state term contract.
Pricing submitted for Balance-of-Line items shall be within 5% of the discount offered for similar items already on the
current contract. The request to increase prices for Balance-of-Line must meet the criteria for an Equitable Adjustment. The
only price increases considered outside of GSA modifications (for approved products) are Equitable Adjustments.
For more details on the Equitable Adjustment process, please reference (General Conditions (PUR 1000) Section 4. Price
Changes Applicable only to Term Contracts, paragraph (e) Equitable
Adjustments: http://dms.myflorida.com/business_operations/state_purchasing/vendor_information/state_contracts_agreem
ents_and_price_lists/state_term_contracts/furniture_office_and_files.
The Department reserves the right to accept or reject any balance of line items submitted for the Contract. This provision is
not intended to allow an abundance of non-GSA approved items on the Contract. The majority of items approved on this
Contract for any Contractor should be GSA approved items.
5.12 Fill-In Pricing
The Contractor must honor “fill-in” orders at the same pricing and discount for 90 days after substantial completion of a
single job, delivered to a single location.
5.13 Addition/Deletion of Vendors and Products Offered The Department reserves the right to add or delete products, and delete vendors, within 180 days after such action by GSA,
as published in the Federal Supply Schedule and all "Supplements".
5.14 Quantity Discounts
Contractor is encouraged to offer additional discounts for one time delivery of large single orders of any assortment of
items.
5.15 Delays & Complaints
Delivery delays and service complaints will be monitored on a continual basis. Documented inability to perform under the
conditions of the Contract (via the established Complaint to Vendor process (PUR 7017)) may result in default proceedings
and/or contract termination.
5.16 Compliance with Laws
The Contractor shall comply with all laws, rules, codes, ordinances, and licensing requirements that are applicable to the
conduct of its business, including those of federal, State, and local agencies having jurisdiction and authority. By way of
non-exhaustive example, Chapter 287 of the Florida Statutes and Chapter 60A-1 of the Florida Administrative Code
govern the Contract. By way of further non-exhaustive example, the Contractor shall comply with section 247A(e) of the
Immigration and Nationalization Act, the Americans with Disabilities Act, and all prohibitions against discrimination on
the basis of race, religion, sex, creed, national origin, handicap, marital status, or veteran’s status. Violation of such laws
shall be grounds for contract termination.
5.17 Conformance to Codes
The installing dealer shall be responsible for verifying furniture space plan/configuration fits the given space and all aisles
and openings and doors meet the local fire and safety codes and are in conformance with ADA regulations. Also, upon the
request of the Department or Customer, the Contractor shall be responsible for providing written verification of their
product’s conformance to current fire and flammability codes, as regulated by the State of Florida.
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5.18 Delivery Requirements
The delivery requirements below are specific to this contract. Reference General Contract Conditions, PUR 1000,
paragraph 4.11 for additional information.
Delivery and shipping costs shall mirror charges as approved by GSA. All charges for freight, delivery, and installation
shall be noted on the Price Sheet(s), Section 6.1. The Department reserves the right to reject any additional charges.
Delivery of all contract items (with the exception of special finish, custom fabric, or customized orders) is required within
90 days from receipt of purchase order containing complete ordering information (contract number, commodity number,
item description, manufacturer’s model number and street delivery address (not Post Office Box)). It is highly
recommended that the Agency confirm receipt of the Purchase Order with the manufacturer and servicing dealer.
If orders are sent directly to the manufacturer, the servicing dealer may not always be aware of pending orders and
the time frame. Any known factors (including vacation period, factory inventory, etc.) that may disrupt this delivery
schedule must be clearly presented to the Customer along with the specific information on how orders will be processed
during such periods. Delay in delivery beyond the time specified must be justified to the ordering agency, in writing, and if
required, the Contractor shall provide temporary furniture on a rent-free basis. Furthermore, items not delivered within the
required delivery schedule may result in the Contractor being found in default by the Department in accordance with
contract conditions.
5.19 Delivery/Installation Recommendations for Steel Files
The stability of steel files is assured if they are properly installed and loaded, therefore THE STATE OF FLORIDA
HIGHLY RECOMMENDS users to consider purchasing steel files “DELIVERED AND INSTALLED” from the
approved manufacturer.
If steel files are ordered “Drop-ship” or “Delivered Not Installed”; it is highly recommended that the user note on the order
to the Contractor or servicing dealer that a delivery carrier must be equipped with a way to remove the files from the truck
(see “Drop-ship” or “Delivered Not Installed” under Section 3.1 Delivery Methods – Definitions of Terms).
Follow the instructions that are shipped with the files to ensure that they are properly installed to provide safe performance.
Instructions should include information about leveling files and ganging files together. Counterbalance for lateral file units
is recommended unless cabinets are ganged from most manufacturers. There may be an additional charge for
counterbalance.
5.20 Installation Costs/Reconfiguration
Installation charges shall be listed as a per-item fee, percentage of price fee, or negotiable on the price sheets. Installing
agent shall be responsible for receipt, inspection, and assembly of items at the location listed on the purchase order. The
installation charges shall also apply to any required reconfiguration of systems furniture during the term of the contract.
5.21 Space Planning/Design Fees
Space planning fees for systems and modular furniture shall be listed as an hourly fee, percentage of price fee or negotiable
per project on the price sheet. Customer shall approve space planning or design fees in writing prior to any services being
performed by the Contractor or servicing dealer.
5.22 Change Orders
Issuance of a purchase order under a contract resulting from this Response is a binding agreement. Purchasers should
carefully check the accuracy of the order. Change orders or revisions are thereafter subject to the following:
All requests for changes must be submitted in written form or entered in the Ariba System (per format of
the purchase order). Changes in the number of units (additions or deletions), commodity number,
description, features of colors can only be made subject to the approval of the Contractor.
Changes or revisions in the method of delivery or the designated delivery destination can only be made
subject to the approval of the Contractor.
Multiple delivery points must be clearly indicated on the purchase order. When multiple delivery locations
are required, enter “See Below” in the “Ship To” box on the purchase order. List delivery locations and
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instructions in the body of the purchase order, as well as the commodity number and quantity for each
location.
Orders may be cancelled ONLY by obtaining approval from the Contractor, and may be subject to a 25%
(or greater) re-stocking fee, plus freight charges. Most furniture orders are considered custom and cannot
be cancelled or returned.
5.23 Contract Revisions
Revisions to the contract are allowed during the term of the contract. Any revisions to the originally approved
contract information must be authorized in writing by the Department prior to implementation. A contract revision
authorization form will be sent to awarded Contractors and must be submitted with any request to revise pricing and/or
terms,ordering instructions, or servicing dealer listing. Any GSA revision of pricing and products shall be submitted to
the Department with the Department reserving the right to accept or reject within 30 days, or cancel the Contract. Any
increase shall not become effective until approved by the Department. The Department reserves the right to reject
items offered whose discounts are less favorable than those offered to other entities in the State (i.e., city or county
contracts), and reject items that do not offer the best value to the State.
PRICE OR PRODUCTS CHANGES
New or revised price lists or additional/deleted products may be considered for addition/deletion to the contract
after GSA approval. All requests must include the following:
1. Contract Revision/Authorization Form (may submit one form for all requests).
2. Revised Price Sheet Form. Any line item not completed, example -installation or space planning
fees, we assume no charges are incurred for Customers.
3. Copy of the Federal GSA Modification approving any price changes or adjustments,
add/deletion of products – in its entirety. All pages, attachments and letters referenced in the
modification must be included in your request.
4. Current manufacturer published price list/book consistent with GSA Contract referenced in the
GSA modification- compact disc format (CD). Cover page, terms and conditions, table of
contents must be included to confirm pricing.
5. Manufacturer’s current Federal GSA Catalog (if it’s applicable and you are submitting a new
GSA Contract during this contract) - compact disc format (CD). Cover page,
terms and, table of contents must be included to document GSA discount and tiers.
6. Literature of product or series requested for addition.
SERVICING DEALER CHANGES
Addition or deletions of servicing dealers may be requested at any time during the Contract. All requests must
include the following:
1. Contract Revision/Authorization Form (may submit one form for all requests).
2. Letter or email information from the manufacturer requesting addition/deletion of the dealer(s).
3. Updated Distributor Template – if they will be receiving orders on behalf of the manufacturer
in MyFloridaMarketPlace (MFMP). See Authorized Dealers and Manufacturer Representative
Form for additional information. (Section 7.2)
ORDERING INSTRUCTION CHANGES
Changes to the Ordering Instructions may be requested at any time during the contract effective dates. All requests
must include the following:
1. Contract Revision/Authorization Form (may submit one form for all requests).
2. Letter or email information from the manufacturer clarifying the requested change - if needed.
3. Revised Ordering Instructions Form
5.24 Dedicated State Term Contract Website Requirement
The contract resulting from this ITB will become a public document. The Department is using the Florida Communities
Network (FCN) on the Internet World Wide Web (WWW) to distribute contract and product information to users of State
Term Contracts outside of MyFloridaMarketPlace (MFMP).
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The Department shall link the Contractor’s web page and Price Sheet (Section 6.1) to the contract site:
http://dms.myflorida.com. Approved revised Price Sheet(s) from the Contractor will be sent to the Contract Manager in
Microsoft Word version for posting to the contract site.
Contractors shall develop and maintain a State Contract Web Page on the Internet WWW to post approved contract
information to enable access to and ordering of Customers’ specific items. The Contractor’s web page will be linked from
the State Contract website and dedicated to the State of Florida Contract. Contractors are responsible for maintaining the
contract information below through their State Contract Web Page for the life of the contract.
Each Contractor’s State Contract Web Page must include the following information:
Ordering Instructions
Authorized Servicing Dealers & Manufacturer Representative
Commercial Price Book or GSA Price Book, PDF or HTML
Environmental Requirements
Recycled Content Requirement
Additional links may be included to access additional product literature, the Contractor’s home
page, or any other pertinent information.
Any revisions to the originally approved contract information must be authorized in writing by the Department prior to
implementation. If unauthorized information is discovered within the site, the contract link may be immediately suspended
until the information is appropriately revised, or until the contract is terminated. Except in the event of unforeseen
technological interruptions or forces of nature, continued disruption of service or inadequate access may be grounds
for default proceedings and/or contract termination.
Final award is contingent on completion of submitted Universal Resource Locator (URL) for the State Term
Contract Web Page. See Event Timeline.
5.25 MyFloridaMarketPlace (MFMP) Electronic Catalog Requirement.
The MyFloridaMarketPlace (“MFMP”) third-party service provider is responsible for converting Contract catalog
information into a format supported by the system. To accomplish this conversion, the Contractor, if requested, shall
provide certain information in electronic format directly to the service provider (Note: This format is generally Microsoft
Excel™.).
Within ten (10) business days of written notice from the MFMP service provider, Contractor shall provide all information
necessary to facilitate electronic purchases from this Contract. Such information may include, but is not limited to,
Contractor Name, Manufacturer / Brand Name, SKU, Commodity Description, unit of measure. Contractor shall provide
this information in the format required by the MFMP service provider. No costs or expenses associated with providing this
information shall be charged to the State, Department, Eligible Users, or MFMP service provider. With the Contractor’s
timely assistance, the MFMP service provider shall create and maintain web-based placement of the requested Contract
information.
Final award is contingent on completion of and submittal of MyFloridaMarketPlace electronic catalog. See Event
Timeline.
5.26 Requirements of Contractors
Printed paper copies of this contract will not be automatically distributed to contractors or users. Contractors
can view their current contract through the State Purchasing website at http://purchasing.state.fl.us. Color brochures and fabric/finish cards must be provided to all users upon request.
All price lists and literature will be provided at no charge to the Department or Customers.
The Department shall review and approve all literature, price lists, and promotional materials before
distribution to agencies and political subdivisions.
Failure to comply with these requirements may result in default proceedings and/or contract termination.
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5.27 Authorized Servicing Dealers and Manufacturer Representative
Contractors are required to name at least a minimum of two (2) different servicing dealers for the State of Florida.
Contractors are encouraged to use certified Minority Business Enterprise dealers. It is the Contractor’s
responsibility to insure that all customers will be given equal representation and service with the approved dealers.
Each dealer named will be responsible for delivery and installation of products, as well as providing needed assistance to
Eligible Users, as defined in Special Instructions, Eligible Users, Section 3.1. All servicing dealers participating in this
contract are required to register in MyFloridaMarketPlace if they will be receiving orders on behalf of the manufacturer.
5.28 Intellectual Property
The parties do not anticipate that any Intellectual Property will be developed or created as a result of the
Contract. However, in such case as it is developed or created, any Intellectual Property developed or created as a result of
the Contract will belong to and be the sole property of the State of Florida. This provision will survive the termination or
expiration of the Contract.
5.29 Warranty
All equipment including material used therein shall be warranted by the Contractor against mechanical, electrical, and
workmanship defects. In the event defects become evident within the warranty period, the Contractor shall either repair or
replace the defective parts and materials at no additional cost to the Customer. The Contractor shall be liable to the
Customer for supply of information and material necessary for mandatory revisions determined by the manufacturer at no
additional cost to the Customer for the duration of the warranty period. The duration of this full parts warranty period shall
be at least 5 years (except for fabric and pneumatic cylinders, which shall be warranted for a minimum of 1 year), or the
manufacturer’s standard warranty period, whichever is longer. The warranty period shall start with the date of equipment
acceptance and shall be extended to include times during which the equipment is out of service for warranty repair. The
warranty shall apply to all equipment provided under this contract.
5.30 Insurance, Worker’s Compensation
The Contractor shall take out and maintain during the life of this agreement, Worker's Compensation Insurance for all of
his employees connected with the work of this project and, in case any work is sublet, the Contractor shall require the
subcontractor similarly to provide Worker's Compensation Insurance for all of the latter's employees unless such
employees are covered by the protection afforded by the Contractor. Such insurance shall comply fully with the Florida
Worker's Compensation law. In case any class of employees engaged in hazardous work under this contract at the site of
the project is not protected under the Workmen's Compensation statute, the Contractor shall provide, and cause each
sub-contractor to provide, adequate insurance, satisfactory to the Customer, for the protection of his employees not
otherwise protected.
INSURANCE, CONTRACTOR'S PUBLIC LIABILITY AND PROPERTY DAMAGE
The Contractor shall take out and maintain during the life of this agreement COMPREHENSIVE GENERAL LIABILITY
AND COMPREHENSIVE AUTOMOBILE LIABILITY INSURANCE as shall protect him from claims for damage for
personal injury, including accidental death, as well as claims for property damages which may arise from operating under
this agreement whether such operations are by himself or by anyone directly or indirectly employed by him, and the
amount of such insurance shall be the minimum limits as follows:
A. CONTRACTOR'S COMPREHENSIVE GENERAL $300,000.00
LIABILITY COVERAGES, BODILY INJURY Each Occurrence,
& PROPERTY DAMAGE Combined Single Limit
B. AUTOMOBILE LIABILITY $100,000.00
COVERAGES, BODILY INJURY Each Occurrence,
& PROPERTY DAMAGE Combined Single Limit
Insuring clause for both BODILY INJURY and PROPERTY DAMAGE shall be amended to provide coverage on an
OCCURRENCE BASIS
Page 52
SECTION SIX: PRICE SHEET
CONTENTS:
6.1 Price Sheet
[The remainder of this page is intentionally left blank (other than footer information)
Page 54
ITB No. 17-425-001-F, Office Furniture and Files
Section 6.1 Price Sheet
Respondent's Name:
Respondent’s Brand Name:
Price List Name / Number / Date (be
specific):
Series Bid: Each series shall be
listed separately by name and/or
number.
Quantity Discount Tiers1 GSA Discount2 (##.##%) State of Florida Discount
Offered3 (##. ##%)
State of Florida
Offer Status4
[Example: $0 - $5,000] 50.00% 49.75% Compliant
[Example: $5,000 - $10,000] 50.00% 49.00% Non-Compliant
[Example: $10,000 - $25,000] 50.00% 50.25% Compliant
Compliant
Compliant
Compliant
Compliant
Compliant
Compliant
Compliant
Additional Quantity Discounts:
[List additional discounts applicable to any Single Order of any combination of awarded contract items to be delivered at one
time to one destination.]
Page 55
Balance-of-Line Price/Products (if applicable):
[List Product Names, Price List/Name/Number/Date (be specific) and discounts.]
Installation:
[Charges may be listed as cost per item, % of net cost of items, or negotiable per project. List any installation charges.]
Space Planning / Design Fees:
Fees may be listed as an hourly fee, percentage of price fee, or negotiable per project. List space planning / design fees.]
Shipping / Delivery Costs:
[If there are additional costs not already listed in the basic discount price, please detail those here.]
Section 6.1. Notes:
1 - Quantity Discount Tiers: Enter the list quantity discount tiers as approved in your GSA Contract.
2 - GSA Discount (##. ## %): Enter the GSA Discount including Industrial Funding Fee. Percentages provided in the
template form are examples and can be replaced with your contract discount information.
3 - State of Florida Discount Offered (##. ## %): Enter the State of Florida Discount offered including Transaction Fee (Fixed
Discount). See Section 5.10 Price/Discount
4 - State of Florida Offer Status: For each Discount Tier, enter the State of Florida Discount offered (including Transaction
Fee). The discount must be no less than 0.25% below the GSA Discount including Industrial Funding Fee. Compliance /
Non-Compliance status will be automatically calculated and displayed. See Section 5.10 Price/Discount
Any additional charges or fees must be noted on this form OR the State expects that there are no charges.
PLEASE DUPLICATE ON ADDITIONAL TABS IF NEEDED.
Page 56
SECTION SEVEN: FORMS
CONTENTS:
7.1 Ordering Instructions Form
7.2 Authorized Servicing Dealer & Manufacturer Representatives Form
7.3 Certification of Drug-Free Workplace Program
7.4 Quarterly Sales Report Form
7.5 Savings/Price Reductions Form
Page 57
7.6 Product List Form
7.7 Response Preparation Checklist
[The remainder of this page is intentionally left blank (other than footer information)
ITB No. 17-425-001-F Office Furniture and Files
Section 7.1 Ordering Instructions Form
Respondent Information
RESPONDENT
NAME: [Enter Respondent's Name]
Page 58
RESPONDENT
FEID NO.: [Enter Respondent's Federal Employer Identification Number]
MFMP / SPURS
VENDOR NO.: [Enter Respondent's MFMP / SPURS Vendor Number, if Known]
STREET ADDRESS: [Enter Respondent's Street Address]
CITY, STATE and
ZIP: [Enter Respondent's City, State and ZIP]
INTERNET
ADDRESS: [Enter Respondent's Internet Address]
TELEPHONE NO.: [Enter Respondent's Main Telephone Number]
TOLL-FREE NO.: [Enter Respondent's Main Toll-Free Telephone Number, if Available]
FAX NO.: [Enter Respondent's Main Fax Number]
Person Responsible For Administering The Contract
NAME: [Enter Contact's Name]
TITLE: [Enter Contact's Title]
STREET ADDRESS: [Enter Contact's Street Address]
CITY, STATE and
ZIP: [Enter Contact's City, State and ZIP]
E-MAIL ADDRESS: [Enter Contact's E-Mail Address]
TELEPHONE NO.: [Enter Contact's Telephone Number]
TOLL-FREE NO.: [Enter Contact's Toll-Free Telephone Number, if Available]
CELL PHONE NO.: [Enter Contact's Cell Phone Number (Optional)]
FAX NO.: [Enter Contact's Fax Number]
Ordering and Remit-To Information Please provide information where Customers should direct orders. You must
provide a regular mailing address and email address. If equipped to receive purchase orders electronically, you may
also provide an Internet Address.
REMIT-TO: [Enter Respondent's Remit-To Name] Or Enter "See Servicing Dealer List"
REMIT-TO STREET
ADDRESS: [Enter Respondent's Remit-To Street Address]
REMIT-TO CITY,
STATE and ZIP: [Enter Respondent's Remit-To City, State and ZIP]
REMIT-TO EMAIL
and/or INTERNET
ADDRESS:
[Enter Respondent's Remit-To Email and/or INTERNET Address]
Note: Please make sure the Ordering Instructions information provided above matches the MyFloridaMarketPlace
("MFMP") Vendor Registration account information (http://vendor.myfloridamarketplace.com/).
PLEASE DUPLICATE ON ADDITIONAL TABS IF NEEDED.
Page 59
ITB No. 17-425-001-F Office Furniture and Files
Section 7.2 Authorized Servicing Dealer & Manufacturer's Representatives Form
Servicing Dealer Information
DEALER NAME: [Enter Dealer's Name]
DEALER FEID NO.: [Enter Dealer's Federal Employer Identification Number]
MFMP / SPURS
VENDOR NO.: [Enter Dealer's MFMP / SPURS Vendor Number, if Known]
STREET ADDRESS: [Enter Dealer's Street Address]
CITY, STATE and
ZIP: [Enter Dealer's City, State and ZIP]
INTERNET
ADDRESS: [Enter Dealer's Internet Address]
TELEPHONE NO.: [Enter Dealer's Main Telephone Number]
TOLL-FREE NO.: [Enter Dealer's Main Toll-Free Telephone Number, if Available]
FAX NO.: [Enter Dealer's Main Fax Number]
Manufacturer Representation
MANUFACTURER'S
REPRESENTATIVE
NAME:
[Enter Manufacturer's Representative Name]
TITLE: [Enter Manufacturer's Representative Title]
STREET ADDRESS: [Enter Manufacturer's Representative Street Address]
CITY, STATE and
ZIP: [Enter Manufacturer's Representative City, State and ZIP]
E-MAIL ADDRESS: [Enter Manufacturer's Representative E-Mail Address]
TELEPHONE NO.: [Enter Manufacturer's Representative Telephone Number]
TOLL-FREE NO.: [Enter Manufacturer's Representative Toll-Free Telephone Number, if Available]
CELL PHONE NO.: [Enter Manufacturer's Representative Cell Phone Number (Optional)]
FAX NO.: [Enter Manufacturer's Representative Fax Number]
GORAPHIC AREA
OF TERRITORY: [Enter Manufacturer's Representative Geographic Area of Territory]
NOTES:
Note: Please make sure the Ordering Instructions information provided above matches the MyFloridaMarketPlace
("MFMP") Vendor Registration account information (http://vendor.myfloridamarketplace.com/).
PLEASE DUPLICATE THIS FORM ON ADDITIONAL TABS AS NEEDED
Page 60
Certification of Drug-Free Workplace: Section 7.3
Section 287.087 of the Florida Statutes provides that, where identical tie bids are received, preference shall be
given to a bid received from a bidder that certifies it has implemented a drug-free workforce program. Please sign
below and return this form to certify that your business has a drug-free workplace program.
1) Publish a statement notifying employees that the unlawful manufacture, distribution, dispensing,
possession or use of a controlled substance is prohibited in the workplace and specifying the actions that
will be taken against employees for violations of such prohibition.
2) Inform employees about the dangers of drug abuse in the workplace, the business's policy of maintaining
a drug-free workplace, any available drug counseling, rehabilitation and employee assistance programs and
the penalties that may be imposed upon employees for drug abuse violations.
3) Give each employee engaged in providing the commodities or contractual services that are under Bid a
copy of the statement specified in Subsection (1).
4) In the statement specified in Subsection (1), notify the employees, as a condition of working on the
commodities or contractual services that are under Bid, the employee will abide by the terms of the
statement and will notify the employer of any conviction of, or plea of guilty or nolo contendere to, any
violation of Chapter 893 or of any controlled substance law of the United States or any State, for a violation
occurring in the workplace no later than five (5) days after such conviction.
5) Impose a sanction on, or require the satisfactory participation in a drug abuse assistance or rehabilitation
program if such is available in the employee's community by any employee who is so convicted.
6) Make a good faith effort to continue to maintain a drug-free workplace through implementation of this
section.
As the person authorized to sign the statement, I certify that this firm complies fully with the above requirements. False statements are
punishable at law.
BIDDER’S NAME: __________________________________________________________________
By: _____________________________________________________________________________
Authorized Signature Print Name and Title
Page 61
Section 7.4
Quarterly State Term Contract Sales Summary Report
Vendor Name: FEID#:
Contact Person: Phone Number: Email:
Contract Title: Contract #:
Fax or Email form to: Brenda Wells Fax: 850-414-6122 Email: brenda.wells@dms.myflorida.com
Report reflects all sales for the 20xx (YEAR) CALENDAR QUARTER: Check One
Quarterly Period Ending March 31st Quarterly Period Ending June 30th
Quarterly Period Ending September 30th Quarterly Period Ending December 31st
ENTITY TOTAL DOLLARS
STATE AGENCIES:
Report dollar amount sold to all State Agencies.
$
POLITICAL SUBDIVISIONS:
Report dollar amount sold to other Political Subdivisions
[including but not limited to, Counties, Cities, Schools,
Universities, Colleges and Utilities].
$
Environmentally Preferred Products
Report dollar amount sold to agencies:
Report dollar amount sold to political subdivisions:
$
$
GRAND TOTAL:
$
Under penalties of perjury, I declare that this is a true and accurate report of all sales due under the terms and conditions of
this state term contract for the specified quarterly reporting period.
AUTHORIZED TYPED SIGNATURE:
AUTHORIZED ELECTRONIC SIGNATURE:
Notes:
1) A quarterly report is required even if there are no sales for the specified quarter; please enter zero dollars where applicable.
2) This form is for the reporting of quarterly sales only. It is not related to reporting and payment of vendor transaction fees.
3) To enter electronic signature, click text box, click “Insert” (on tool bar), select “picture”, and select picture type to paste or enter signature.
4) For information concerning the use of this form, please contact the Contract Administrator named above.
(Rev. 7/15/08)
Page 62
Quarterly State Term Contract Sales Summary Report
Detail by commodity/service category, and/or by customer.
May be formatted to accommodate company reporting system.
Commodity/service Category
(as listed on the Contract Agency\Eligible User
Quantity
Sold
P-Card
Payments
P. O./D. O.
Payments Total Sales
$ -
$ -
$ -
$ -
$ -
$ -
$ -
Page 63
SAVINGS/PRICE REDUCTIONS: Section 7.5
Invitation to Bid (ITB) No.
Respondent is required to furnish the percent (%) savings in prices offered compared to retail, list, published or other usual
and customary prices that would be paid by the purchaser without benefit of a contract resulting from this bid.
DATE
COMPETITIVE PRICES OFFERED AVERAGE % SAVINGS.
HOW CAN WE VERIFY THE CLAIMED SAVINGS (example: retail or other usual and customary prices published at
[url], or other source of benchmark prices)?
___________
___________
___________
AUTHORIZED SIGNATURE: ____
TELEPHONE NUMBER: ____
RESPONDENT NAME: ____
IF CONTRACT AWARDED, STATE PURCHASING ANALYST/SPECIALIST TOOK THE FOLLOWING STEPS TO
VERIFY SAVINGS:
_________
_________
_________
_________
WHAT WERE THE RESULTS? ________
PURCHASING ANALYST/SPECIALIST: ________
PUR 7064 (Rev 2/04)
Page 64
PRODUCT LIST FORM: Section 7.6
The Product List Form is an example of furniture products offered under this Solicitation which will be available
on the State of Florida Office Furniture and Files Contract. Please check the products you offer.
MANUFACTURER NAME: _______________________
SYSTEMS FURNITURE SEATING
Open Office Systems Furniture Ergonomic Seating
Desking Systems Task Seating
Communications Ctr. Workstations Multi -Shift Seating
Stacking Open Office Systems Big & Tall Seating
Floor-to-Ceiling Partitions Big & Tall Multi-Shift
Computer Stations Executive Seating
Side Chairs
Lounge Seating
Training Room Seating
TECHNOLOGY/RISK Stack Chairs
MANAGEMENT Multi-Purpose Seating
Dispatch/911 Wood Seating
LAN Furniture Conference or training chairs
WAN Furniture
Server Racks Lateral Files-Metal CASEGOODS
Keyboard Supports Executive Wood Office Furniture
Cable Management Laminate Office Furniture
CAD Workstations Metal Office Furniture
Adjustable Height Work Surfaces Computer Desks
Ergonomic Accessories Laminate Bookcases
Wood Files
FILES/STORAGE Wood Bookcases Lateral Files - Steel
Vertical Files - Steel CONFERENCE/TRAINING /PUBLIC AREA
Lateral Files-Wood Training Tables
Vertical Files-Metal Wood Conference Tables
Vertical Files-Wood Occasional Tables
Fireproof Files Laminate Conference Tables
ADP/Data Storage Laminate Conference Accessories
Metal Storage Cabinets Presentation Accessories
Plan Storage Computer Training Tables
Media Storage Multi-Purpose Tables
Shelving/Personal Storage Audio/Visual Accessories
Conference Storage & Training Storage Reception Desks
Page 65
Map Files Sofas & Loveseats
Mail Processing Furniture Single & Multiple Seating Units
Response Preparation Checklist: Section 7.7
The Response Preparation Checklist is a guide to assist Respondents in verifying the completeness of their response. The
Response Preparation Checklist does not relieve the Respondent of the responsibility of ensuring that all requirements of
this solicitation are included with submittal of Response.
The following section pertains to the electronic portion of the response that will be submitted via the
MyFloridaMarketPlace Sourcing Tool:
______ Reviewed the MyFloridaMarketPlace Sourcing Tool Online Training Guide.
______ All documents requiring a Yes/No answer have been fully read and answered.
______ All required documents have been fully completed and uploaded into Respondent’s response.
(Price Sheet(s), Ordering Instructions, Authorized Dealers & Manufacturer Representatives,
Savings/Price Reduction, Product List, and Certification of Drug-Free Workplace Form)
Submitted all questions to the MyFloridaMarketPlace Q&A Board, no later than date and time listed in
Section 1.2 Event Timeline.
Viewed answers to submitted questions as posted in addendum to solicitation.
Submitted the electronic portion of the response using the MyFloridaMarketPlace Sourcing tool.
The following section pertains to the portion of the response that must be received by the contact person below no
later than date and time listed in Section 1.2 Event Timeline.
Dedicated Website URL Address ______ Federal GSA Catalog /Price Book (CD format)
_____ Purchase Orders or Invoices ______ Current Price Book (CD format)
______Environmental Requirements ______ GSA Contract (copy)
______Recycled Content Requirements
Contact Person: Brenda Wells, CPPB, FCPM, FCPA, FCCM
Purchasing Analyst, Team Lead
Department of Management Services
Division of State Purchasing
4050 Esplanade Way, Suite 370
Tallahassee, FL 32399-0950
Outer packaging shall clearly states the Response Title, Number, Opening Date and
Time along with Respondent’s Name and Address.
ITB 17-425-001-F; Office Furniture and Files: Addendum No. 1
ADDENDUM NO. 1
State of Florida Department of Management Services
INVITATION TO BID (“ITB”) 17-425-001-F
Office Furniture and Files
January 11, 2011
The Department hereby answers Questions posted by interested Vendors, and provides additional guidance for completing Price Sheets. Unless expressly indicated, the answers included herein do not amend the terms of the solicitation documents. Failure to file a protest within the time prescribed in §120.57(3), Florida Statutes, or failure to file a bond or other security within the time allowed for filing a bond shall constitute a waiver of proceedings under chapter 120, Florida Statutes Please Note: This addendum does not need to be returned with the Response. Question No. 1 Due to restructuring within our company, our current GSA contract is scheduled to expire
this year. However, our parent company intends to secure a new GSA contract under the parent company's name and FID #. If awarded a contract with the State of Florida, are we able to transfer the Florida contract to the new GSA contract awarded to our parent company at the prices on the new GSA contract?
Answer No.1.
Awarded Contractors may request revisions at any time during the contract term in accordance with Prices/Discount, Section 5.10, Addition/Deletion of Vendors and Products Offered, Section 5.13 and Contract Revisions, Section 5.23.
Question No. 2
Can a vendor/manufacturer be included on 2 contracts? Example: if a vendor has an E&I contract which does not include conferencing and desk, will this vendor be able to submit those products on this contract? Thanks
Answer No. 2
Yes, a vendor can be included on two contracts; however, the products must not be in conflict. Please reference Basis for Award, Section 3.15 and Eligible Products, Section 5.1.
Question No. 3
Good afternoon, I would like to respond to this bid, however, I do not see anywhere in this package an itemized list indicating product, descriptions and quanitities. Will there be a separate addendum?
Answer No. 3
No. The contract resulting from this solicitation is a state term contract and will be used for many projects throughout the state. Specific project requirements will be provided by contract customers, per project. Please reference Introduction, Section 1.1.
Question No. 4
I notice that only Manufacturers who hold a GSA Contract can submit a bid. Does the GSA Contract held at the time of submitting a bid have to remain in effect for the entire term of the Florida Contract?
Answer No. 4
Awarded Contractors may request price and product changes at any time during the contract term in accordance with Prices/Discount, Section 5.10, Addition/Deletion of Vendors and Products Offered, Section 5.13 and Contract Revisions, Section 5.23.
ITB 17-425-001-F; Office Furniture and Files: Addendum No. 1
Question No. 5
I am requesting that the deadline for questions be extended. This bid was issued just before Christmas break and many of the manufacturers I represent are just getting back as they were closed the last two weeks. Another few days to a week would be helpful to be sure we have reviewed and asked all relevant questions.
Answer No. 5
The Event Timeline is comparable to previous solicitations for this commodity. The Department does not intend to amend the timeline.
Question No.6
As a continuation of my question on GSA Pricing- our current GSA catalog is out of date (and) has several line items that are obselete. The new GSA catalog has several new line items - we would like to submit the new price list as the basis for our bid, even though it has not been approved by GSA yet (should be within a month). Can we do that?
Answer No. 6
The Basis for Award, Section 3.15, specifies products currently available on GSA Schedule. Awarded Contractors may request price and product changes at any time during the contract term in accordance with Prices/Discount, Section 5.10, Addition/Deletion of Vendors and Products Offered, Section 5.13 and Contract Revisions, Section 5.23.
Question No. 7
Can you please clarify what "Series Bid" means (on Section 6.1 Price Sheet). We sell Console furniture and millwork but have several types of consoles. Are each of our console products considered a different series? Is Millwork a different series?
Answer No. 7
"Series Bid" means the name and/or number your company assigns or refers to a group of products to identify the products.
Question No. 8
(Company name removed) recently submitted a request for a price change to our GSA catalog. I expect this to be accepted by GSA in the next month. Can I use this new GSA pricing as the basis for our bid? Our current GSA price is based off our old Price catalog, not the current one.
Answer No. 8
Please refer to Answer No. 6.
Question No. 9
RE; "Copy of GSA Contract"; Are you wanting the award pages and mods or are you wanting the entire solicitation offer award and mods which runs over 400 pages?
Answer No. 9
Reference Section 3.8 Submittal of Bid. We need the specific pages which detail the Respondent’s GSA award that confirm manufacturer name, contract number, effective dates, and pricing discounts.
Question No.10
The ITB has a Responses Due date of January 24, 2011 (2:00 pm ET), but the online timer indicates only 6 days left. Which is correct.
Answer No.10
The solicitation was in Preview Status at the time of this question. The timer would have shown how many days were remaining in the Preview phase. Responses are due January 24, 2011, 2:00 PM ET.
Question No. 11
I need your advice on how or if I should bid for the contract. We are (Company Name) the Florida distributor for Ergonomic Office Chairs. We sell quite a few 24/7 chairs to 911 and power companies in Florida. Ergonomic Office Chairs has the Ironhorse line of chairs under a GSA contract. Normally when I sell to GSA in my territory, the transaction has to go through Ergonomic Office Chairs and then I am the direct contact for the GSA customer if a warranty issue arises. The pricing is all the same in my territory under the GSA pricing. My
ITB 17-425-001-F; Office Furniture and Files: Addendum No. 1
question is can I bid on the Florida contract? All the pricing will be the same whether you purchase from me or direct through Ergonomic Office Chairs. I would appreciate your input. Thank you very much and have a good day.
Answer No.11
Please reference Who May Respond, Section 3.4.
Question No.12
Can you tell me where the Prepare Response button is located? It is not at the top of the page, thank you very much.
Answer No.12
Please refer to Answer #10.
Question No.13
Good morning, Are all manufacturers eligible that meet the GSA and state specs?
Answer No.13
Please reference Who May Respond, Section 3.4 and Basis for Award, Section 3.15.
Question No.14
Good morning, Will you need a seperate product list for each manufacturer?
Answer No.14
Yes. Please reference Submittal of Response, Section 3.8.
Question No.15
Good morning, In order to give you pricing I will need more specs on the product list form. There are no specifications about size, finish or needs. Will you publish a spec sheet?
Answer No.15
No. Please refer to Answer #3.
Question No.16
Section 4.11 Transportation and Delivery - Will the order acknowledgement with the actual ship date be satisfactory to comply with potentional delivery delays beyond the 30 day requirement notification?
Answer No.16
Section 5.18 Delivery Requirements takes precedence over Section 4.11. Section 5.18 specifies 90 days delivery for furniture. Delays must be clearly presented to the Customer and justified to the ordering agency in writing. If a delay is noted on the Order acknowledgement, it is the responsibility of the manufacturer or servicing dealer to notify this delay to the Customer and obtain acceptance.
Question No.17
Section 4.4 (d) Trade-In. Please confirm that the term equipment is strictly meaning things like copiers and fax machines, etc. Not, furniture.
Answer No.17
Trade-In, Section 4.4, paragraph (d) is not applicable for furniture. Please reference Order of Precedence, Section 3.7.
Question No.18
5.10 prices/Discounts: (Company name removed) is a State of Florida corporation. We manufacture and install Full Height Demountable wall systems. We do not have a GSA price list with discount. We have a Miami-Dade County contact for materials, labor and freight included with a discount schedule. Can we provide this contract in lieu of the GSA pricing under 287.042 (16) (a), F.S.?
Answer No.18
Please reference Section 3.4, Who May Respond. Responses are requested from manufacturers holding current Federal (GSA) Contracts for products offered on this contract. Section 287.042(16), F.S., references an alternate contract source approval process. This process is separate from this competitive process outlined in Section 287.057
ITB 17-425-001-F; Office Furniture and Files: Addendum No. 1
(1) (a), F.S.
Question No.19
Even though our current contract was just extended through March 2012 we should still participate in this bid?
Answer No.19
Yes. The current state term contract for Office Furniture and Files has been renewed through March 1, 2012, and will be in effect until a new contract has been implemented.
FAILURE TO FILE A PROTEST WITHIN THE TIME PRESCRIBED IN §120.57(3), FLORIDA STATUTES, OR FAILURE TO FILE A BOND OR OTHER SECURITY WITHIN THE TIME ALLOWED FOR FILING A BOND SHALL CONSTITUTE A WAIVER OF PROCEEDINGS UNDER CHAPTER 120, FLORIDA STATUTES
Office Furniture and Files March 29, 2011
ITB 17-425-001-F Page 1 of 1
Addendum No. 2
ITB 17-425-001-F
Office Furniture and Files
Addendum No. 2
The referenced solicitation is amended as follows:
The Notice of Intent to Award will be posted on the Vendor Bid System (VBS) on May 17, 2011.
FAILURE TO FILE A PROTEST WITHIN THE TIME PRESCRIBED IN §120.57(3), FLORIDA STATUTES,
OR FAILURE TO FILE A BOND OR OTHER SECURITY WITHIN THE TIME ALLOWED FOR FILING A
BOND SHALL CONSTITUTE A WAIVER OF PROCEEDINGS UNDER CHAPTER 120, FLORIDA STATUTES.
Section 1.2 Event Timeline is amended as follows:
Event Timeline Activity for ITB #17-425-001-F Date
Notice of Office Furniture & Files solicitation is posted to the Vendor Bid System (VBS)
and the complete Office Furniture & Files solicitation is posted in the MyFloridaMarketPlace
Sourcing Tool. Solicitation will initially be in “Preview” status where Respondents can
view/download all information and ask questions, but cannot input or submit responses.
December 20, 2010
Deadline to submit Questions, or request for specification change via the
MyFloridaMarketPlace Sourcing tool Q&A Board (Respondents must monitor Message
Board for communications).
January 4, 2011
5 pm ET
Department will post Answers to Respondents’ questions as an addendum to the solicitation
within the MyFloridaMarketPlace Sourcing Tool. Respondents must monitor Message
Board for communications.
January 11, 2011
Deadline to submit Response, including all required documents in the
MyFloridaMarketPlace Sourcing Tool. Utilize the Response Preparation Checklist to
make sure all required documents and responses are completed. (Section 7.7)
January 24, 2011
2 pm ET
Deadline for submittal of State Term Contract dedicated web site URL Address. (Section
3.12)
January 24, 2011
2 pm ET
Notice of Intent to Award posted on Vendor Bid System (VBS). May 17, 2011
Deadline for development of eProcurement catalog within MyFloridaMarketPlace. To Be Determined Prior to
Contract Award
Contract Award Per Section 2.17 Contract
Formation
Office Furniture and Files May 17, 2011
ITB 17-425-001-F Page 1 of 1
Addendum No. 3
ITB No. 17-425-001-F
Office Furniture and Files
Addendum No. 3
The referenced solicitation is amended as follows:
The posting of the Notice of Intent to Award scheduled for May 17, 2011 is postponed. All updates will be posted on the Vendor
Bid System. Questions should be directed to Brenda Wells, Purchasing Analyst, at Brenda.Wells@dms.myflorida.com.
FAILURE TO FILE A PROTEST WITHIN THE TIME PRESCRIBED IN §120.57(3), FLORIDA STATUTES,
OR FAILURE TO FILE A BOND OR OTHER SECURITY WITHIN THE TIME ALLOWED FOR FILING A
BOND SHALL CONSTITUTE A WAIVER OF PROCEEDINGS UNDER CHAPTER 120, FLORIDA STATUTES.
Section 1.2 Event Timeline is amended as follows:
Event Timeline Activity for ITB #17-425-001-F Date
Notice of Office Furniture & Files solicitation is posted to the Vendor Bid System (VBS)
and the complete Office Furniture & Files solicitation is posted in the MyFloridaMarketPlace
Sourcing Tool. Solicitation will initially be in “Preview” status where Respondents can
view/download all information and ask questions, but cannot input or submit responses.
December 20, 2010
Deadline to submit Questions, or request for specification change via the
MyFloridaMarketPlace Sourcing tool Q&A Board (Respondents must monitor Message
Board for communications).
January 4, 2011
5 pm ET
Department will post Answers to Respondents’ questions as an addendum to the solicitation
within the MyFloridaMarketPlace Sourcing Tool. Respondents must monitor Message
Board for communications.
January 11, 2011
Deadline to submit Response, including all required documents in the
MyFloridaMarketPlace Sourcing Tool. Utilize the Response Preparation Checklist to
make sure all required documents and responses are completed. (Section 7.7)
January 24, 2011
2 pm ET
Deadline for submittal of State Term Contract dedicated web site URL Address. (Section
3.12)
January 24, 2011
2 pm ET
Notice of Intent to Award posted on Vendor Bid System (VBS). To Be Determined
Deadline for development of eProcurement catalog within MyFloridaMarketPlace. To Be Determined Prior to
Contract Award
Contract Award Per Section 2.17 Contract
Formation
May 24, 2018 2
PTC Progress
• APTA PTC Workshop in Washington DC:
– Participated in PTC workshop hosted by American
Public Transportation Association
– Invitees and Participants included all Public
Transportation Agencies, FRA, and the Association of
American Railroads (AAR)
– Discussions centered around individual Agency
Progress, Industry Progress, and Messaging
May 24, 2018 3
PTC Progress
• APTA PTC Workshop in Washington DC:
– FRA reinforced message that all statutory
requirements must be met by this year to
request an alternate schedule and sequence :
• HW Installation
• Training
• Spectrum Acquisition
• Territory in RSD or Alternative Criteria
May 24, 2018 4
PTC Progress
• APTA PTC Workshop in Washington DC:
– Most commuter agencies will fit into one of three
categories for the last criteria:
• Have one of their territories in Revenue Service Demonstration
(RSD)
• As an Alternate criteria; Define a test segment and be in RSD on
that segment
• Define an alternative state to Revenue Service Demonstration
– SFRTA has defined as Field Integration Testing (The step
before running trains during revenue service)
May 24, 2018 5
PTC Progress
– Messaging by AAR (Class 1
Railroads):
• Railroads will meet statutory
requirements by the end of this year
• This translates to : Most Railroads and
Agencies will require an alternative
schedule and sequence since they are
not fully implemented
– Full Implementation requires fully
functional PTC across all territories
and interoperability with ALL
tenants
(https://www.aar.org/article/freight-rail-positive-train-control/)
May 24, 2018 7
PTC Summary StatusMajor Segment / Area Progress to Date Current Status Summary
(per 49 U.S. Code 20157) Major Roadblocks and Risks Major Challenges
1. Awaiting FRA approval of alternative criteria. 2. FRA review and approval of test procedures and witnessed testing may present challenges as
many Railroads are making simultaneous requests there are limited FRA resources. 3. The Alternative delivery schedule (request for an extension) will need to be submitted to the
FRA for Approval upon which they have 90 days to respond. Combined with the fact that the FRA’s position is that you cannot request an Alternative schedule until ALL conditions are actually complete (Not forecasted), there is a concern with how we will be deemed compliant come December 31, 2018
4. With several railroads expected to submit RSD requests and PTC Safety Plans around the same time, the concern is that we cannot operate in RSD without concurrence by the FRA. Additionally, overall system certification times may be extended if FRA review times are extended.
Locomotive (On-Board) Segment
• Qty. 12 -BL36PH units have been equipped with I-ETMS equipment.
• One GP49 complete • Bombardier cab car pilot substantially complete • Progressing with additional Cab Cars and GP49
Total 14/24 Units needed for revenue service complete
SFRTA is on schedule to meet the hardware installation by
12/31/2018. Enough of the fleet will be equipped with PTC to cover normal revenue service operations.
• Fleet Availability to perform the installation.
• Additional installation activities to equip our fleet with Cab signals will add to constraints.
Wayside Signals Segment
• Design complete. • 24/64 WIUs have been installed. • Remaining WIU Installation is progressing
SFRTA is on schedule to meet the hardware installation by
12/31/2018.
• Dependence on third party delivery of leased circuits
• Integration and Validation Activities • Vendor / Contractor Resource
Constraints Communications Segment
• 8/8 Radio Towers installed (using existing infrastructure). Antennas and lines have been installed
• Conduit infrastructure is in place • Design is complete • AT&T leased lines delivered for 35/49 locations
SFRTA is on schedule to meet the hardware installation by
12/31/2018.
• Dependence on third party delivery of leased circuits
• Vendor / Contractor Resource Constraints
Back Office Segment • System Design Document and System Requirement Specification substantially complete
• Initial Subdiv development has been completed. • Unofficial Critical Feature Validation complete • TMDS Cutover planned for 8/30/18
SFRTA is on schedule to meet the hardware installation by
12/31/2018.
• Current CAD is being replaced, impact to operating rules or schedule impact if modifications are necessary
• Configuration Management after critical asset validation is complete is key
• FRA Review of Test plans and procedures longer than anticipated.
PTC Spectrum • PTC-220 LLC spectrum sublease through CSX has been executed.
SFRTA has satisfied the acquisition of spectrum
requirements.
• N/A – Activity Complete
Training • Segment training is expected to commence in mid-2018 to ensure knowledge is retained.
On schedule to meet the employee training requirements
by 12/31/2018
• Availability of staff to attend training sessions
• On-going training requirements Revenue Service Demonstration (RSD)
• Initial schedule shows Field Integration Testing by 12/31/2018 and RSD by 7/31/2019
• Current Accelerated Schedule shows RSD for entire 72.6-mile corridor by 12/31/18 (Non-contractual date)
Awaiting FRA’s response to request of Alternative Criteria to
align contractual milestone dates with alternative crteria. Alternative criteria requested as “Start of Field Integration Testing” as defined in the request to the FRA
• Integration and testing effort for all major segments is needed
• Additional training for RSD test segment limits and procedures will be necessary
• Scheduled completion will be December 2018, processing times for evaluation of Alternative schedule presents risks.
Overall PTC Project Implementation
• Requested FRA approval of Alternative criteria to be Field Integration Testing.
• Current Accelerated Schedule shows Lab tests complete by 8/30/18, Field Integration Testing from 8/31-11/5/18, RSD start after Field Integration Testing.
• PTC Safety Plan Submission by April 30, 2019
SFRTA is on schedule to meet the requirements of an alternative
schedule (once approved) by 12/31/2020 as allowed by 49 U.S. Code 20157.
• PTC is expected to have significant O&M cost impacts.
• Additional Staff will be necessary to maintain and operate the system
May 24, 2018 8
Project Progress Projections
Projected Project ProgressThe following chart projects the anticipated progress through the Installation
deadline, i.e. statutory requirements for an alternate schedule and sequence:
84.7%
71.9%
83.3%
81.1%82.8%
87.2%
85.8%
89.2%
86.0%84.6%
84.1%
87.2%87.1%
88.4%86.6%
84.9%
89.6% 89.0%93.3%
95.2%
91.9%93.3%
70.0%
75.0%
80.0%
85.0%
90.0%
95.0%
100.0%
End to End OTPBlue - FY 2018
Orange – FY 2017
• 93.3%• Major Contributing Factors
• Accident at 15th Street (non-railroad related)• Trespasser Strike• Debris Strike/Weather
93.3% (Goal – 90%)
April 2018 OTP
0% 100%
90%
75%
April 2018, OTPDelay Minutes to Passengers
By Category
Passengers, 24%
Crossings, 20%
Freight/Amtrak, 11%
Schedule Conflicts, 10%
Speed Restrictions, 9%
Track, 8%
PD Activity / ROW Foul, 7%
Equipment Reliability, 7%
Signal, 4% All Others, 1%
Average Delay Per Train:
4.5 minutes
MOW Performance Overview• Contract Performance began March 29, 2015• Significant top management changes took place in October 2017• Signal Malfunctions:
– October 2017: 54 malfunctions– April 2018: 35 (35% reduction)
• Grade Crossing Malfunctions response time has averaged less than 27 minutes from over 37 minutes
• Reduced time to correct malfunctions to improve OTP• Slow orders were reduced from 11 locations to 3 locations• E&C evaluated and increased speed on 19 main track segments to improve OTP
MINUTES
SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITY
PLANNING TECHNICAL ADVISORY COMMITTEE (PTAC) MEETING
APRIL 11, 2018
The Planning Technical Advisory Committee (PTAC) meeting was held at 10:00 a.m. on Wednesday,
April 11, 2018 in the Training Room of the South Florida Regional Transportation Authority (SFRTA)
located at 801 NW 33rd Street, Pompano Beach FL 33064.
COMMITTEE MEMBERS/ALTERNATES PRESENT:
Ms. Loraine Cargill, SFRTA
Ms. Kim DeLaney, Treasure Coast RPC, Committee Chair
Mr. Ken Jeffries, FDOT District 6
Mr. Larry Merritt, FDOT District 4
Mr. Jonathan Roberson, Broward County Transit
Ms. Alyssa Frank, Palm Beach TPA
ALSO PRESENT:
Ms. Anna Bielawska, SFRTA
Mr. Tewari Edmonson, Miami Dade TPO
Ms. Vicki Gatanis, SFRTA
Ms. Barbara Handrahan, SFRTA
Mr. Jim Hetzel, City of Fort Lauderdale
Ms. Brittany Hubbard, SFRTA
Mr. Vikas Jain, T.Y. Lin
Mr. John Lafferty, WSP
Ms. Darci Mayer, SFRTA
Mr. Ian Rairden, Kimley-Horn
Ms. Natalie Yesbeck, SFRTA
CALL TO ORDER
Ms. Yesbeck presented a safety briefing in advance of the meeting and called the meeting to order at
10:05 a.m.
ROLL CALL
Ms. Yesbeck requested the roll call. Ms. Alyssa Frank with the Palm Beach TPA, participated via
telephone.
PLEDGE OF ALLEGIANCE
2
AGENDA APPROVAL – Additions, Deletions, Revisions
There was no quorum; the approval of the April 11, 2018 agenda will be deferred to the June 13, 2018
PTAC Meeting.
DISCUSSION ITEMS: None.
MATTERS BY THE PUBLIC – None
CONSENT AGENDA
Those matters included under the Consent Agenda are self-explanatory and are not expected to require
review or discussion. Items will be enacted by one motion in the form listed below. If discussion is
desired by any Committee Member, however, that item may be removed from the Consent Agenda and
considered separately.
C1 – MOTION TO APPROVE: Minutes of Planning Technical Advisory Committee Meeting of
February 14, 2018.
There was no quorum; the approval of the February 14, 2018 PTAC Minutes will be deferred to the June
13, 2018 PTAC Meeting.
made by
REGULAR AGENDA
Those matters included under the Regular Agenda differ from the Consent Agenda in that items will be
voted on individually. In addition, presentations will be made on each motion, if so desired.
R1 – MOTION TO APPROVE: SFRTA 5-Year Commuter Bus Financial Plan Update.
Ms. Anna Bielawska, Transportation Planner with the SFRTA presented this item. She gave a brief
overview of the commuter bus program and the proposed changes. She indicated that 25% of rail
passengers ride the commuter busses and that routes are funded through various local and state
partnerships. Ms. Bielawska noted the following proposed changes: an additional bus will be added on
the Boca Town Center Route (BR-1); the Opa-Locka South Route will be reinstated on September 1,
2018; funding for the Downtown Fort Lauderdale routes (FL-2 and FL-3) will extend through FY 2021;
and the South Florida Education Center (SFEC) Partnership Agreement expires in FY 2020. She
overviewed the financial plan and the next steps.
There was no quorum; the approval of the SFRTA 5-Year Commuter Bus Financial Plan Update will be
deferred to the June 13, 2018 PTAC Meeting.
made by
3
INFORMATION / PRESENTATION ITEMS
Action not required, provided for information purposes only.
I1 – INFORMATION: Uptown Urban Village Land Use Amendment.
Mr. Jim Hetzel, Principal Planner with the City of Fort Lauderdale, presented this item. He is the Project
Manager of the Uptown Urban Village project. Mr. Hetzel provided a brief history of the project, which
began in 2014. He described the scope of the 353 acre project area land use plan amendment. The
proposed land use designation has a Transit Oriented Development focus. Some of the designations
include multi-modal transportation options, pedestrian and transit amenities, a concurrent master plan with
form based code, and an affordable housing component. Mr. Hetzel entertained questions.
I2 – INFORMATION: SFRTA Transit Development Plan (TDP) 2018 Major Update.
Ms. Vicki Gatanis, Transportation Planner and TDP Project Manager with SFRTA briefly spoke on this
item. She introduced Mr. John Lafferty, project consultant with WSP. He described the TDP Major
Update major elements: Performance Evaluation, Ten Year program of Strategies and Financial Plan,
Performance Monitoring and the September 1, 2018 deadline for FDOT submittal. Mr. Lafferty presented
the new TDP logo and website. A Platform Intercept Survey was conducted at six (6) stations during peak
travel periods. This was one of the first public outreach activities conducted for the TDP Update with
1,254 collected surveys. He shared survey findings, trend analyses, and an updated schedule with the
PTAC committee. He addressed questions and comments.
I3 – INFORMATION: Autonomous Vehicles.
Ms. Darci Mayer, Transportation Planner with SFRTA, presented this item. She elaborated on the 6 levels
of possible automation. Ms. Mayer mentioned the Google car, Waymo, and public transportation options,
which included Easymile as well as the EZ10 and Arma shuttles. She noted the future prospects of
autonomous vehicles as there is interest in the technology. She then highlighted the pros and cons of their
implementation. She answered questions from the PTAC Members.
I4 – INFORMATION: Tri-Rail Boca II Station Update.
Ms. Natalie Yesbeck, Transportation Planning Manager and SFRTA Project Manager of the Boca II
Project, introduced Mr. Ian Rairden, with Kimley-Horn and Associates (Boca II Project Consultant), for an
update. Mr. Rairden provided an update on the two (2) potential station locations, which were narrowed
down from the seven (7) total options presented at the December 2017 PTAC Meeting. He showed the
conceptual layouts for both sites A and B. Both sites were evaluated for access and transit connectivity,
among other metrics. Site A was preferred for access, and site B was slightly preferred for transit
connectivity. Ultimately, SFRTA decided to move forward with site A, but some modifications are being
considered, such as modified bus access. A public meeting is scheduled for June 2018 to inform the public
of the selected site and layout. Construction is anticipated between 2021 and 2022. It was noted that
currently, both sites are owned by the same developer, not SFRTA. He entertained questions.
4
I5 – INFORMATION: SFRTA Transit Oriented Development (TOD) Policy and Outreach Plan Update.
Ms. Loraine Cargill introduced this item. She gave a brief history of the outreach effort. She confirmed
that all meetings have been completed, as well as the regional debrief to openly discuss findings and TOD
in the region. Ms. Kim Delaney was invited to discuss the presentation. She shared that the local
governments were very supportive and appreciative that SFRTA took the lead on this effort. She
mentioned that the outreach effort was important to establish a baseline for TOD activities in the future.
Engagement from elected officials and community leaders is essential for TOD success in the region. She
entertained questions.
I6 – INFORMATION: Upcoming Events.
Ms. Loraine Cargill spoke on the upcoming events. WTS and the Joint Professional Societies of Palm
Beach is hosting a Spring Mixer on Thursday, April 12th, and the COMTO Fort Lauderdale and COMTO
Palm Beach County will host a Professional Development Event on Wednesday, April 25, 2018.
OTHER BUSINESS: None.
PTAC MEMBER COMMENTS:
Ms. Yesbeck reminded the committee to contact her regarding any future items, topics, and projects.
NEXT MEETING DATE: June 13, 2018.
ADJOURNMENT: The meeting adjourned at 12:06 p.m.
South Florida Regional Transportation Authority April 2018 Legislative Report
Local Government Meetings: The team has continued to monitor and report on all local government and community meetings and discussions that can impact SFRTA, including transportation workshops, Legislative Delegation, city commission and MPO meetings throughout the Tri-County Area. This included tracking developments with the WAVE Streetcar, Broward County transportation surtax, Broward MPO Mayor’s roundtable discussion. Northern Layover Facility: Government Relations team members continued work on the Northern Layover Facility Community Engagement and Conferences: Members of our team continued to our active support of and engagement with organizations that benefit Tri-County communities and regional transportation, including serving on Chambers of Commerce committees, attending local League of Cities events, participating in COMTO events, beginning coordination of the 2019 Broward Days. 2018 Elections: Team members are continuing to monitor and work with candidates actively campaigning for local and state offices throughout the state. This participation helps ensure relationships with elected members that will enable us to quickly access and educate them on SFRTA priorities.
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MEMORANDUM TO: South Florida Regional Transportation Authority FROM: FTI Consulting Government Affairs RE: Governmental Affairs Report – April 2018 DATE: 9 May 2018 Congressional Schedule for April In April, the House was in session for 16 days, and the Senate was in session for 15 days (both numbers including pro forma). U.S. Government Affairs Report April 2018 April marked another very busy month in Washington, with developments regarding the reauthorization of the Federal Aviation Administration (FAA), key Congressional hearings focused on FY19 funding levels, and continued movement between Administration officials and members of Congress. In March, President Trump signed into law a spending bill to fund the government for the remainder of FY18 that included a provision to extend the deadline to pass an FAA reauthorization bill an additional six months. Prior to passing the spending bill, both Bill Schuster (R-PA-09), Chairman of the House Transportation and Infrastructure Committee, and John Thune (R-SD), Chairman of the Senate Commerce Committee, pledged to have an FAA reauthorization bill to the President’s desk before the August recess. In April, the House swiftly passed its version of the bill, and the onus is now on the Senate to deliver. Shortly after agreeing to FY18 spending numbers, in April, both Senate and House Appropriators began activity on the FY19 Appropriations cycle. Accordingly, Trump’s cabinet frequented Capitol Hill for a series of hearings to defend their respective budgets and answer the Appropriations Committees’ questions. Notably, Elaine Chao appeared before both the relevant House and Senate Appropriations Subcommittees on back-to-back days. The musical chairs in Washington, which seem regular at this point, continued immensely in April. Most notably, Speaker of the House Paul Ryan announced he will not be seeking reelection in 2018, and a pioneer of the $1.5 trillion infrastructure plan, DJ Gribbin, announced his resignation from his post at the White House. Lastly, President Trump also announced his intention to extend the temporary exemption from steel and aluminum tariffs for Mexico and Canada by one month. This move allows countries to reach an agreement by June 1, and U.S. trade officials are hoping for a NAFTA deal by mid-May. U.S. Congress FAA Reauthorization – In late March, President Trump signed into law an omnibus spending package to fund the federal government for the remainder of FY18, which also included a six-month extension for the Federal Aviation Administration (FAA) reauthorization. Prior to its passage, both the Chairman of the House Transportation and Infrastructure Committee, Bill Schuster (R-PA-09), and the Chairman of the Senate Commerce Committee, John Thune (R-SD), had introduced their own versions of the bill. The House bill maintained a provision to remove the air traffic control from FAA and instead put it under private board control, which became a major point of contention between the two chambers.
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On April 13, Chairman Schuster (R-PA-09) released the text of an updated, 5-year FAA reauthorization bill. The legislation, as introduced, was very similar to the bill the Transportation and Infrastructure Committee approved in June, but the air traffic control proposal was removed. In any event, on April 24, the House Rules Committee marked up a manager’s amendment to the legislation, allowing floor debate on 116 amendments. On April 27 the House swiftly passed the bill, H.R.4, by a vote of 393-13. The legislation:
• Keeps our Nation in the lead in aviation by putting American jobs, American innovation, and the traveling public first.
• Cuts Washington red tape so that our manufacturers can get products to market on time, stay competitive globally, and continue to employ millions of Americans.
• Encourages American innovation in aviation technologies to promote a stronger American workforce.
• Ensures that our airport infrastructure connects our businesses and the increasing number of air travelers to the world.
• Gives the American traveling public a better flight experience. • Ensures our system remains as safe as possible for the American traveler and addresses factors
related to recent incidents. Source: House Transportation and Infrastructure Committee The Senate still needs to pass its own version of the bill, which would allow for conference between the House and Senate to negotiate any differences. Lawmakers have repeatedly said they would like to enact the FAA reauthorization bill before the August recess. Continued Movement in Washington – In April, there were a series of major announcements and resignations, ranging across Congress and the Administration. Most notably, on April 11, Speaker of the House Paul Ryan (R-WI-01) announced that he will not be seeking reelection in 2018. Many Republican lawmakers questioned the timing of the announcement, acknowledging that it may create fundraising challenges ahead of midterm elections. Currently, House Majority Leader Kevin McCarthy (R-CA-23) is the front-runner to replace Ryan – of course only if Republicans hold the House. Also in the House, Rep. Blake Farenthold (R-TX-27) and Pat Meehan (R-PA-07) made their official exits, having announced their resignations earlier this Congress, and Elizabeth Esty (D-CT-5) and Dennis Ross (R-FL-15) announced their retirements. Lastly, Republican Debbie Lesko won the special election in Arizona's 8th District to replace Trent Franks, defeating Democrat Hiral Tipirneni. Lesko, a former state legislator, had 53 percent of the vote to Tipirneni's 47 percent when the Associated Press called the race with over 155,000 early votes tallied. In the Senate, there was a quick shuffle on the Appropriations Committee to adjust for the retiring Thad Cochran (R-MS), who previously chaired the Committee. The chairmanship decisions were made final on April 11 and can be found below.
• Full Committee: Senator Richard Shelby (R-AL) • Defense: Senator Richard Shelby (R-AL) • Energy and Water Development: Senator Lamar Alexander (R-TN) • Transportation, Housing and Urban Development, and Related Agencies: Senator Susan Collins
(R-ME) • Interior, Environment, and Related Agencies: Senator Lisa Murkowski (R-AK) • State, Foreign Operations, and Related Programs: Senator Lindsey Graham (R-SC) • Labor, Health and Human Services, Education and Related Agencies: Senator Roy Blunt (R-MO)
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• Commerce, Justice, Science and Related Agencies: Senator Jerry Moran (R-KS) • Agriculture, Rural Development, Food and Drug Administration, and Related Agencies: Senator
John Hoeven (R-ND) • Military Construction, Veterans Affairs, and Related Agencies: Senator John Boozman (R-AR) • Homeland Security: Senator Shelley Moore Capito (R-WV) • Financial Services and General Government: Senator James Lankford (R-OK) • Legislative Branch: Senator Steve Daines (R-MT)
In the Administration, DJ Gribbin, Special Assistant to the President on Infrastructure and a well-known architect of the $1.5 trillion infrastructure plan, announced he would be moving on from his position at the White House. Congress appeared to have already hit a major roadblock on infrastructure before this announcement was made, but this departure—to some—reaffirms that point. Finally, the White House also announced its intention to nominate NHTSA Deputy Administrator Heidi King to be the agency's formal chief, and DOJ trial attorney Arjun Garg was named the FTA’s Chief Counsel. The Senate Commerce Committee also held nomination hearings for Mr. Patrick J. Fuchs, of Wisconsin, to be a Member of the Surface Transportation Board and Ms. Michelle A. Schultz, of Pennsylvania, to be a Member of the Surface Transportation Board, among others. Busy Month of Hearings – After last month’s scramble to fund the federal government for the remainder of FY18, Congressional Appropriators picked up their pens in April for the FY19 Appropriations process. Trump’s cabinet members headed to Capitol Hill to defend their respective agency budgets. Notably, Department of Transportation Secretary Elaine Chao appeared before the Senate Appropriations Transportation, Housing and Urban Development, and Related Agencies Subcommittee on April 11 and the House Appropriations Transportation-HUD Subcommittee on April 12 to defend the DOT budget. The Senate Commerce Committee also held a hearing entitled “Are We Ready for the Next Hurricane Season? Status of Preparation and Response Capabilities for 2018,” with the following witnesses:
• Mr. Chuck Lindsey, City Manager, Marathon, Florida • Mr. Jamie Miller, Deputy Director for Governmental Affairs and Chief Innovation Officer,
Mississippi Development Authority • Ms. Jennifer Pipa, Regional Chief Executive Officer, American Red Cross of Central Florida • Rear Admiral Tim Gallaudet, Ph.D., USN Ret., Assistant Secretary of Commerce for Oceans and
Atmosphere and Acting Under Secretary of Commerce for Oceans and Atmosphere, National Oceanic and Atmospheric Administration
• Rear Admiral Linda Fagan, Deputy Commandant for Operations, Policy, and Capabilities, U.S. Coast Guard
• T. Bella Dinh-Zarr, Ph.D., Member, National Transportation Safety Board The House Transportation and Infrastructure Committee also held a hearing entitled, “Oversight of the Surface Transportation Board Reauthorization Act of 2015,” with the following witnesses:
• The Honorable Ann D. Begeman, Chairman, Surface Transportation Board • The Honorable Deb Miller, Vice Chairman, Surface Transportation Board
New Legislation –
• H.R.4 - FAA Reauthorization Act of 2018 • House passed:
o H.R.4921 - STB Information Security Improvement Act o H.R.4925 - FRA Safety Data Improvement Act
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The Administration (Key DOT Statements/Releases): U.S. Department of Transportation Announces $264 Million in Grants to Modernize and Improve America’s Bus Infrastructure – Apr. 5 Secretary Chao Commits to Continue Improvements to Infrastructure Review and Permitting Process – Apr. 9 U.S. Department of Transportation Announces $1 Billion in Emergency Relief for Road and Bridge Repairs - Apr. 13 U.S. Department of Transportation Launches BUILD Transportation Program, Announces $1.5 Billion Notice of Funding Opportunity – Apr. 20 (Key White House Statements/Releases): Govs. John Bel Edwards (D-LA) and Phil Bryant (R-MS): “Trump’s Infrastructure Plan Marks Progress” – Apr. 6 President Donald J. Trump’s Administration Is Improving Inefficient Permitting Reviews – Apr. 9 President Donald J. Trump Presides Over the Signing of One Federal Decision Memorandum of Understanding for Major Infrastructure Projects – Apr. 9 What They Are Saying: Support For President Donald J. Trump’s Action To Improve Federal Infrastructure Permitting – Apr. 10 Activities on Behalf of SFRTA in April 2018 FY 2019 Appropriations – The Congress completed work on the FY 18 Appropriations bill on March 23rd when the Continuing Resolution was set to expire. As soon as they finished that bill, the Appropriations Committees in the House and Senate immediately turned their attention to the fiscal year 2019 process. Although the Budget Committees have not identified the spending allocations for each of the subcommittees, the Chairs of the full committees have provided benchmark numbers for the subcommittees to use as an initial frame of reference. Eventually the budget committees will provide more formal guidance on these allocations, despite the fact we believe that specific budget resolutions will not be passed by either body. As was the case in FY 2018, SFRTA stands to receive more formula monies and will be eligible to pursue additional discretionary grant funds under TIGER (now “BUILD”) and other programs. The Better Utilizing Investments to Leverage Development, or BUILD Transportation Discretionary Grant program, provides funding for road, rail, transit and port projects that meet certain national objectives. Previously known as Transportation Investment Generating Economic Recovery, or TIGER Discretionary Grants, Congress will commit again in FY19, a total of $1.5 billion. Unlike other discretionary programs at DOT, the BUILD program allows, and in some cases, encourages multimodal and P3 projects that include freight and passenger.
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PTC Compliance – Congress and the Trump Administration have a growing interest in PTC compliance, due to greater media reports of major railroads (passenger and freight) that are lagging behind in their schedules for compliance by the December 2018 deadline. As a result, members of SFRTA’s executive staff have had a number of communications on PTC compliance for Tri-Rail. In March SFRTA met with Senator Nelson, Ranking Member of the Senate Committee on Commerce to brief him on the current status of PTC implementation. We also expect inquiries from other committees of jurisdiction and ongoing communication with the Federal Railroad Administration. Other updates earlier this year include: Congresswoman Lois Frankel and Congressman Mario Diaz-Balart. Hurricane Relief – We anticipate receiving federal assistance to repair/replace damaged equipment from last Fall’s storms and additional funding for hardening current systems against future storms. We expect to meet with FTA officials once our request has been officially submitted and forwarded to Washington. We expect to have upcoming meetings with senior FTA executives to discuss our requests for funding, most likely sometime in June. Member Communications –FTI is maintaining ongoing communications with FTA, Members of Congress and their staff and staff of the committees of jurisdiction in both the House and Senate regarding SFRTA’s hurricane relief request and PTC Compliance. We will also commence discussions during the month of May for the upcoming FY 19 Appropriations bill.
AGENDA ITEM No. A
PROJECT COST PREVIOUS MONTH CURRENT MONTH COMMENCE / COMPLETION COMMENTS PM
POMPANO BEACH STATION Punch List & Change Order for TVM Roofs at each passenger platform.
DISPATCH PROJECT
March Summary There have been atotal of 58 issues to date. Issues were of a miscellaneous nature with no real distintive pattern. (See Issue log) No change.
April Summary There have been a total of 60 issues to date. Issueswere of miscellaneous nature with no real distintive pattern. See issue log
LEVEL BOARDING Manufacturing Contractor on track with all deliverables. Out of the total 112 sets for the Bombardier vehicles, our
supplier has shipped 27 sets
First deliverables will contain material for both vehicle types. Out of the total 104 sets for the Rotem vehicles, our supplier has shipped 12 sets.
Step modification will not take place. Staff is reviewing different alternatives for the solution.
Remaining deliverables are expected to ship in May, June, and July.
HEAVY MAINTENANCE Desigs, specs, and procedures for all the different deficiencies are being finilized.
Documents to fix the first deficiency has been turned in to the Procurement department for processing.
First set of documents to be ready early April in order to initiate the procurement process
Procurement documents been reviewed by engineeeing staff to be able to submit
Funding for to address the deficiencies are being identified.
April 2018
$11,024,545
Construction of a three story, 79,000 SF Operations building, four story, 475 vehicles Parking Garage, and Improvements to the existing Pompano Beach Tri-Rail Station with pedestrian bridge and elevators.
Work peformed by Gulf Building, LLCAll base contract work and change order work is complete. Balance of retainage paid to Contractor. Pending completion and submittal to USGBC for the Construction Phase documentation for the projects LEED "Gold" Certification and final as-built drawings.
Alex Villares, E.I.
Charles Serig, RA
Dispatch System
Ops Building, Garage and Station substantially complete Feb. 2017.
$41,127,616
See Exhibit 2
Engineering & Construction Department
Work thru Parsons Transportation
Field review, evaluation, recommendations, design, specifications to address multiple maintenance issues across the stations
$521,472
Estimated completion TBD Work thru HNTB
Level-entry Boarding at the new MiamiCentral Station with modifications to the fleet's steps
$219,710
Estimated completion 2th Quarter 2018
Efrain Bernal, E.I.
Efrain Bernal, E.I.
Monthly Progress Report
PROJECT COST PREVIOUS MONTH CURRENT MONTH COMMENCE / COMPLETION COMMENTS PM
April 2018
Work peformed by Gulf Building, LLCAll base contract work and change order work is complete. Ops Building, Garage and Station
Engineering & Construction DepartmentMonthly Progress Report
NORTHWOOD/IRIS Phases 1A & 1B
Iris Signal as-in-services plans were delivered by the D/B contractor.
A final walk-though to both sites is pending in order to have a review of the final conditions and address any pending issues before the project is turn in to SFRTA
Northwood cut-over was succesfully. Only punch lists items pending.
Northwood as-in-services plans will follow cut-over
OPA-LOCKA PARKING EXPANSION
SFRTA is currently working on project close-out. Pending replacement of canopy light fixtures and tie-in of the existing irrigation system.
MIAMICENTRAL STATIONTri-Rail Platform Canopy and Platform edge strip continues to progress.
Construction of Tri-Rail Headhouse, crew room, and safety and secuirty office on east station platform contimues to progress.
North entrance at ground floor is being completed. Tri-Rail Platform Canopy and Platform edge strip continues to move forward.
North entrance escalators are near completion. Coordination with AAF continues for the conduit runs need to support SFRTA's equipment on the station plaforms.
IRIS TO END OF VIADUCTTrack/Signal work from Iris to just North of Miami Central Station was completed previously.
Track within Miami Central Station has been laid and is complete.
Track within Miami Central Station has been laid and is complete. Track/Signal work from Iris to just North of Miami Central
Station was completed previously.
Construction of the viaduct/bridges just north of the Miami Central Station are near completion.
Construction of the viaduct/bridges just north of the Miami Central Station has been completed.
WAYFINDING / SIGNAGESome changes were made at MiamiCentral canopies that interfered with the current design
Procurement documents completed and submitted to the Procurement Department for processing
Consultant updated the current design to reflec the changes at MiamiCentral
NORTHWOOD "Phase II"
NTP to the Constuction and SIgnal Contractors has been issued.
FDOT contractor has started efforts to begin construcion at the job site
Pre-construction meeting with all stakeholders be take place early April.
Long lead material on order and expected arrive on time for installation.
Station Hub that will serve the community with a unique connection accessing multiple rail transportation services
Rehabilitate existing Northwood connection, and open a new Iris connection between SFRC and FEC
Estimated completion 1st Quarter 2018
$48,902,749
Expand parking, increase bus bay areas, install a pedestrian canopy, and improve landscape and hardscape $1,143,699
Completion 1st Quarter 2018 West Construction
Final completion 4th Quarter 2017 Construction by All Aboard Florida
Construction by All Aboard Florida
Mike Lulo, GC, LEED A.P., CBI
Martin Benzaquen,P.E. Efrain Bernal, E.I.
Work thru VTMI
$8,015,504
Efrain Bernal, E.I.
TBD
Estimated completion by early 2019.
Work thru T.Y.Linn
Mike Lulo, GC, LEED A.P., CBI
Final completion 4th Quarter 2017
Estimated completion by 4nd Quarter 2018
Work thru TBD
Efrain Bernal, E.I.
New Northwood connection to be part of three interrelated and independent rail connections between SFRC and FEC
Trackwork and Signal Improvements necessary for Tri-Rail Trains to access the Miami Central Station in Downtown Miami
$401,826Support services on demolition, fabrication, and installation of new wayfinding signage across the stations
Mike Lulo, GC, LEED A.P., CBI
$16,190,000
Page 2 of 3
PROJECT COST PREVIOUS MONTH CURRENT MONTH COMMENCE / COMPLETION COMMENTS PM
April 2018
Work peformed by Gulf Building, LLCAll base contract work and change order work is complete. Ops Building, Garage and Station
Engineering & Construction DepartmentMonthly Progress Report
POSITIVE TRAIN CONTROL (PTC)
PTC HW Installation complete for BL36PH complete. Pilot for Bombardier cab car Complete. GP49 Pilot commencing, continuing BL36PH Event recorder upgrades and punchlist work.
PTC HW Installation complete for all 12- BL36PH units. One Bombardier and GP49 unit complete. Continuing BL36PH Event recorder upgrades and punchlist work.
Segment designs complete. Communication circuit orders delivered for 34/48 locations. Antenna and Line installations complete for Base Station locations.
. Communication circuit orders delivered for 35/48 locations. Wayside Interface unit installation in progress. Communication equipment installation scheduled.
Meteorcomm agreement is complete. Awaiting FRA response to request for alternative criteria, and PTCIP updates
Meteorcomm agreement is complete. PTCIP update approved by FRA. Awaiting FRA response to request for alternative criteria.
WAVE MODERN STREETCARThe project is in the process of being transferred to the FDOT District 4, and SFRTA continues to participate as the TIGER grant recipient
FDOT re-advertised the Design Build Scope. Design Build bids received in April 2018
NORTHEN LAYOVERRFP Package being reviewed by Procurement / Legal before sending for Industry Review.
RFP Document review will continue
Municipal/Agency Coordination is still On-going. CSX/Amtrak Coordination has been finalized.
Coordination with FDOT for grade crossings.
Permitting with SFWMD and USACOE Comments will be responded to SFWMD
Interlocal Agreement discussion with adjacent municipalities. Continue ILA coordination
Waste Water Treatment Plant Capital Improvements
Site, Foundation, Electrical, and Plumbing Plans for the on-site work structure/shed are in preparation
Metal Building has been ordered (Est. delivery April/May 2018). New PLS with boundary conditions and foundation corner markers complete.
First battery of plug valves and check valves has been received for the Aerial System Valve Replacements
Plug and Check Valve replacement for PS 3A completed. Completed installation of five pressure/vacuum release valves on the aerial industrial lines.
Painting of industrial & storm water lines at the WWTP is on-going
Camera inspection of all industrial lines with the exception of area by K-1 is complete
Approximately 750 linear feet pressure washing is complete on the low level industrial line
Grade Crossing Capital ProjectsITB-17-009 Awarded to Gonzalez & Sons 17-009 Kick-off Meeting held with SFRTA an Gonzalez &
Sons; Meet with City of Oakland Park to discuss upcoming work at NW 38th Street
GEC Design RFWOP - Awarded to Kimley-Horn Develop and negotiate Work Order with HNTB for the procurement support services for SFRC Capital Improvements.
MOW Maintenance Work thru VTMI Nikeisha Thomas, E.I.
Dispatch Maintenance Work thru Ansaldo Alex Villares, E.I.
Emmanuel Cumberbatch, P.E.
Efrain Bernal, E.I.
Martin Benzaquen, P.E.
Pembroke Road (Hollywood) and Forest Hill Boulevard (Palm Beach)
SEE EXHIBIT 2
Mike Lulo, GC, LEED AP, CBI Martin Benzaquen, P.E.
SFRTA will continue to be the TIGER grant recipient.
Capital Program estimated completion 1st Quarter 2019
1st quarter 2020
Work through PMC HDR Engineering
$350,000
$39,715,542.00
$36,150,000
SEE EXHIBIT 1
$1,015,901
Installation Dec 2018, System Certification Dec 2020
Work thru Wabtec/Xorail
Aaron Parets, PE, PMP
Design, Construction and Management of a 2.7 mile modern streetcar in Downtown Fort Lauderdale with solar powered stations, which will operate in mixed traffic with signal priority
$20,953,383
Environmental Services along the SFRC including the operation of the WWTP and other environmental responsibilities assumed under the Operating Agreement with FDOT
Maintenance Facility located north of the current system to serve future Tri-Rail expansion plans and to increase operational capacity
Turn-key to design, furnish, manufacture, deliver, install, integrate, test, certify, and place in service the PTC System
Page 3 of 3
2
3-4
5
6
7-16
7-8
9-10
11-13
14-15
16
17
18
19
20
21
22
23
24
25
25
26
11. Right of Way Signage
12. Surfacing Report
13. Efficiency Testing
14. Employee Injury Statistics
15. Service Property Damages
16. Total Ties
10. Clean Up Activities
5. Engineering/Maintenance Work: Planned/Performed
Track
Signal Construction
Signal Trouble Calls
Facilities
Planning for Next Month
6. Curve Lubricator Report
7. In-Service Rail Failures
8. Vegetation
9. Fencing
4. Rail, Ballast, Tie, & Switch Tie
Table of Contents
1. Material Control Information
2. Material Usage
3. Scrap Sales
April 2018
QTY UOM Description
8,498 ea Anchors
12 tons Asphalt
85.5 tons Ballast
8 ea Bolts
33 buckets Grease
122 ea Lag Screws
7 ea Plates, Heel Block - 100 lb
476 ea Plugs
15,924 ea Spikes
8 ea Washers
29 ea Weld Kits
Material Usage-Track
3 of 26
April 2018
Qty UOM Material Used Description142 ea Rail Plugs
1 ea Lever Lock Rod
1 ea WCH Gate Mech
1 ea Multi Frequency Shunt
1 ea 4000' Dummy Load
1 ea Selector Handle M24
1 ea Throw Handle M24
1 ea Crossing Bell
1 ea 86 hz Shunt
1 ea 5000' Dummy Load
2 ea Non-Dapped Head Block Ties - T21
1 ea Gate Mech Cover S60
1 ea 80014 Circuit Board (processor)
1 ea M23 RH Layout RH normally closed
2 ea M23 Dapped Ties
35 Sheer Bolts Gate bolts
6 Gate Base
6 Gate Mid
1 King pin Gate assembly
7 Gate lights Kit
5 Arrestor Lightning protection
1 Bulbs Signal
1 Fan
13 Graphite SW Lube
2 Marine Batteries
2 Circuit Board 80012 for GCP 3000
1 CPU
1 Flasher pack
2 Transducers
1 Dwirgt Wilson
2 Battery Tray
1 And Gate
Material Usage-Signal
4 of 26
April 2018
Date Type Weight Price
1/13/2017 Scrap Rail and various OTM 35,560 lbs. $1,689.10
1/12/2017 Aluminum (Yamato Rd. Project) 9,560 lbs. $1,128.80
2/15/2017 Scrap Rail and various OTM 35,800 lbs. $1,485.00
5/19/2017 Steel - Unprepared 219,840 lbs. $13,564.60
6/16/2017 Steel - Unprepared/ Steel - Prep 83,980 lbs. $5,708.60
4/23/2018 Steel - Unprepared/ Steel - Prep 421,860 lbs. $37,422.35
Total $60,998.45
Scrap Sales
5 of 26
April 2018
Description QTY UOM
8 ft. -6 in. (ML) Concrete 3 ea.
8 ft. -6 in. (ML) 397 ea.
9ft 6 ea.
10ft 16 ea.
11ft 2 ea.
12ft DAP 2 ea.
12ft 3 ea.
13ft DAP 7 ea.
13ft 5 ea.
14ft 14 ea.
15ft 7 ea.
16ft 1 ea.
16ft-6in 0 ea.
23ft 2 ea.
Total 8 ft. 6 in. ML Ties 400 ea.
Total 9 ft. to 17 ft. Ties 65 ea.
Total Ties 465 ea.
Total Ties - as of April 2018 55,101 ea.
Rail Size Length in ft.
75 lb Rail 36
115 lb Rail 13,912
Ballast Tons
85.5
Surfacing Distance in ft.
April 2018 16,307
2018 Year to Date 93,483
Rail, Ballast, Ties, Switch TiesTies
6 of 26
April 2018
4/1/2018 No production.
SX 1033.0 Freight Lead - Installed 15 TiesSX 999.1 on Tk# 1 &2 Parker - Ground (4) FrogsSX 1033.0 on Tk#1 House Track - Leveled out Right of WaySX 1031.6 South of Amtrak Lead - Replaced 115lb Poly Bar End PostSX 989.9 - SX 1011.6 on Tk# 1 & 2 - PTC Testing
SX 1003.5 on Tk#1 Pompano - Installed (5) Switch Ties 1-11ft, 2-13ft, 2-14ftSX 1029.2 on Tk#2 - Installed (7) TiesSX 968.7 on Tk#2 Coral - Welded (1) Frog PointSX 965.0 - Cut 80 ft of RailSX 1029.2 on Tk#2 - Replaced (2) 115lb Joint BarsSX 1029.2 on Tk#2 - Made (2) Field Welds on East RailSX 1029.2 on Tk#2 - Changed redundant IJ on West Rail/ Made (2) Field Welds
SX 1003.4 to SX 1003.6 on Tk#1 - Surfaced 610 ftSX 1032.3 GL-1 - Picked up TrashSXD 37.1 - Picked up TrashSX 1011.6 - SX 1030.1 on Tk#1 Sistrunk Blvd - Dunad St - PTC Car TestingHammondville Rd - Unloaded RailSX 987.10 on Tk#1&2 - Inspected bridgeSX 997.50 on Tk#2 - Inspected bridge
F-05 Track - Installed (25) TiesSX 1005.5 on Tk#1 Cypress - Welded (1) Frog & Wing RailDunad Brick on Tk#2 - Welded (1) Heel of FrogSX 1036.0 - SX 1011.6 46th St - Sistrunk Blvd on Tk#2 - PTC Car TestedSX 1026.3- SX1027.2 Golden Glades - RegulatedSX 982.20 on Tk# 1&2 - Stantec Inspected bridges
SX 1013.2 F-05 Track - Installed (23) TiesSX 1013.2 F-05 Track Changed 75lb 36ft of RailSX 1025.5 to SX 1025.6 on Tk#2 - Surfaced 600 ftSX 1025.5 on Tk#2 SE of Hardy - Weld (1) Switch Point
SX 991.5 on Tk#2 - Jacked up Rail Length
Gardens Lead 7 - Installed (2) 15 ft Head Block TiesGardens Lead 7 - Installed (2) 9ft TiesSX 1026.4 on Tk#2 - Installed East Rail 115lb 4640 ftSX 1026.4 on Tk#2 Golden Glades - Made (6) Field Welds
SX 1026.6 to SX 1026.7 - Surfaced 688 ftSX 1026.4 Golden Glades - Cut Rail & Stacked MaterialsSX 1026.4 Golden Glades - Completed AnchorsSX 1026.4 Golden Glades - Picked up OTMMoved equipment to Boca Team Track
SXD 37.8 Sun Gas - Installed (2) 15ft TiesSXD 37.8 Sun Gas - Installed (4) 10ft Ties
SXD 37.8 Sun Gas - Cleaned Trash and debrisWelders - Serviced equipment
Surfacing Team - Serviced equipment
SXD 37.8 Sun Gas - Installed (2) 23ft TiesSX 991.5 Meteor - Installed (3) TiesSX 966.7 on Tk#1&2 CP Gator - Welded (2) FrogsSXD 36.6 Downtown Lead Switch - Cut VegetationSX 1033.0 Hialeah Yard Tk# 6 - #10 - Cut VegetationSXD 37.8 Sun Gas - Assisted in Repair of Broken Wire
SX 1033.0 on Tk#12 Hialeah Yard - Installed (9) Ties - 1-12ft, 3-13ft, 3-14ft, 1-15ft, 1-16ftSX 1026.4 to SX 1026.6 on Tk#1 - Surfaced 1002 ftSX 1031.3 on Tk#1 - N.E. of Tompkins - Welded (1) FrogSX 1017.8 - Cleaned trash under BridgeSX 1031.6 Amtrak Lead - 115lb Poly Bar Set
SX 1035.2 Century Lead - Installed (19) TiesSX 1020.8 - SX 1021.0 on Tk#2 - Surfaced 1200 ftSX 1026.3 on Tk#1 Golden Glades - Welded (1) FrogSX 1026.8 on Tk#1 Sunshine Lead Kitchen Switch - Grind (1) FrogSX 1017.3 on Tk#1&2 CP Sheridan - Weld (4) FrogsSX 1017.8 on Tk#2 CKS Packaging - Grind (1) FrogSX 1013.4 - Picked up trashSX 1033.6 79th St Lead - Picked up a doorSX 1035.2 Century Lead - Gauged 200ft
4/12/2018
Engineering Maintenance Work Track
4/11/2018
4/3/2018
4/2/2018
4/8/2018
4/7/2018
4/6/2018
4/5/2018
4/4/2018
4/10/2018
4/9/2018
7 of 26
April 2018
SX 1021.0 - SX 1021.0 on Tk#2 - Surfaced 300 ftSX 1020.9 on Tk#2 N.E. of Hallandale - Welded (1) Wing Rail
SX 1004.2 Gas Track - Reinstalled Asphalt at Xing
SX 991.4 - SX 992.2 on Tk#2 East Rail - Changed115lb 3960ft of Broken railSX 1031.6 to SX 1031.6 Amtrak Lead - Surfaced 580 ft
SX 991.4 - SX 992.2 Yamato Rd - Made (5) Field WeldsSX 991.4 - SX 992.2 Yamato Rd - Started knocking in anchorsSX 992.1 Yamato Rd - Removed Redundant IJSX 1031.7 Freight Lead Switch - Repaired Broken Rail with 1 set of 115lb Joint Bars
SX 991.4 - SX 992.2 on Tk#2 Yamato Rd - Made (2) Field WeldsSX 991.4 - SX 992.2 on Tk#2 Yamato Rd - Complete applying anchorsSX 991.4 - SX 992.2 Yamato Rd - Cut Scrap Metal/ Picked up OTM
SX 1012.4 N.E. of F05 - Installed 2-13ft DAP 4-10ft, 1-13ft, 5-14ftSX 999.1 on Tk#1 Parker - Welded (1) Frog Point
SX 999.1 on Tk#1 Parker - Weld (1) Wing Rail
SX 999.1 on Tk#1 Parker - Grind (3) Frogs
SX 1012.4 on Tk#1 F-05 - Installed 2-14ft TiesSX 1012.4 on Tk#1 F-05 - Installed (7) TiesSX 1031.7 to SX 1032.3 Amtrak Lead - Surfaced 2960 ftSX H 40.6 Main Lehigh Spur - Weld (1) FrogSX 1012.4 on TK#1 F-05 - Hand Tamped Head Block Ties
SX 1015.5 on Tk#3 Dania - 2-13ft DAP Ties, 1-13ft Tie, 1-9ft TieSX 993.3 on Tk#1&2 Pineapple - Grind (4) FrogsSX 991.1 on Tk#1 Meteor - Grind (2) FrogsSX 1033.0 Hialeah Yard - Cut VegetationSX 1004.2 Gas Track - Trash Clean Up
SX 1032.3 Miami Gardens Lead - Installed (33) TiesSX 1031.5 Miami Gardens Lead - Installed (30) TiesSX 1031.7 to SX 1031.9 on Tk#2 - Surfaced 1294 ftYamato Rd - Completed loading scrap rail onto tractor trailers from Yamato East and taken to Trademark metalsSX 1020.9 N.E. of Hallandale Team Track - Welded (2) Rail Ends on Heel Block
SX 1033.2 on Tk#2 - Installed 2-9ft, 1-13ft, 2-14ft Ties
SX 1033.2 on Tk#2 - Installed (1) TieSX 987.6 on Tk#2 - Installed (1) TieSX 987.6 on Tk#2 - Installed 2-12ft, 1-10ft TiesSX 1033.2 on Tk#2 Hialeah Yard - Grind (1) FrogSX 1033.2 on Tk#2 Hialeah Yard - Hand Tamped SwitchSX 1033.2 on Tk#2 Hialeah Yard - Added 1/2 ton of BallastSX 987.6 on Tk#2 Atlantic Avenue - Cribbed out 12 checks North/ 9 checks SouthSX 987.6 on Tk#2 Atlantic Avenue - Added 15 ton of BallastSX 1033.2 on Tk#2 Hialeah Yard - Cut Bolts on Switch Stand
SX 994.0 - SX 993.5 on Tk#2 West Rail - Changed 2560 ft of 115lb RailSX 1005.4 to SX 1005.6 on Tk#1 - Surfaced 1490 ftSX 993.5 - SX 994.0 on Tk#2 - Made (5) field weldsSX 993.5 - SX 994.0 on Tk#2 - Torch cut old rail/scrap at 40' lengths and stock piled at Boca Team Track.SX 993.5 - SX 994.0 on Tk#2 - Laid out and installed 1576 x 115 Knock on Rail Anchors
SX 992.2 - SX 992.0 on Tk#2 West Rail - Changed 1280 ft of 115lb RailSX 1005.4 to SX 1005.6 on Tk#2 - Surfaced 1,510 ftSX 992.2 - SX 992.0 on Tk#2 - Made (3) field weldsSX 992.2 - SX 992.0 - 2 x Redundant IJ joints on the West rail were removed due to CWR installation.SX 992.2 - SX 992.0 - Laid out and installed 788 x 115 Knock on Rail Anchors. SX 992.2 - SX 992.0 - OTE track traveled to Deerfield team track SX 998.0
4/21/2018
4/22/2018
4/19/2018
4/20/2018
4/17/2018
4/18/2018
4/15/2018
4/16/2018
4/14/2018
4/13/2018
Engineering Maintenance Work Track
8 of 26
April 2018
4/1/2018 Easter Holiday.
Race Track Rd - Replaced (6) XB Batteries15th St - Replaced (9) OB Batteries
Copans Rd - Support Surfacing MOW #2 Opa Locka - Support MOW Redundant IJ & Joint Bars
MLK Blvd - 15th St - Support MOW surfacingNW 35th Avenue - Replaced Marine BatteriesNW 46th St - Replaced Marine BatteriesNW 21 Avenue - Replaced Marine BatteriesInt. Signal 984.0 - Repaired SwitchHillsboro Blvd - Repaired SwitchSX 1003.5 - Repaired SwitchMcNab Rd - Repaired Switch
4/5/2018NW 36th St, Amtrak Lead Holdout, NW 22nd Avenue, NE Hallandale Team, NE Hallandale Team, NE Fun Track, Cut
Section, South Dania A HSE, SE Dania Siding, 12th Avenue S - Changed Marine Batteries
4/6/2018 Yamato Road Cutover
4/7/2018 Golden Glades - Supported Rail replacement
4/8/2018 SX 1026.6 to SX 1026.7 - Supported surfacing
4/9/2018 SXD 38.0 - NW 27th Avenue - Replaced Gate Assembly
MLK Blvd - Crossing maintenanceCopans Rd - Crossing maintenance15th St - Crossing maintenance
NE Hordis Brothers Switch - Supported MOW Surfacing TK1NE Hordis Brothers Switch - Replaced 2 dewight Wilson on frogCP Tompkins - Bonded SAS & NAS IJ’s on TK1, NAS IJ TK2CP Tompkins - 4 pair of Fouling wires on Mainline TK1 & TK2 crossoversCP Tompkins - Bonded and replaced bootleg wires on south side of IJ of freight lead switch - 30 Bonds
SX 1020.9 - Supported Surfacing of switch SX 1020.92 - Bonded cut section north of switch T1/T2- 44 bonds Used 15 staples and tested switch after surfacing was
complete. Yamato Rd - Crossing maintenanceInstalled new 9924-1 and 9924-2 MP signs on signals
4/13/2018 CP Northwood - Selector and throw switch handles replaced at switch #1
4/14/2018 No production.
4/15/2018 No production.
Tompkins - Support surfacingNW 15th St & Hillsboro - Crossing maintenance
Amtrak Holdout - Supported surfacing and replaced 1 bond
6th Ave south - Crossing maintenance
6th Avenue South, Lake Worth Rd, 48th St, Sample Rd, 33rd St, 15th St, Mc Nab Rd- Installed batteries
CP Manatee - Maintenance Bonded (6) Pigtails on the East Rail
4/12/2018
4/18/2018
4/11/2018
4/16/2018
4/17/2018
4/10/2018
Signal Construction
4/4/2018
4/2/2018
4/3/2018
9 of 26
April 2018
Hialeah Yard - Assisted Ron Funk with switch troubleCodadad - Changed Bell Tompkins - Supported mow Surfacing south of NAS Tompkins - Replaced 1 frog jumper and 2 Dwight Wilson’sNW 38th St - Installed batteries on BGNW 15th St - Crossing maintenance - Replaced 86 hz shunt and 5000 ft dummy loads
SX 1033.2 - Replaced the Head-block ties switch off ML2NW 15th St - Installed new gate mech coverYamato Road - Crossing maintenance
CP Cypress - Supported surfacing and replaced 6 pigtailsSX 994.0 to SX 993.4 - Scheduled Rail replacement track 2- signal support
SX 991.27 - SX 991.8 - Scheduled Rail Replacement track 2 – Signal SupportCP Cypress - Supported surfacing and signal training - Replaced 26 pigtails and used 40’ of bond strand
White Lumber - Switch F07- lubed the switch platesCP Cypress - Supported surfacing and Installed 36 pigtails on and used about 20 feet of bond strand
CP Cypress - Support surfacing-Used 4 pigtails and 15’ of bond strand36th St - Batteries- ReplacedOld Okeechobee Rd - Batteries- ReplacedOpa-Locka Blvd - Batteries- Replaced
NW 15th St & MLK Blvd - Supported mow surfacing TK#1 did pompano house crossover. They tested and adjusted switch
after.Yamato Road - Crossing maintenance
Princess Switch - Supported surfacing-on TK#2CP Pineapple - Installed 800014 board (processor) and linearize standby side of 28cwu unit in HSE A
4/27/2018 CP 46th St - Installed new power switch, new head-block dapped ties, and new ties on each side of head-block
SX 998.0 to SX 997.6 - 2018 Rail Maintenance Program - Track 2Mac Lead - Support SurfacingNew River Bridge - Inspections
4/29/2018 No production.
4/30/2018 No production.
4/28/2018
4/26/2018
4/24/2018
4/23/2018
4/20/2018
4/21/2018
4/22/2018
4/19/2018
4/25/2018
Signal Construction
10 of 26
April 2018
Date Location Cause Correction04/02/18 3:10 4:30 Nw N River Rd Lead Hit / vehicle Rehung NW gate / replaced gate light kit / and 3 shear pins
04/02/18 19:51 22:10 Sistrunk Blvd Hit / vehicle Replaced butt section of exit gate
04/03/18 16:22 16:40 NW 62nd St Hit / vehicle Rehung gate
04/03/18 20:10 22:03 NW 71st St Hit / vehicle Rehung gate
04/05/18 18:25 18:47 Copans Rd Hit / vehicle Rehung NE entrance gate replaced shear bolts
04/05/18 13:31 15:50 NW 135th St Hit / vehicle New GT base section and gate lights on NW median entrance gate
04/05/18 16:31 18:45 Pembroke Rd Contact GT power down contact replaced- GT OPS test
04/06/18 9:10 10:10 Hillsboro Blvd Hit / vehicle Repaired gate.
04/07/18 16:09 17:56 Hydra SW Reset Hidra SWs # 11, # 12, # 13, # 16
04/08/17 1:55 2:55 Australian Avenue Other Remounted gate tip light SW entrance gate
04/08/18 6:01 7:20 NW 25th St None found None
04/08/18 6:01 7:20 CP MIC None found None
04/08/18 8:57 11:12 NW 27th Ave ContactReplaced powerup contacts and adjust cam NE gate/ replaced 2 gate lights and
gate wire.
04/08/18 11:19 15:15 Hammondville Rd Connection Crimped trk connections, reseated circuitboards, download
04/08/18 20:44 23:05 Prospect Rd Other Freed brake and adjusted SE exit gate
04/08/18 21:45 23:33 Tompkins None found Cleared up on its own
04/09/18 8:10 8:20 Allendale Rd Hit / vehicle Realigned GT, reattached tip LHT, Ops test.
04/09/18 11:05 12:45 Meteor Batteries Closed test nut and monitored voltage
04/09/18 14:27 16:50 Tigertail Rd Contact Adjusted power down contact and cam
04/09/18 20:24 22:20 Atlantic Blvd Hit / vehicle Rehung SW entrance gate
04/10/18 2:11 5:20 CP MIC Contact Rewired ACPOKR
04/09/18 22:15 23:59 Atlantic Ave Hit / vehicle Built new gate
04/09/18 14:30 19:40 Double Eagle T-21 Breaker Replaced inline 30amp breaker
04/09/18 11:47 7:11 Orange Blossom Arrestor Utlity power restored and arrestors/ equalizers replaced
04/10/18 11:00 12:30 Cypress Creek Rd & Mcnab Rd None found Tested Crossing . Watched trains. Crossing working as intended .
04/10/18 15:30 16:40 NW 62nd Street Hit / vehicle Replaced entire gate
04/10/18 17:01 19:00 Commerical Blvd Hit / vehicle Gate base section replaced / reinstalled all its components
04/10/18 15:50 17:50 Prospect Rd COA N/A
04/10/18 16:00 16:59 Caroline st Weather Reinstalled all its components
04/10/18 16:05 17:26 Old Okeechobee Rd Weather Reinstalled all its components
04/10/18 17:30 1:00 25th St Weather Reinstall Componnets
04/11/18 13:13 14:55 Mcnab Road Circuit Board Replaced circuit board
04/11/18 14:15 16:55 Hillsboro Blvd COA None found
04/12/18 10:52 11:11 CP 71st/Iris Bulb Replaced blown bulb
04/12/18 11:55 14:27 NW 46th St Outside Party Repaired
04/12/18 16:15 19:34 Palm Beach Lakes Blvd None found None
04/12/18 14:53 17:49 NW 62nd St Hit / vehicle Replaced entire gate
04/12/18 1:30 8:00 New River Bridge Batteries Replaced batteries in PLC's.
04/13/18 10:29 11:31 NW 22nd Avenue Hit / vehicle Realigned gate
04/13/18 11:03 12:07 Pembroke Rd Outside Party Replaced
04/13/18 13:59 14:33 NW 62 ST Xing Hit / vehicle Realigned the gate and rehung a gate light
04/13/18 4:53 15:30 CP Plantation Switch REPLACED SWITCH PARTS
04/14/18 8:11 8:30 Boca Team Track Other Move track machine off circuit
04/14/18 16:00 16:44 NW 24 Ave Xing Hit / vehicle Realigned the gate replaced the shear bolts
04/15/17 10:00 10:38 NW 71st St Outside Party REHUNG GATE
04/15/18 12:53 14:00 CP Plantation Weather REPLACED LIGHTING ARRESTOR
04/15/18 3:00 18:22 NW 15th St Vehicle on tracks All tracks cleared and inspected; NE GT repaired- No exception
04/15/18 21:34 1:28 Linton Blvd Other Replaced faulty AND gate
04/15/18 21:55 22:58 Hillsboro Blvd Hit / vehicle SW exit gate alignment ; 3 shear bolts; OPS test
04/15/18 23:01 1:01 New River Bridge Other Port line fitting tightened; refilled Hydro fluid- OPS tested
04/15/18 23:52 1:47 CP S. Dania Switch FPL Outage- Power restored checked HSE and system DL
Engineering Trouble Calls -SignalTime
11 of 26
April 2018
Date Location Cause Correction04/16/18 6:45 7:15 Sample Rd Outside Party Rehung Gate . Tested . Working as Intended .
04/16/18 7:18 8:46 Alantic Blvd Outside Party Rebuilt new gate complete . Rehung & tested . Working as intended .
04/16/18 10:00 10:36 Caroline st Rectifier Reset rectifier breaker
04/16/18 13:57 15:25 NW North River Dr Hit / vehicle Rehung gate
04/16/18 13:19 15:38 Commercial Blvd Outside Party Repaired & Rehung E. Med, Gate B . & tested . Working as intended
04/16/18 18:49 20:20 Mc Nab Hit / vehicle Replacement Gt arm base/ mid sections Gt lights OPS test
04/16/18 18:41 20:10 Opa Locka Blvd Hit / vehicle Replaced NW entrance gate
04/17/18 12:28 14:20 Powerline Rd Train approach Tested both crossing & Down loaded Event Recorder
04/17/18 12:45 13:45 Tiger Tail None found None
04/17/18 12:28 14:20 Prospect Rd Train approach Tested both crossing & Down loaded Event Recorder
04/18/18 17:59 19:35 NW 62 ST Xing Hit / vehicle Replace the Gate and Gate Lights
04/18/18 17:48 19:00 Hallandale Bch Blvd Hit / vehicle NE Gate arm repaired , new set iif gate light ; OPS tested
04/18/18 22:50 23:30 CP THOMPKINS COA Inspected power off circuit
04/19/18 8:33 8:58 MLK Blvd Other Checked track conections . Download event recorder
04/19/18 11:46 13:40 Mcnab Road None found Performed COA checklist
04/19/18 17:02 17:45 45 ST Train approach None
04/18/18 21:30 23:45 EL T-21 Main 2 Switch Rest latch out feature; Adjusted conical bolt and 90 day test
04/19/18 22:31 0:11 Dunad Ave Xing Contact Adjusted Contact # 11 and cleaned on SW Entrance ( B) Gate
04/20/18 4:40 6:20 Dunad Obstruction Removed ants from contact SW entrance gate
04/20/18 9:41 10:47 Mcnab Road Hit / vehicle Rehung gate
04/20/18 11:41 12:25 7th Ave N Obstruction RMV'd ants from connects
04/20/18 16:10 18:10 NW 36th Hit / vehicle Replaced NE gate mid and tip / replaced gate wire
04/20/18 16:12 17:50 NW N River Dr Hit / vehicle New gate arm base- made gate OPS test- no exceptions
04/20/18 14:26 15:28 Johnson St Hit / vehicle Rehung NW Exit GT- OPS test
04/21/18 6:28 9:11 Cp 79th St Switch Adjusted switch
04/21/18 14:17 16:15 Cypress Rd Hit / vehicle Replaced gate
04/21/18 19:45 21:20 TMK Junkyard Contact Conatact adjusted to make on a normal closed point
04/23/18 1:00 3:30 45th St Weather Reinstall Componnets
04/23/18 8:32 9:38 CP Sheridan Bulb Replaced bulb
04/24/18 2:33 3:52 White Lumber SW Switch Lubed switch point plateds and rail on both sides
04/24/18 5:18 6:10 CP Golden Glades Bulb Replaced bulb / northbound /main line tk1 / top aspect red / 9.01 vdc
04/23/18 8:32 9:38 CP Sheridan Bulb Replaced bulb
04/24/18 10:44 11:06 NW 22nd Ave Hit / vehicle Realigned gate mech
04/25/18 19:38 21:00 NW 135th St Hit / vehicle Replaced butt section of gate
04/25/18 16:50 17:51 Copans Hit / vehicle Replaced butt section of gate
04/25/18 21:15 22:16 New River Bridge Other Bridge tender's EMR switch cleared- ops tested
04/26/18 22:25 23:18 INTERMEDATE Motor None
04/26/18 10:10 11:10 Okeechobee Blvd Other Tightened kingpin, RPL'd GT LHT's, & realigned GT
04/27/18 14:19 14:28 Commercial Blvd Hit / vehicle Realigned SW entrance gate
04/27/18 17:31 19:05 McNab Rd Circuit Board Replaced 80012 card
04/28/18 6:55 7:20 NW 62nd st Outside Party Realigned gate
04/28/18 10:00 11:28 Mcnab Rd Hold Clear Adjusted hold clear
04/28/18 10:08 11:06 Forest Hill Blvd Outside Party Reset PER in traffic cabinet
04/28/18 0:05 1:25 Powerline Rd None found None
04/28/18 0:05 1:25 Prospect Rd None found None
04/28/18 17:54 19:27 White Lumber Sw Switch Adjusted Spring box tension
04/29/18 18:53 20:20 Oakland Park Blvd Hold Clear SW gate hold clear adjustment- OPS test- No exceptions
04/29/18 14:45 18:53 McNab Rd Circuit Board 80012 of 56CWU1 contacts cleaned and reseated to unit
Engineering Trouble Calls -SignalTime
12 of 26
April 2018
Date Location Cause Correction
04/30/18 8:41 8:57 NW 46th St None found No correction needed/working as intended
04/30/18 9:30 10:50 NW 71st Hit / vehicle Replaced SE gate Butt/mid section / replaced 3 gate lights
04/30/18 6:43 8:26 Griffin Rd Hit / vehicle Replaced Entrance gate
04/30/18 9:41 10:10 NW 135th St Hit / vehicle Realigned SE Entrance gate
04/30/18 13:00 13:30 6th Ave South Circuit Board Reset DTMF
04/30/18 19:12 20:03 Hallandale Beach Blvd High Wind Repaired
04/30/18 17:27 18:38 NW 36th St Hit / vehicle Realigned NW exit gate cleaned and adjusted power up contact
04/30/18 17:45 20:27 NW 71st St Outside Party Rehung NE gate and replaced SW gate
Engineering Trouble Calls -SignalTime
13 of 26
April 2018
4/1/2018 Provided temporary lighting for employees parking lot at Hialeah Facility Yard.
Daily janitorial duties at the administrative building at Hialeah Yard.Provided temporary lighting for employees parking lot at Hialeah Facility Yard.Installing Tuff Grid security fence at the West Palm Beach Facility Yard.Installing new chain-link fence at SX 998.72.Started clean up inside draining system at CP Iris.Pick up manhole cover at manufacture in Medley, Fl.Repaired door closer at downstairs Administrative building in Hialeah Facility Yard.
Daily janitorial duties at the administrative building at Hialeah Yard.Provided temporary lighting for employees parking lot at Hialeah Facility Yard.Installed concrete drain edges for metal cover at CP Iris.Installation of Tuff Grid security fence at West Palm Beach Facility Yard.Installing chain link fence at SX 998.72.
Daily janitorial duties at the administrative building at Hialeah Yard.Provided temporary lighting for employees parking lot at Hialeah Facility Yard.Installation of Tuff Grid Security fence at the West Palm Beach Facility Yard.Installing chain-link fence at Deerfield SX 998.72Finished installation of drainage cover at CP Iris.Replaced (14) fluorescent light bulbs upstairs and downstairs Administrative building at Hialeah Yard.
Daily janitorial duties at the administrative building at Hialeah Yard.Provided temporary lighting for employees parking lot at Hialeah Facility Yard.Installation of Tuff Grid Security fence at the West Palm Beach Facility Yard.Installing chain-link fence at Deerfield SX 998.72Trash and debris removal at the West Palm Beach Facility Yard caused by track renovations.
Daily janitorial duties at the administrative building at Hialeah Yard.Provided temporary lighting for employees parking lot at Hialeah Facility Yard.Installing new Tuff Grid security fence at the West Palm Beach Facility Yard.Finished installation of 1850 Linear Feet of chain link fence at SX 998.72 in Deerfield Beach.
Provided temporary lighting for employees parking lot at Hialeah Facility Yard.Worked along side electrical contractor on parking lot lighting at Hialeah Yard.
4/8/2018 Provided temporary lighting for employees parking lot at Hialeah Facility Yard.
Daily janitorial duties at Administrative building in Hialeah Yard.Provided temporary lighting for employees parking lot at Hialeah Facility Yard.Reprogrammed keypad, greased and adjusted pulley chain on 95th St entrance gate at Hialeah Facility Yard.Trash and debris removal at the North end of Hialeah Yard.Installing new Tuff Grid security fence at the West Palm Beach Facility Yard.
Daily janitorial duties at Administrative building in Hialeah Yard.Provided temporary lighting for employees parking lot at Hialeah Facility Yard.Installing new Tuff Grid security fence at the West Palm Beach Facility Yard.Clean up trash and debris from inside drainage systems at CP Iris. SX 1034.2Installed new yellow protective Ballard at the south end of Hialeah Facility Yard next to flagpole.
Daily janitorial duties at Administrative building in Hialeah Yard.Provided temporary lighting for employees parking lot at Hialeah Facility Yard.Installing new Tuff Grid security fence at the West Palm Beach Facility Yard.Repaired chain link fence at CP Coral in West Palm Beach SX 968.7.SFRC273 Graffiti clean up at SX 1017.8 at Sheridan St Bridge.
Daily janitorial duties at Administrative building in Hialeah Yard.Provided temporary lighting for employees parking lot at Hialeah Facility Yard.Installing new Tuff Grid security fence at the West Palm Beach Facility Yard.Graffiti clean up at SX 1017.8 along bridge column.Replaced light bulbs upstairs Administrative building at Hialeah Facility Yard.
Daily janitorial duties at Administrative building in Hialeah Yard.Provided temporary lighting for employees parking lot at Hialeah Facility Yard.Finished installation of 980 Linear feet of new Tuff Grid security fence at the West Palm Beach Facility Yard.
4/7/2018
4/12/2018
4/13/2018
4/5/2018
4/6/2018
4/9/2018
4/10/2018
4/11/2018
Engineering Maintenance Work Facilities
4/2/2018
4/3/2018
4/4/2018
14 of 26
April 2018
Provided temporary lighting for employees parking lot at Hialeah Facility Yard.Started replacing new LED light fixtures at employees parking lot at Hialeah Yard.
Installing new LED light fixtures at employees parking lot at Hialeah Yard.Provided temporary lighting for employees parking lot at Hialeah Facility Yard.
Daily janitorial duties at the Administrative building in Hialeah Facility.Provided temporary lighting for employees parking lot at Hialeah Facility Yard.Office renovations at BBO.Replaced (4) fluorescent light fixtures in conference room at BBO.Installed new electrical receptacles and relocates TV and internet connections.
Daily janitorial duties at the Administrative building in Hialeah Facility.Provided temporary lighting for employees parking lot at Hialeah Facility Yard.Clean up trash and debris at South end of Hialeah Facility yard.Started repairs on electrical wiring for night lightning at the Broward loading platform SX1014.0.Patch and repair potholes along roadway at Hialeah Facility Yard.Replaced flush valve in men's room downstairs Administrative building at Hialeah Facility Yard.
Daily janitorial duties at the Administrative building in Hialeah Facility.Provided temporary lighting for employees parking lot at Hialeah Facility Yard.Clean up trash and debris at South end of Hialeah Facility yard.Completed installation of (18) new LED light fixtures at employees parking lot at Hialeah Facility Yard.Repaired broken stop sign at south end of Hialeah Facility Yard.Replaced damaged celling tiles downstairs Administrative building Hialeah facility Yard.Clean up trash and debris at the Broward Loading Platform SX 1014.0.
Daily janitorial duties at the Administrative building in Hialeah Facility.Provided temporary lighting for employees parking lot at Hialeah Facility Yard.Clean up trash and construction materials from fence installation at the West Palm Beach Facility Yard.
Performed final inspection on new Tuff Grid security fence at the West Palm Beach Facility Yard.
Worked on items found during the monthly environmental inspection at Hialeah Facility Yard.
Daily janitorial duties at the Administrative building in Hialeah Facility.Provided temporary lighting for employees parking lot at Hialeah Facility Yard.Performed preventative maintenance on facilities tools and equipment at Hialeah Facility Yard.Replaced damage lockset on office door upstairs administrative building at Hialeah Facility Yard.Cut grass and clean up trash and debris at the main water shut off valve station at Hialeah Yard.
4/21/2018 No Production.
4/22/2018 No Production.
Daily janitorial duties at he administrative building in Hialeah Facility Yard.Pick and prepare fencing materials at fence manufacturing warehouse for repairs at CP Snake Creek Canal Bridge.Surveyed damaged fencing at CP Snake Creek canal bridge.Installed new canopy roof for crashed vehicles located inside laydown area at Hialeah Facility Yard.Completed oil and grease stains found during monthly environmental inspection at Hialeah Yard.
Daily janitorial duties at he administrative building in Hialeah Facility Yard.Started repairs on damaged fence at CP Snake Creek Canal Bridge SX 1024.7
Daily janitorial duties at he administrative building in Hialeah Facility Yard.Finished repairs on 142 linear feet of damaged fence at CP Snake Creek Canal Bridge SX 1024.0Graffiti clean up at CP Snake Creek Canal Bridge.
Daily janitorial duties at he administrative building in Hialeah Facility Yard.Reinstalled chain link fence at the north end of Hialeah facility yard.Repaired damaged fence at the signal department materials yard in Hialeah Facility Yard.Attended and performed in meeting/walk through inspection of a new platform and lighting fixture to be installed at the Mangonia Park Station.
Daily janitorial duties at he administrative building in Hialeah Facility Yard.Replaced broken push bar and door knob on exit door located on the SW corner of the Administrative building in Hialeah Facility Yard.Replaced (9) fluorescent light bulbs upstairs Administrative building at Hialeah Facility Yard.Patch and repair concrete curb along the roadside at Hialeah Yard.
4/28/2018 Daily janitorial duties at he administrative building in Hialeah Facility Yard.
4/29/2018 No production.
Daily janitorial duties at the administrative building in Hialeah Yard.Started repairs on damaged AC compressor located on rooftop of Administrative building in Hialeah Yard.Replaced (26) fluorescent lightbulbs throughout administrative building at Hialeah Facility Yard.Started construction on new ice and water storage shed at Broward loading platform SX 1014.0
4/30/2018
4/23/2018
4/24/2018
4/25/2018
4/26/2018
4/27/2018
4/19/2018
4/20/2018
4/18/2018
4/17/2018
4/16/2018
4/14/2018
4/15/2018
Engineering Maintenance Work Facilities
15 of 26
April 2018
Planning for Next MonthTrack
PTC Project - WIU Hardware - Phase 1 - IS 966.3 & CP Gator, CP Northwood & CP Coral, IS 969.8 & CP Mockingbird, IS 971.2 & CP Seaboard, IS 975.0 & CP
Orange Blossom, IS 979.2 & IS 981.0, IS 981.3 & CP Coconut
Tie Replacement - Dania, Lake Worth, East Rail Run Around
Switch Maintenance - Hialeah Yard
Frog Maintenance - Manatee to Dania, Sheridan to Plantation, Hardy to Tompkins, 79th St to 46th St
Signal
Installing New Batteries Across SFRTA Property
Safetran relays – Replace defective relay case cover throughout property.
AC Surge Protection – Replace older pancakes suppressor with ARMS (Automated Railroad Maintenance Systems) surge suppression.
Setup Electro-Code test station in Hialeah.
Banyan predictor.
Facility
Graffiti Cleanup along corridor as needed.
Fence repair/ installation along corridor as needed.
Monthly Maintenance at all facilities along the corridor.
Daily janitorial duties Admin building in Hialeah yard.
General maintenance at all facilities as needed.
Construction of new ice and water shed at Broward loading platform SX 1014.0
16 of 26
April 2018
Date Milepost Name /LocationGrease (in
buckets)Status-Action
4/23/2018 SXH 37.1 Le June/ Oleander 2 In Service
4/23/2018 SX 1033.8 (Yard) Circle Track 6 In Service
4/23/2018 SX 1030.9 Junkyard Switch 3 In Service
4/24/2018 SX 1027.7 Golden Glades 4Track #1 In Service/ Track #2 Repairs in
process
4/24/2018 SX 1023.5 Ives Dairy 3 In Service
4/24/2018 SX 1016.8 Tiger Tail Rd 3 In Service
4/24/2018 SX 1005.8 Mac Lead 0 In Service
4/26/2018 SX 971.1 Boyd St 3 In Service
4/26/2018 SX 969.4 7th St 2 In Service
4/26/2018 SX 967.0 45th St 0 In Service
4/26/2018 SX 972.7 Allendale 0 In Service
4/23/2018 SX 1032.4 Amtrak Lead 3 In Service
4/16/2018 Gardens Lead 7 0 In Service
4/23/2018 Home Lead 4 In Service
Total Buckets 33
Curve Lubricator
17 of 26
April 2018
Date Milepost Track No. Location Weight in lbs. Measurements in ft. Action Taken
4/3/2018 SX 1029.2 2 115 22 Changed Rail
4/6/2018 SX 1013.2 F-05 75 36 Changed Rail
4/7/2018 SX 1026.4 2 East 115 4,640 Changed Rail
4/14/2018SX 991.4 - SX
992.2 2 East 115 3,960 Changed Rail
4/21/2018SX 994.0 - SX
993.52 West 115 2,560 Changed Rail
4/22/2018SX 992.2 - SX
992.0 2 West 115 1,280 Changed Rail
4/28/2018 SX 998.0 2 East 115 1450 Changed Rail
Total 13,948
In Service Rail Failure
18 of 26
April 2018
Date Mile Post Track No. Location Action Taken
4/10/2018 SXD 36.6 Downtown Lead Switch Cut Vegetation4/10/2018 SX 1033.0 6 to 10 Hialeah Yard Cut Vegetation4/18/2018 SX 1033.0 Hialeah Yard Cut Vegetation
4/20/2018 SX 1033.0 Hialeah YardCut grass at the main water shut
off valve station at
Vegetation Removal
19 of 26
April 2018
Date Milepost Location Type Measurements in ft.
4/25/2018 SX 1024.0 CP Snake Creek Canal Bridge Chain Link 142
Total 142
Date Milepost Location Type Measurements in ft.
4/6/2018 SX 998.72 Deerfield Beach Chain Link 1,850
Total 1,850
Date Mile Post Location Status Inspector
4/29/2018 SX 1037.5 MIC 1 - 4 Good Lance Motsinger
4/29/2018 SX 1033.9 Metrorail Good Lance Motsinger
4/29/2018 SX 1030.1 Opa-Locka Good Lance Motsinger
4/29/2018 SX 1019.7 Hollywood Good Lance Motsinger
4/29/2018 SX1018.4 Sheridan Good Lance Motsinger
4/30/2018 SX 1016.3 Ft Lauderdale Airport Good Lance Motsinger
4/30/2018 SX 1012.2 Ft Lauderdale Station Good Lance Motsinger
4/28/2018 SX 1006.4 Cypress Creek Good Darryl Mathis
4/28/2018 SX 1001.5 Pompano Beach Good Darryl Mathis
4/28/2018 SX 998.3 Deerfield Beach Good Darryl Mathis
4/28/2018 SX 992.5 New Boca Good Darryl Mathis
4/26/2018 SX 988.1 Delray Beach Good Ricky Davis
4/26/2018 SX 981.2 Boynton Beach Needs small repairs Ricky Davis
4/26/2018 SX 976.8 Lake Worth Needs small repairs Ricky Davis
4/26/2018 SX 969.9 WPB Station Needs small repairs Ricky Davis
4/26/2018 SX 966.3 Mangonia Station Needs small repairs Ricky Davis
Date Milepost Location Type Measurements in ft.
4/13/2018 West Palm Beach Facility Yard Tuff Grid 980
Total 980
Hurricane Fencing
Fencing Repairs
New Fencing
Inter-Track Fencing
20 of 26
April 2018
Date Mile Post Location Action Taken Reported by
4/2/2018 SX 1034.2 CP Iris Started clean up inside draining system
4/4/2018 SX 1032.3 Gardens Lead 1 Picked up Trash
4/4/2018 SXD 37.1 Picked up Trash
4/5/2018 West Palm Beach Facility Yard Cleaned Trash and debris
4/9/2018 SXD 37.8 Sun Gas Cleaned Trash and debris
4/9/2018 North end of Hialeah Yard Cleaned Trash and debris
4/10/2018 SX 1034.2 CP Iris Cleaned Trash & debris from inside drainage systems
4/11/2018 SX 1017.8 Cleaned trash under Bridge
4/11/2018 SX 1017.8 Sheridan St Bridge Graffiti clean up SFRC273
4/12/2018 SX 1013.4 Picked up trash
4/12/2018 SX 1017.8 Graffiti clean up
4/17/2018 South end of Hialeah Facility yard Cleaned Trash and debris
4/18/2018 SX 1004.2 Gas Track Cleaned Trash and debris
4/18/2018 South end of Hialeah Facility yard Cleaned Trash and debris
4/18/2018 SX 1014.0 Broward Loading Platform Cleaned Trash and debris
4/19/2018 West Palm Beach Facility YardClean up trash and construction materials from fence
installation
4/20/2018 Hialeah Yard Cleaned Trash and debris
4/25/2018 SX 1014.9 Dania Cleaned Trash and debris
4/25/2018 SX 1004.2 Pompano Gas Track Cleaned Trash and debris
4/25/2018 CP Snake Creek Canal Bridge Graffiti clean up
4/27/2018 SX 1036.0 46th St Cleaned up Scrap
4/29/2018 SX 992.0 Yamato Rd Cleaned up Scrap
Clean Up Activities
21 of 26
April 2018
Date Location QTY Item Reason
3/15/2018 SX 989.0 1 SX 989.0 Old/ Worn3/11/2018 SX 999.0 1 SX 999.0 Old/ Worn3/11/2018 SX 1000.0 1 SX 1000.0 Old/ Worn3/24/2018 SX 1002.0 1 SX 1002.0 Old/ Worn3/24/2018 SX 1003.0 1 SX 1003.0 Old/ Worn3/24/2018 SX 1004.0 1 SX 1004.0 Old/ Worn3/11/2018 SX 1005.0 1 SX 1005.0 Old/ Worn3/11/2018 SX 1006.0 1 SX 1006.0 Old/ Worn
ROW Signage Report
22 of 26
April 2018
Date Milepost Milepost Track No. Distance in ft.
4/4/2018 SX 1003.4 SX 1003.6 1 610
4/6/2018 SX 1025.5 SX 1025.6 2 600
4/8/2018 SX 1026.6 SX 1026.7 688
4/11/2018 SX 1026.4 SX 1026.6 1 1,002
4/12/2018 SX 1020.8 SX 1021.0 2 1,200
4/13/2018 SX 1021.0 SX 1021.0 2 300
4/14/2018 SX 1031.6 SX 1031.6 Lead 580
4/17/2018 SX 1031.7 SX 1032.3 Lead 2,960
4/19/2018 SX 1031.7 SX 1031.9 2 1,294
4/21/2017 SX 1005.4 SX 1005.6 1 1,490
4/22/2018 SX 1005.4 SX 1005.6 2 1,510
4/23/2018 SX 1005.4 SX 1005.6 1 949
4/23/2018 SX 1005.4 SX 1005.5 2 642
4/25/2018 SX 1003.4 SX 1003.6 1 815
4/26/2018 SX 1004.9 SX 1005.5 2 872
4/27/2018 SX 993.4 SX 993.5 2 320
4/28/2018 SX 1005.8 SX 1005.8 1 475
Total 16,307
Surfacing
23 of 26
April 2018
Dept. Total TestsCardinal Safety Rule
Tests
Instructed (Verbal Warning/
Written Reprimand/Formal
Charges)
Out of Hrs. Between 17:00-
05:00 am
Track/ Construction 30 25 0 0
Signal & Comms 50 17 0 10
Department Date Location
Track Maintenance N/A N/A N/A N/A
Track - Construction N/A N/A N/A N/A
Signal & Communications N/A N/A N/A N/A
HQ /Facilities N/A N/A N/A N/A
Department Date Location Description Recommendation/Action
Track (Maint) N/A N/A N/A N/A
Signal (C &S) N/A N/A N/A N/A
Track (Const) N/A N/A N/A N/A
Efficiency Testing April
2018 - YTD Injury Summary
Description
Month of April 2018 = ZERO Injury.
Employee Injury Statistics
24 of 26
April 2018
Date Milepost Location Track No.Description of
DamageReason for Damages Action Taken
Service Property Damages
There have been (0) Service Property Damage issues.
25 of 26
April 2018
DateMain line ties and
Industrial ties
Switch and
Transition 10’
ties
Main line ties
Switch and
Transition 10’
ties2015 5,399 411
2016 6,266 1,361 31,947 70
January 2017 1,215 94
February 2017 502 44
March 2017 1,540 106
April 2017 1,172 65
May 2017 391 101
June 2017 210 29
July 2017 402 65
August 2017 921 21
September 2017 393 1
October 2017 185 39
November 2017 196 24
December 2017 248 44
January 2018 368 41
February 2018 310 61 51
March 2018 199 61 83
April 2018 309 65 91
52,398
2,703
55,101 Total Installed as of April 2018
Summary of Ties Installed Contract to Date (Apr 2015-2018)
Installed by Maint. Crew Installed by Tie Gang
Total Main Line & Industrial Ties
Total Switch and Transition 10’ ties
26 of 26
Page 1 of 21
South Florida Regional Transportation Authority
(SFRTA)
Maintenance Project
SFRTA Maintenance Issues Monthly Report
Reporting Period: April 2018
Ansaldo STS-USA, Inc 1000 Technology Drive, Pittsburgh, PA 15219
645 Russell Street, Batesburg, SC 29006 www.ansaldo-sts.com
Date of Issue: May 10, 2018
Page 2 of 21
Executive Summary
There have been a total of 60 issues to date. Issues were of a miscellaneous nature with no real distinctive pattern. Note that if we do detect any distinctive patterns in issues found, we will work to find out why those specific things are occurring and what we and SFRTA might be able to do to prevent them.
Details
See Issue Log
Dashboard
Status
Closed Explained Closed - Fixed Open
Total Result
14 45 1 60
0
10
20
30
40
50
60
70
Status of Issues
Closed Explained
Closed - Fixed
Open
Total Result
SFRTA_Maintenance_Project_Issues_2018_05_10Is
sue
#
Pri
ori
ty
Sub
-Sys
tem
Date
Reported
How
Reported
Issue
Re
po
rte
d B
y
Comments
Ow
ne
r
Stat
us Date
Resolved Serv
ice
Dis
rup
tio
n?
Do
wn
tim
e (
min
ute
s)
Root Cause
1 3 CTC 05/27/15
Direct
phone call
Sheridian in Code FailDave Dice
Rebooted the CNA2000 to resolve the issue.
ASTS Closed - Fixed 05/27/15 N NA
2 3 CTC 05/30/15
Direct
phone call
ASTS's Dave Dice, Bob Whanger, Mike Scott, Alex
Dyga, and Derek Schrock remotely installed s/w
release 4A and correct system time on Pompano
System as document in FCN 3.
Dave Dice
No incidents occurred.
ASTS Closed - Fixed 05/30/15 N NA
3 3 CTC 07/28/15
Direct
phone call
WBI was not being displayed for CSX
Dave Dice
The morning activity that was done didn’t correctly turn on all ports needed to
allow WBI client authentication messages to be passed from remote sites for CSX to
SFRTA through firewalls.
ASTS Closed - Fixed 07/28/15 N NA
During the afternoon calls, we did
troubleshooting and came to the conclusion
that there was this problem. With CSX help,
ASTS HW/Telecomms opened up the needed
ports.
4 3 CTC 07/28/15
Direct
phone call
SFRTA was having issues sending bulletins
Dave Dice
I checked the logs and did not see any failures. The Interent was locked down
during the time frame that they were having issues sending bulletins.
ASTS Closed - Fixed 07/28/15 N NA
But this was rolled back and the problem was
no longer occuring.
5 3 CTC 08/15/15
Direct
SFRTA was unable to send faxes through the
system.
Dave Dice
After investigation it was determined that there is an issue with the Verizon
network. Called Verizon and they stated the the static IP address were changed.
They were not able to correct the issue at night and need SFRTA to call in the
morning. If a bulletin is need to be faxed they are going to print it out and then
manually fax them. They are going to try and print the bulletins at the locations.
ASTS Closed - Fixed 08/15/15 N NA
Spoke to Verizon and it is an issue on there
end and they are working to correct the issue.
6 3 CTC 08/20/15
Direct
Unable to Fax through the system
Dave Dice ASTS Closed - Fixed 08/20/15 N NA
The issue was with the AT&T connection to
the network
7 3 CTC 11/04/15
Direct
Interface tasks on workstation 6 showing aborts
on startup
Dave
Stovich
Appears to be a display issue preventing tasks to start correctly, Alex/SFRTA will
check out the workstation for display problems
Possible issue with monitor, machine needs physically inspected to verify/check
monitor/displays at this workstation
ASTS/
SFRTA
Closed -
Explained N NA
8 3
Solar
Winds 11/28/15
Direct
phone call
Alex V called and is having trouble connecting
through the anyconnect vpn remotely and from
Hialea
Alex
Villares
Alex V called and is having trouble connecting through the anyconnect vpn remotely
and from Hialea to get on the network to view solarwinds/wbi/etc
ASTS/
SFRTA Closed - Fixed 11/28/15 N NA
ssl certificate association changed prohibiting
access, Larry D associated cert with ip address
of router instead of name which should
prevent same problem occurring
9 3 CTC 01/07/16
Direct
phone call
Tony B. called and mentioned that sfrwrk002
managed to freeze after he opened train sheet
summary forms
Tony B
Tony B. restarted the workstation and it fixed the problem before speaking with
Dave S.
ASTS Closed - Fixed 01/07/16 N NA
A workstation reboot fixed the problem, but
Mike Scott opened spr28479 to try and
address/recreate the root cause of the
reported problem
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10 2 CTC 02/11/16
Direct
Reported form SFRTA Dispatch:
As of 0414 hours we have been experiencing issues
at CP CLUNE consisting of PO indications and track
lights. A signal maintainer was contacted and on
scene as of 0510 hours.
At 0707 hours CP CLUNE went into code line
failure.
At 0713 the code line failure indication cleared.
SFRTA
Wanted us to look into why the Code Failure occurred.
ASTS Closed - Fixed 02/11/16 N NA
I see the Power Outage indications starting at
0414.
I am checked to see what happened around
0707 to 0713. And I do see it going into Code
Fail. But when I talked to Bob W about this
and he did not see anything go down. It is
possible that the CP lost power and VHLC is
on different power.
Recieved email from Mike S:
FYI: Matt w/RTA Dispatch notified OPS there
is a Power off Indication which is causing
signal issues. There is a TOL on Track #1
between Parker MP SX 999.25 and Cypress
MP SX 1005.60 and another TOL on Track #1
between Rankin MP SX 996.55 and Parker MP
SX 999.25. Maintainer notified enroute to
scene. Expect Delays : P620 is 16 minutes late
to DFB . Update to follow.
11 3 CTC 03/17/16
800
number
Last night, around 2130 I received a call from
SFRTA about the Engine Consist form “freezing
up”.
The Operator that called, stated that when
creating the Train Consist form, the Train Consist
form worked fine, then he select the Engine
Consist form, the form froze.
(The machine was “D2”; Dispatcher 2?)
I asked the Operator to close the from and restart
the operation, at that time another operator had
completed the operation without any problem.
Then the operator stated that he or they (not sure
which) had seen this issue of the Engine Consist
from freezing up, not often, but it does.
SFRTA
The incident occurred at 2104. We retreived the logs and after an analysis of the
logs the nothing pertaining to the Train Consist from was discovered.
An ATS engineer attempted to duplicae the issue and the following email was sent:
I do not see anything in the event log or the stderrout files that indicate a problem.
I went down to the lab and tried what was indicated in the event log per
workstation sfrwrk002 that is listed there. If data is not changed on the forms they
can not be completed, and the event logs do not indicate a change of data so I
suspect this may have been the case: The dispatcher either thought they changed a
value, or changed it to the same value. Other possibilities include:
1) They saw the warning about the departure tons not being filled in on the train
consist after hitting Update and thought they could not continue (they can).
2) They thought they had to bring up the Train Sheet Form again after bringing up
the Train Consist form and was hitting the Complete button on the Train Sheet form
thinking it would complete the Train Consist form also. Without a change on the
Train Sheet form this form can not be completed either.
ASTS
Closed -
Explained 03/22/16 N NA
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12 3 CTC 04/19/16
Direct
SFRTA requested playback data from 1/4/2016 so
that they could analyze a derailment that occurred
that day. The title of e-mail that stated "Request
for Tape Load from Dispatch System".
Mike Scott
After requesting more information, SFRTA's Nikeisha Thomas reported that
Amtrak's Danielle Simkunas realized that the request is over 90-days and that the
system no longer had the information (since it was archived). After confirming that
the system is working per requirements, Mike Scott sent a reply back to SFRTA and
stated that ASTS could provide a quote for a change to cover loading archived data
back into the system to permit a playback for a time period that is over 90 days.
ASTS
Closed -
Explained 04/21/16 N NA
13 3 CTC 04/21/16
Direct
phone call
Received a call from SFRTA Operations Center, at
0339 21 April that printer sfrprn001 was not
printing.
Pat Semon
1. Looked at the Failed Print and Fax directories for ctc001 and 002 and did not see
any failed jobs for 21 April.
2. Asked if the printer was turn off then on, that was completed and still failed.
3. Looked at the system printer logs, no errors reported. Did see that at 0644 the
printer successfully printed a job.
4. Called and ask if SFRTA would send a test print job and that was sucessful
ASTS Closed - Fixed 04/24/16 N NA
CUPS Needed to ve restarted for the printer
to work
14 3 CTC 05/16/16
Direct
Received a e-mail the SFRTA connection into CSX
WBI via the Ansaldo-supplied NEC Monitor is
freezing and is requiring the Dispatcher to log out
and back in.
Mike Scott
1. Contacted CSX's Damian Blalock to get him to investigate from their side.
2. Bob Whanger & Larry Delrosso investigated ASTS supplied ASA firewall to see if
any issues apparent. Also, looked at Solarwinds. No issues apparent.
3. Provided SFRTA recommendation to try connection from another Wall Monitor
and laptop to see if they also have issues freezing.
ASTS Closed - Fixed 05/21/16 N NA
contacted Alex and he stated that they install
2 new monitor what solved the issues
15 3 CTC 06/02/16
Direct
SFRTA requested ASTS look into email alerts for
low toner levels at remote printers SFRTA
Implementation options are being investigated
ASTS Closed - Fixed N NA
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16 3 CTC 06/08/16
Direct
phone call
SFRTA is having a production issue with 1 or more
CP’s in Code Fail.
SFRTA
The modem on the south had a package sent from Red Lion on June 8th that
corrupted the configuration. The package upgraded the modem to 4.22 from 4.2.
Alex noticed this several days ago. Edward from Red Lion re flashed the modem and
replaced the firmware with 4.2, then he reinstalled the config that I gave him. He
said the patch was made by Red Lion, but he does not know how it got to SFRTA. He
said it was sent by someone who received the patch from them. He is looking into it.
The north modem had the wrong Ethernet address installed. I know they were
trying many things to troubleshoot the problem. So Alex and I uploaded the original
config into the north modem and it worked fine. Edward from Red Lion is supposed
to get back to me on how to prevent this and how this happened.
Edward from Red Lion said that the packages are made when a customer requests
them. They are not sent out to everyone. Only to a customer who is having a
problem in a specific area. They are not sent out by computer. They are received by
going to their web site and downloading them. He said he would email me when his
company finds what that package had in it and if anyone sent it.
ASTS Closed - Fixed 06/15/16 N NA
The issue turned out to be a bad update
“package” that the Verizon 4GLTE modem
manufacture Sixnet sent to the modem.
17 3 CTC 07/19/16
ASTS
Resource
During weekly checks of SFRTA, the following
workstations were seen as having one of their
bond slave network interfaces down: sfrwrk003
and sfrtrn001 in Pompano; sfrwrk006, sfrwrk007,
and sfrwrk008 in West Palm.
ASTS
Alex Villares of SFRTA reconnected the network bond interfaces on the workstations
ASTS Closed - Fixed 07/22/16 N NA
18 3 CTC 07/25/16
Direct
ASTS received a request from CSX to make a
firewall change to support the re-location of a
Jacksonville thin-client workstation from IP
address 10.86.127.39 to 10.86.51.7. This required
a change to both the Pompano Beach and West
Palm Beach Dispatch System Cisco ASA Firewalls.
ASTS forwarded CSX's reqeust to SFRTA.
Mike Scott
Upon SFRTA's approval of the change, ASTS made the firewall changes at the time
designated by SFRTA, which was 7/25/2016 at 11 PM. Changes were successfully
complete during a teleconference call between ASTS and SFRTA / Amtrak. CSX
made their changes on the morning of 7/26/2016 and successfully test the changes
at Pompano Beach during a teleconference call that they arranged on 7/26/2016 at
1130 AM. During CSX's testing, they determined that there is issue with CSX's
Network Configurtion at West Palm Beach which needs resolved. CSX was going to
have an internal meeting to determine how to support. SFRTA / CSX are likely to
come back to ASTS and request for supporting testing once the change is made.
ASTS will not make any changes on the SFRTA-side unless approved by CSX.
ASTS Closed - Fixed 07/26/16 N NA
This was a maintenance request from CSX
approved by SFRTA.
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19 3 CTC 07/27/16
Direct
phone call
SFRTA's Alex Villares contacted ASTS's Mike Scott
to request information regarding questions on
how long information (such as Playback and EC-1's
are stored) in system and if archived information
can be loaded back into system.
Mike Scott
M. Scott sent a reply to SFRTA's Alex Villares, Nikeisha Thomas and (Amtrack's)
Danielle Simkunas reporting that the Dispatch System only provides retrieval of
system reports and event log messages and running of playback for 30 days per
system requirements despite system storing information for 90 days. There are 2
potential changes that SFRTA is interested in getting: 1) change 30 days to 90 days
and 2) loading of archived data (once it is purged after the 90 days) back into the
system. M. Scott will work with ASTS Sales & Bid team to provide this estimate.
ASTS
Closed -
Explained 07/28/16 N NA This was not a problem just a question.
20 3
Solar
Winds 08/08/16
Direct
phone call
SFRTA is having issues with switchover from AT&T
to Verizon
SFRTA
Dave Nutich had e-mailed and stated that there were problems with the network
switching over seamlessly. We found in Solarwinds that the CNA2000 was down
from about 20:45 to 1:45 in the morning. The OCG log shows that the CP went down
Golden Glades went down for under a minute at 16:09 and then for over 3 hours
start at 22:19:48. There was an unknown issue with CNA2000.
ASTS
Closed -
Explained 08/08/16 N NA CAN2000 issue.
21 3 CTC 08/23/16
ASTS
Resource
Michael Scott reported that the iDraq port is bad
in the Dell server and we need to place a service
call to Dell for the server
Mike Scott
They have determined that we need to get in contact with Dell about the bad iDraq
port
As per our conversation with Alex V, this issue has been resolved by SFRTA
SFRTA Closed - Fixed 08/26/16 N NA
22 3 CTC 09/15/16
Direct
Alex V sent an email stating Amtrak Lead CP was in
codefail but solarwinds did not show any failures,
is this possible?
Alex
Villares
Solarwinds only monitors the ocg nodes, we do not monitor VHLC status which is
what determines if the CP is in code fail. Alex mentioned power failures around this
time, did the VHLC fail?
As per our conversation with Alex V, this issue has been resolved by SFRTA
ASTS Closed - Fixed 09/19/16 N NA
23 3 All 09/15/16
Direct
phone call
Alex V reported a message related to memory
capacity reporting on sfrvms001
Alex
Villares
B1 in Dell PowerEdge R620 Service Tag 8NYSV12 (SFRVMS001)
has a Correctable Memory Error Log Limit Reached warning
As per our conversation with Alex V, this issue has been resolved by SFRTA
ASTS Closed - Fixed 09/17/16 N NA
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24 3 CTC 09/29/16
Direct
When logged in as Dispatcher on Console 1, they
are getting function access priviliges as if they
were logged in as a Chief rather than a Dispatcher.
They aren’t able to throw switches and create EC1
authorities.
To work around this, they are having the
Dispatcher logging on to Console 2 and the Chief
logging on to Console 1.
They are requesting support to figure out what the
problem is so that they can switch the Dispatcher
back to Console 1
You can call the Dispatchers at 954 941-1349 to
get more details. You can also call Alex." Alex
Villares
Looked at log files and did not see anything unusual. --Pat Semon
As per our conversation, this issue has been resolved by SFRTA
ASTS
Closed -
Explained 09/29/16 N NA
25 3 All 11/09/16
Direct
phone call
Alex Villares called Mike Scott concerned about
network connectivity issues between
Schneider Electric APC UPS unit at WPB and
Schneider Electric APC Remote Monitoring Center
Alex
Villares
Larry Delrosso worked with APC Remote Monitoring facility and determined that
heartbeat messages were going out every 10 minutes and the UPS is sending out a
test query every 20 minutes. When logged into the UPS management card via web
browser, Larry saw diagnostic errors saying the server is unreachable filling the UPS
log files. This may prevent Remote Monitoring emails from being sent.
Last email received is from 5/31/2016.
Schneider Electric rebooted the management card software which corrected the
issue.All Closed - Fixed N NA
26 3 All 11/22/16
ASTS
Resource
sfrwrk003 disk space is getting full and it keep
growing daily is currently it 95%
ASTS
Called Alex Valleres to inform him that sfrwrk003 disk space is getting full and it
keep growing daily. I gave him a choice to either to either delete the playback files
or move them to external hard drive. Alex Villares state that we will inform his
manager.
Alex called back and stated that his manger want to know the recommended size of
how big they should geta external . I recommend 3tb, since they could store more.
alex will call back when they have the enternal to move the playback off of the
machine. ASTS
Closed -
Explained 11/23/16 N NA
SFRTA requested, that we can Delete Playback
that are older then 6 months to gain back
storage space.
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27 3 All 11/23/16
Direct
DAE 0 1 Disk 4 failed in sfrsan002 on 11/21/2016
at 8:45:50 AM Eastern time. The failed part
number is 005049039 and the serial number is
6SL88G56. The hot spare took over, and we can
still lose one more additional disk before we lose
any data
ASTS
So once we receive the replacement, the failed disk will get pulled out, and the
replacement will be inserted.
The replacment will then be rebuilt and become active. The hot spare that took
over will go back to its original state of being a hot spare.
The SAN takes care of all of this once the replacement is inserted. I will just need to
jump in a few hours later and make sure that everything is back to a normal state
So once we receive the replacement, the failed disk will get pulled out, and the
replacement will be inserted. The replacment will then be rebuilt and become
active. The hot spare that took over will go back to its original state of being a hot
spare.
The SAN takes care of all of this once the replacement is inserted. I will just need to
jump in a few hours later and make sure that everything is back to a normal state
ASTS Closed - Fixed 12/02/16 N NA
WE bought and ship a New disk to SFRTA, The
dish has been replaced in grsan002
28 3 CTC 12/03/16
Direct
phone call
Dispatcher reported system down and unable to
route trains
SFRTA
(Adam -
(Dispatche
r)
Received a call from Adam (Dispatcher at SFRTA) that the system was down and he
was unable to route any trains. Speaking with him it seems that the sfrwrk001
workstation became unresponsive and was not able to select anything on the
system with the mouse and the keyboard was frozen.
Update: after investigating the issue, the machine is running smootly and here not
errors to be reported
ASTS Closed - Fixed 12/05/16 Y 30
29 3 CTC 01/14/17
Direct
phone call
Hardy was in Code Fail
SFRTA
Received a call from Alex that Hardy was in code fail. The ultimate issue was the
CNA2000 not having an IP address at WPB
ASTS Closed - Fixed 01/15/17 Y 160
CNA2000 did not have an IP address that was
routeable to West Palm Beach
30 3 CTC 01/24/17
Direct
Database Manager was not able to login at WPB
SFRTA
Received an e-mail from Danielle that she was unable to login as Database manager
because she was already logged in at Palpamo. ASTS Closed - Fixed 01/24/17 N NA
Database manager did not log off before the
cutover.
31 3 CTC 01/25/17
Direct
Unable to do Playback
SFRTA
(Danielle)
Received an e-mail from Danielle that she was unable to do playback on the system.
ASTS Closed - Fixed 01/25/17 N NA
playback kits have been installed , she can
successfully do playback
32 3 CTC 03/27/17
Direct
wal displays arem't showing after power loss
SFRTA
I called Arron and walk him though the process of restarting the workstation Dell
R7610 that was in the server room, when he look at the workstation R7610, the
machine was already started but wasn’t displaying. After the machine was restarted
and login into the 2 WBI , he was successfully able to display the track machine to
the 6 monitors. ASTS Closed - Fixed 03/27/17 N NA
Due to the power loss. The workstaion never
power on correctly which resulting in the wall
not displaying.
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33 3 CTC 04/17/17
Direct
phone call
Tom from sfrta called from west palm beach
stating they have an issue logging in. He stated
when he tries to do a dispatcher transfer and tries
to login as a dispatcher , a message pops up
stating "an error has occurred". I ask tom to see if
he can login to the system as a maintainer and he
can successfully login. When tom tried to login as a
DB manager the whole screen go black on
sfrwrk001 – sfrwrk003. The rail road is down
SFRTA
ASTS restarted the instance 2 at Pompano, it was having some shared memory
errors. There was nothing in the logs that pointed to what the memory error was.
Ron said that secsrv warmstarted again on instance 2 when it restarted
ASTS Closed - Fixed 04/17/17 Y 60
After further investigation of the Dispatchers
not able to login Problem (issue #33), we have
determined that the cause of the issue was a
shared memory error. Oracle ran out of
shared memory which caused the Dispatchers
to be unable to log in. To quickly get the
system back up and running we restarted
Instance 2 of the database which temporarily
solves the issue. We determined the long
term solution to solve the memory issue; was
to allocate more space to the memory swap
pool. We allocated that space.
34 3 CTC 04/25/17
Direct
phone call
I just got a call from Alex villares, he stated the
Verizon backup is down for north and south. He
contacted Verizon about the issue and they stated
that the issue is on SFRTA end. He worried that if
the at&t service goes down they might end up in
code fail. Alex
Villares
After investigating the issue, he did see that the Verizon communication is down, he
notice that the signet router is what causing all the issue. He called sfrta to explain
to them, they will have to work with the manufacture to get this resolved. We are
currently waiting to get a response from SFRTA that it is resolved.
The issues has been resolved
ASTS Closed - Fixed N NA
35 2 CTC 04/26/17
Direct
SFRTA had a power loss in Dispatch Room which
resulted in both workstations rebooting.
SFRTA
SFRTA stated that this was a false alarm; they were able to success get the system
up and running
ASTS Closed - Fixed 04/26/17 N NA
36 3 CTC 04/28/17
Direct
phone call
ASTS just got a called from Alex Villares , he
wanted the login for the machine in the PSCC
Office. They are unable to login to the machine
since Wednesday April 26th , they also do not
have the login credential for that read-only
machine SFRTA
After further researching the issue, we realize the machine they are speaking about
it maintenance machine, sfrwrk004. we contacted Alex V at SFRTA and providing
him the login credentials. he was able to login successfully
SFRTA Closed - Fixed 04/28/17 N NA
ASTS provided the username and password
for workstation (sfrwrk004)
37 3 CTC 05/01/17
Direct
Due to the power outage from last week, my
training console (Productions) is in Code Line
Failure. Also, I can not log onto the console in
Training mode. SFRTA
The simulator needs to be manually started up. Due to the power issue at SFRTA,
The training machine powered off, when it was started back up the machine
reported in codeine failure. To resolve this restarted asp on the training machine
and started up the simulator. ASTS Closed - Fixed 05/01/17 N NA
System abruptly turning off due to a power
outage. Restarted asp on the training
machine and started up the simulator.
38 2 CTC 05/03/17
Direct
phone call
Cannot run playback on the production machine
sfrwrk003
SFRTA
Due to playback abruptly stopping when the power loss issue occurred. There was
file stuck in the tmp folder. Playback cannot run if there are stuck file in the tmp
folder. To fix this we removed the stuck asp file and restarted playback. Playback is
now running correctly running.
ASTS Closed - Fixed 05/05/17 N NA
Due to playback abruptly stopping when the
power loss issue occurred. There was file
stuck in the tmp folder. Playback cannot run if
there are stuck file in the tmp folder. To fix
this we removed the stuck asp file and
restarted playback. Playback is now running
correctly running.
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39 3 CTC 05/03/17
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Cannot run playback on the training machine
sfrtrn001
SFRTA
The database on the training machine crashed and got corrupted. The cause of the
crash was the power lost that happen a couple days ago. We were successfully able
to retrieve the critical part of the database.
ASTS Closed - Fixed 05/05/17 N NA
The database on the training machine crashed
and got corrupted. The cause of the crash was
the power lost that happen a couple days
ago. We were successfully able to retrieve the
critical part of the database.
40 3 Other 05/15/17
Direct
phone call
Alex V called asking for us to send him the
instructions for Car Mile Retrieval using WinSCP
SFRTA
ASTS provided the deatil instructions to how to run the car miles report
ASTS Closed - Fixed 05/15/17 N NA
41 3 Other 05/15/17
Direct
SFRTA cannot login tino WBI due to Java not
running
SFRTA
ASTS was able to connect remotely into a windows machine out at SFRTA, and it
appears to me that ASTS was able to successfully log into WBI.
ASTS Closed - Fixed 05/15/17 N NA
42 2 CTC 06/02/17
Direct
the Train ID’s are not autopopulating on the train
sheet, the bulletins are not generating and the ID’s
are not autoentering onto the 98 tracks. We have
to do all of this manually
SFRTA
ASTS investigated the issue by first checking the train characterics forum, then the
stderrout files, both were working correctly. It was suggested that we reset the
tshsrv task to see if the timers were out of sync and causing the trains to not
autopopulate. ASTS restarted the task. which solve the issue with trains not
autopopulating ASTS Closed - Fixed 06/05/17 N NA
43 3 CTC 07/17/17
Direct
phone call
SFRTA call stating that the buletin message are
coming in a random order
SFRTA
Called Sfrta stated that issue was cause by user error, I user was not filling the
bulletin out correctly
ASTS Closed - Fixed 07/18/17 N NA
44 3 CTC 07/18/17
Direct
phone call
SFRTA call and requested to investigate what is the
status of the west palm Beach Cisco 3850
SFRTA
after speaking to the Coms group internal and them verifying that there is no issue
or any history of issue with that router.
ASTS Closed - Fixed 07/18/17 N NA
45 3 CTC 07/19/17
Direct
phone call
SFRTA Call stating they can't login into the training
machine due to not having the username to login
into SFRTA
Due to the Leaving of Danielle simkunas, Alex Villares Request the login information
for the accounts on the training machine, ASTS Provided the Login information.
ASTS Closed - Fixed 07/20/17 N NA
46 1 CTC 07/19/17
Direct
phone call
SFRTA called and stated that SFRWRK002 has
crashed and due to this only one dispatcher is
currently running the system
SFRTA
After a Brief troubleshooting we confirm that the machine is not booting at all. We
took the spare machine SFRWRK009 and configured the Ip Adress and Machine
name to be SFRWRK002. We also install the new kit. Finally deploying the machine
ASTS Closed - Fixed 07/20/17 N NA
47 3 CTC 07/21/17
Direct
phone call
SFRTA called stated they are unable to login into
the training workstation (SFRTRN001)
SFRTA
After further investigation it looks like the Machine was shutdown incorrectly which
cause the Oracle Database to be Corrupted. Worked with our It Department to get
them back up and running. ASTS Closed - Fixed 07/21/17 N NA
48 3 CTC 10/02/17
Direct
(from Alex Villares email 10/02/17, 9:56am)
After the Switchback from WPB-Pompano we were
unable to” log on” in Training Console. Torrando
Station who is the Dispatchers’ manager couldn’t
retrieve playbacks from this PC.
SFRTA -
Alex
Villares
The database on the training machine crashed and got corrupted. The cause of the
crash is curently unknown . We were successfully able to restore the critical part of
the database.
ASTS Closed - Fixed 10/04/17 N NA
49 3 CTC 10/05/17
Direct
phone call
SFRTA recently dispatched trains from West Palm
Beach backup center after the hurricane Irma.
Dispatchers realized that WPB EC-1 form does not
coincide with Pompano EC-1 form
SFRTA -
Alex
Villares
Upon investigation the EC1Form were different between Pompano and West palm
beach. The EC1Form at West Palm has been updated
ASTS Closed - Fixed 10/05/17 N NA
Page 11 of 21
SFRTA_Maintenance_Project_Issues_2018_05_10Is
sue
#
Pri
ori
ty
Sub
-Sys
tem
Date
Reported
How
Reported
Issue
Re
po
rte
d B
y
Comments
Ow
ne
r
Stat
us Date
Resolved Serv
ice
Dis
rup
tio
n?
Do
wn
tim
e (
min
ute
s)
Root Cause
50 3 CTC 11/29/17
Direct
phone call
The dispatch manager called and stated that he
was having issue logging into the training
workstation.
SFRTA -
Alex
Villares
Upon further investigation. It looks like another colleague may have disable
torrando account on the training machine, I spoke to torrando and made him
understand that , someone in the office that has DB maint access can help him get
the right permission back on his account
Update: I call Torrando back and he stated that he can get into the system.
ASTS Closed - Fixed 11/29/17 N NA
51 3 CTC 11/29/17
distributio
n list
SFRTA sent an email to the maintenance
distribution list stating that the computers are
staring to "act weird". They stated around 2200
the train sheet started populating all of tomorrows
trains. it was also stated that it also populated
train ID’s for tomorrow with a weekend ID as well.
The weekend versions all started at the same time
which was 0143.
SFRTA -
Alex
Villares
I spoke to the Dispatch manager out at sfrta he stated that, after they restart the
workstation, they have not seem, these issues since then.
Shakir John spoke to Torrando Station on 12/12/17 and the issue has not re-
occurred. An email was sent from ASTS to all parties involved on 12/12/17 stating
that based on discussions and research this issue can not be recreated and will be
closed.
ASTS
Closed -
Explained 12/12/17 N NA
52 3 CTC 12/15/17
ASTS
Resource
During Monthly Maintenance ASTS notice that The
NTP source (192.168.100.1) at SFRTA Pompano for
the CAD machines is down.
It appears 192.168.100.5 (the source’s source) is
down as well
ASTS
ASTS Contacted Spectracom, they determine that we need to restart the time
server to get it up and running. ASTS reboot the Spectracom Time Server.
ASTS
Closed -
Explained 12/15/17 N NA
53 3 CTC 02/13/18
Direct
phone call
02/13/18:
Received a direct phone call from Torrando
Station, stating their was an issue with playback
02/14/18:
Received a direct email from Torrando Station:
Attempted to run a replay yesterday. We made 3
attempts for 3 different time periods. The function
does not work. Gives an error message.
SFRTA
02/14/18:
Received and email from Alex Villares with multiple photos showing the errors being
generated in playback
Update
asts looked into the training machine issues, we notice that no playback has been
running on the the training machine since 2014, we contact Alex Villares and he
stated,the machine may be a the production machine issue and not the training
machine. the machine in fact is sfrwrk003. playback is restored
Playback kits need to be installed on sfrctc001
ASTS Closed - Fixed 02/16/18 N NA
54 3 CTC 02/20/18
distributio
n list
I also discovered the “training” mode is
malfunctioning. All switches blinking out of
correspondence the same as when the Iris tape
load was done.
SFRTA
sim was not started on the training machine, Sim always needs to be statred up
everytime the machine is restarted. Commands to start sim is below
shutdown reoZONEALL
shutdown codsrvZONEALL
startup simZONEALL
ASTS Closed - Fixed 02/22/18 N NA
Page 12 of 21
SFRTA_Maintenance_Project_Issues_2018_05_10Is
sue
#
Pri
ori
ty
Sub
-Sys
tem
Date
Reported
How
Reported
Issue
Re
po
rte
d B
y
Comments
Ow
ne
r
Stat
us Date
Resolved Serv
ice
Dis
rup
tio
n?
Do
wn
tim
e (
min
ute
s)
Root Cause
55 3 CTC 03/13/18
distributio
n list
CP Coral has an issue where the blocks flash
continuously within the control point when
blocking is applied manually and when blocking is
applied through a EC-1. Everywhere else when
blocking is applied it holds a solid light blue color
that does not flash. The flashing blocks still protect
the limits at CP Coral but there appears to be an
issue and would like to correct it so that its
consistent with the rest of the board.
SFRTA
the issue with track block not working at Coral is because there was a stuck EC1 on
the track that no one could see. The dispatcher may have put more than one ec1 on
the tracks and deleted it without completing the read back for those EC1.
So from a dispatcher perspective there wasn’t any ec1 on track and in the authority
inquiry. But the system still saw that there was a EC1 at coral track 104 and 202,
because of that track blocks did not work.
ASTS
Closed -
Explained 03/16/18 N NA
56 3 CTC 03/29/18
distributio
n list
Last night I was clearing train ID’s from the
simulator. Then the computer froze so I rebooted
the computer and started the CAD as prescribe for
the simulator. I relogged in to red hat after getting
the CAD back up I was unable to log back in. I keep
getting and error message due to sever time out.
Also all the CP’s are red. Please let me know if
there is anything I can do to help getting it back
online.
Torrando
Station
SFRTA
Due to a incorrect shutdown the training machine the ats files system and the
database was corrupted, ASTS rebuilt the Database and file system.
ASTS
Closed -
Explained 04/02/18 N NA
57 3 CTC 03/31/18
distributio
n list
At about 1345 when one of our dispatchers was
getting relieved, we couldn’t log him out of the
system. Either through log-off or the dispatch
transfer. The system kept prompting invalid
password even though the dispatcher was typing
in the correct one. The dispatcher was Dean
Robinson under user id: 144. The Dispatch
Supervisor was able to force log-off Dean using the
Database Maintainer features. After doing so we
tested by having him log-in and out and everything
worked as intended. Tri-Rail
SFRTA
upon investigation this is user issue and has been resolved
ASTS
Closed -
Explained 03/31/18 N NA
58 3 CTC 04/01/18
800
number
The dispatcher called this morning with help with
login, the dispatcher has reach maximum login
attempts. Someone with db maint access can do a
bypass. Also we need to verify that someone else
beside him can log into that machine as well,
machine name is sfrwrk002
SFRTA
upon investigation this is user issue and has been resolved
ASTS
Closed -
Explained 04/01/18 N NA
Page 13 of 21
SFRTA_Maintenance_Project_Issues_2018_05_10Is
sue
#
Pri
ori
ty
Sub
-Sys
tem
Date
Reported
How
Reported
Issue
Re
po
rte
d B
y
Comments
Ow
ne
r
Stat
us Date
Resolved Serv
ice
Dis
rup
tio
n?
Do
wn
tim
e (
min
ute
s)
Root Cause
59 3
Solar
Winds 04/27/18
distributio
n list
Email from Alex Villares on 04/27/18, 1:56pm
Paul,
Can you investigate the following alert?
"Indexes with fragmentation over 90% found
during DB maintenance."
<sent a picture of the Solarwinds screen>
SFRTA
PK repsonded to Alex on 04/27/18, 2:54pm
Asked Alex a few questions wanting to get further details and Alex responded this
was an "error" they were receiving from Solarwinds at West Palm Beach (WPB)
04/30/18:
Monitoring the issue
ASTS Open N NA
60 3 CTC 04/30/18
distributio
n list
Email from Alex Villares on 04/30/18, 10:37am:
Paul/Shakir,
Something is down at West Palm Beach. AT&T
confirmed that the T1 is up. Please advise.
<sent a picture of the Solarwinds screen>
SFRTA
PK repsonded to Alex on 04/30/18, 01:12pm
Hi Alex,
Per our maintenance agreement we do not have any responsibility for the AT&T or
the ruggedcom.
However, I did run this by our technical folks here.
Some things they suggested that you can do follow:
1. Check T1 with loop back test on the wall
2. Check ruggedcom T1 module with loopback test.
3. Check T1 if it is plugged in properly at the wall and the switch.
4. Reboot ruggedcom if still not working. Obviously need to do that after midnight.
No one from ASTS has changed any configuration
These are suggestions based on our knowledge and experience with the system.
You probably want to contact those responsible for maintaining AT&T and
ruggedcom as well.
SFRTA
Closed -
Explained 04/30/18 N NA
Page 14 of 21
Name Preventative Maintenance Checklist April 2018
Date 5/2/2018
Machine
Programs to check
CPU Usage (pss)
Comments:
Disk Usage (df -h)
Comments: Program Logs - grep
SEVERE ~/etc/*.stderrout > temp.txt
New core files produced in
~/bin/asp?
If yes, task responsible for core: Notes
DBC Server A (PB)
SFRDBC001
192.168.100.22
DBC Server B (PB)
SFRDBC002
192.168.100.23
Nothing Reported
almsrv, almsvr, asp, cfgsvr, ctc,
ela, fiosrv, lgr, mfmt, mss, scx, ssa,
tcisrv, xmi
All tasks under 10% cpu usage
Nothing Reported
Nothing Reported
Nothing Reported
almsrv, almsvr, asp, cfgsvr, ctc,
ela, fiosrv, lgr, mfmt, mss, scx, ssa,
tcisrv, xmi
All tasks under 10% cpu usage
Nothing Reported
71%
21%
Nothing Reported22%Workstartion #2 (PB)
SFRWRK002
192.168.100.11
Workstation #3 (PB)
SFRWRK003
192.168.100.12
almui, asp, dsm, dte, mfmt, mmi,
mss, scx, sec, ssa, tci, xmi
All tasks under 10% cpu usage
(normal)almui, asp, dsm, dte, mfmt, mmi,
mss, scx, sec, ssa, tci, xmi
All tasks under 10% cpu usage
(normal)
no new cores
39%
35%
no new cores
no new cores
Primary Dispatch Center
Nothing Reported
17% no new cores
no new cores
17% no new cores
CTC Server A (PB)
SFRCTC001
192.168.100.20
CTC Server B (PB)
SFRCTC002
192.168.100.21
Workstartion #1 (PB)
SFRWRK001
192.168.100.10
almsrv, almsvr, asp, cfgsvr, ctc,
ela, fiosrv, lgr, mfmt, mss, scx, ssa,
tcisrv, xmi
All tasks under 10% cpu usage
almsrv, almsvr, asp, cfgsvr, ctc,
ela, fiosrv, lgr, mfmt, mss, scx, ssa,
tcisrv, xmi
All tasks under 10% cpu usage
almui, asp, dsm, dte, mfmt, mmi,
mss, scx, sec, ssa, tci, xmi
All tasks under 10% cpu usage
(normal)
no new cores
Page 15 of 21
Machine
Programs to check
CPU Usage (pss)
Comments:
Disk Usage (df -h)
Comments: Program Logs - grep
SEVERE ~/etc/*.stderrout > temp.txt
New core files produced in
~/bin/asp?
If yes, task responsible for core: Notes
Primary Dis
Workstation #5 (PB)
SFRWRK005
192.168.100.14
almui, asp, dsm, dte, mfmt, mmi,
mss, scx, sec, ssa, tci, xmi
All tasks under 10% cpu usage
(normal)
N/A Nothing Reported no new cores
no new cores
Nothing Reported
Nothing Reported
almsrv, almsvr, asp, cfgsvr, ctc,
ela, fiosrv, lgr, mfmt, mss, scx, ssa,
tcisrv, xmi
N/A
almsrv, almsvr, asp, cfgsvr, ctc,
ela, fiosrv, lgr, mfmt, mss, scx, ssa,
tcisrv, xmi
N/A
almsrv, almsvr, asp, cfgsvr, ctc,
ela, fiosrv, lgr, mfmt, mss, scx, ssa,
tcisrv, xmi
N/A
almsrv, almsvr, asp, cfgsvr, ctc,
ela, fiosrv, lgr, mfmt, mss, scx, ssa,
tcisrv, xmi
N/A
almui, asp, dsm, dte, mfmt, mmi,
mss, scx, sec, ssa, tci, xmi
All tasks under 10% cpu usage
(normal)
Workstation #4 (PB)
SFRWRK004
192.168.100.13
almui, asp, dsm, dte, mfmt, mmi,
mss, scx, sec, ssa, tci, xmi
All tasks under 10% cpu usage
(normal)
hmisrv, ordbsrv, corbasrv,
nameserv, eventserv, asp, mfmt,
mss, stp, xmi
All tasks under 10% cpu usage
(normal)
WBI Server (PB)
SFRWBI001
192.168.100.38
CTC Server A (WPB)
SFRCTC003
192.168.200.20
CTC Server B (WPB)
SFRCTC004
192.168.200.21
DBC Server A (WPB)
SFRDBC003
192.168.200.22
DBC Server B (WPB)
SFRDBC004
192.168.200.23
Training workstation (PB)
SFRTRN001
192.168.100.5
Nothing Reported15%
Nothing Reported13%
Nothing Reported
no new cores
28% no new cores
38% no new cores
no new cores
24%
Disaster Recover/Backup Dispatch Center
Nothing Reporteddf
Nothing Reported28% no new cores
no new cores
Page 16 of 21
Machine
Programs to check
CPU Usage (pss)
Comments:
Disk Usage (df -h)
Comments: Program Logs - grep
SEVERE ~/etc/*.stderrout > temp.txt
New core files produced in
~/bin/asp?
If yes, task responsible for core: Notes
Nothing Reported
Nothing Reported
N/A
Nothing Reported
no new cores
no new cores
no new cores
no new cores
Not connected, no route
to host
N/A
Nothing Reported
almui, asp, dsm, dte, mfmt, mmi,
mss, scx, sec, ssa, tci, xmi
N/A
almui, asp, dsm, dte, mfmt, mmi,
mss, scx, sec, ssa, tci, xmi
N/A
Workstartion #7 (WPB)
SFRWRK007
192.168.200.11
Workstartion #8 (WPB)
SFRWRK008
192.168.200.12
hmisrv, ordbsrv, corbasrv,
nameserv, eventserv, asp, mfmt,
mss, stp, xmi
N/A
WBI Server (WPB)
SFRWBI002
192.168.200.38
almui, asp, dsm, dte, mfmt, mmi,
mss, scx, sec, ssa, tci, xmi
Workstartion #9 (WPB)
SFRWRK009
192.168.200.13
Workstartion #6 (WPB)
SFRWRK006
192.168.200.10
almui, asp, dsm, dte, mfmt, mmi,
mss, scx, sec, ssa, tci, xmi
N/A
14%
11%
17%
9%
Page 17 of 21
PROJECT
NAME
ASSET
NAME
DATE
CHECKED TYPE NAME SUBTYPE_NAME ACTION_NAME STATUS_NAME COMMENTS CREATED_ON CREATED_BY
SFRTA
Not
specified 04/06/18 Oracle
Check ASM Disk Group Space
Check Backups
Check Clusterware Logs
Check DataGuard Log Shipping
Check Database Logs
Check Grid Verify Targets Online
Check Indexes Valid
Check Tablespaces
Check VPN
Check disk space on DB Servers No Action Needed No warnings or errors 04/06/18 PENROSBJ
SFRTA
Pompano
Beach -
SFRSAN001 04/06/18 SAN
Check Alerts
Check Logs
No Action Needed No warnings or errors 04/06/18 FERGUSTR
SFRTA
West Palm
Beach -
SFRSAN002 04/06/18 SAN
Check Alerts
Check Logs
No Action Needed No warnings or errors 04/06/18 FERGUSTR
SFRTA
Not
specified 04/06/18 VMWare
Check Host Status
Check VMs Status No Action Needed No warnings or errors 04/06/18 FERGUSTR
SFRTA
Not
specified 04/06/18
Citrix
XenServer Check Solarwinds No Action Needed No warnings or errors 04/06/18 FERGUSTR
SFRTA
Not
specified 04/06/18 Windows
Check Neverfail installation
No Action Needed No warnings or errors 04/06/18 FERGUSTR
SFRTA
Not
specified 04/06/18 Hardware
Check for HW errors from DRAC/iLO
No Action Needed No warnings or errors 04/06/18 FERGUSTR
SFRTA
Not
specified 04/06/18 Linux
Check /var/log/messages
Check DNS (if used)
Check VPN
Check for file systems ~>95%
Check if /archive exists and if it's mounted and list
directory
Check memory (minus buffers) and swap space
Check ntp peers for synched peers
Multipath for Oracle
Ping Tests for network interfaces
Printer queues are accepting jobs
Touch a file on each mounted RW filesystem
Uptime to see if anything was reset
Verify runlevels (3 Server, 5 Wrk) Collect Logs No warnings or errors 04/06/18 SCHROCDE
Page 18 of 21
PROJECT
NAME
ASSET
NAME
DATE
CHECKED TYPE NAME SUBTYPE_NAME ACTION_NAME STATUS_NAME COMMENTS CREATED_ON CREATED_BY
SFRTA
Not
specified 04/13/18 Linux
Check /var/log/messages
Check DNS (if used)
Check VPN
Check for file systems ~>95%
Check if /archive exists and if it's mounted and list
directory
Check memory (minus buffers) and swap space
Check ntp peers for synched peers
Multipath for Oracle
Printer queues are accepting jobs
Touch a file on each mounted RW filesystem
Uptime to see if anything was reset
Verify runlevels (3 Server, 5 Wrk) Collect Logs No warnings or errors 04/13/18 FACCIAM
SFRTA
Not
specified 04/13/18 Oracle
Check ASM Disk Group Space
Check Backups
Check Clusterware Logs
Check DataGuard Log Shipping
Check Database Logs
Check Grid Verify Targets Online
Check Indexes Valid
Check Tablespaces
Check disk space on DB Servers No Action Needed No warnings or errors 04/13/18 DYGAAR
SFRTA
Pompano
Beach -
SFRDBC001 04/13/18 Oracle
Check Archiver status and available storage on /archive
file system
Check Indexes Valid
Check Tablespaces
Check disk space on DB Servers
Check for backups in processing of data in _STAGE tables
Check recent DB errors in DB_COMMAND_MSG
Check status of DBMS Jobs/Scheduler
Notified ASTS Team No warnings or errors
Notified ASTS Maintenance team that there
wasn't a dormant AuthSrv task running, only
the active one. 04/13/18 ANGELRJ
SFRTA
Pompano
Beach -
SFRSAN001 04/13/18 SAN
Check Alerts
Check Logs
No Action Needed No warnings or errors 04/13/18 FERGUSTR
SFRTA
West Palm
Beach -
SFRSAN002 04/13/18 SAN
Check Alerts
Check Logs
No Action Needed No warnings or errors 04/13/18 FERGUSTR
SFRTA
Not
specified 04/13/18 VMWare
Check Host Status
Check VMs Status No Action Needed No warnings or errors 04/13/18 FERGUSTR
SFRTA
Not
specified 04/13/18
Citrix
XenServer Check Solarwinds No Action Needed No warnings or errors 04/13/18 FERGUSTR
SFRTA
Not
specified 04/13/18 Windows
Check Neverfail installation
No Action Needed No warnings or errors 04/13/18 FERGUSTR
SFRTA
Not
specified 04/13/18 Hardware
Check for HW errors from DRAC/iLO
No Action Needed No warnings or errors 04/13/18 FERGUSTR
Page 19 of 21
PROJECT
NAME
ASSET
NAME
DATE
CHECKED TYPE NAME SUBTYPE_NAME ACTION_NAME STATUS_NAME COMMENTS CREATED_ON CREATED_BY
SFRTA
Pompano
Beach -
SFRSAN001 04/20/18 SAN
Check Alerts
Check Logs
No Action Needed No warnings or errors 04/20/18 FERGUSTR
SFRTA
West Palm
Beach -
SFRSAN002 04/20/18 SAN
Check Alerts
Check Logs
No Action Needed No warnings or errors 04/20/18 FERGUSTR
SFRTA
Not
specified 04/20/18 VMWare
Check Host Status
Check VMs Status No Action Needed No warnings or errors 04/20/18 FERGUSTR
SFRTA
Not
specified 04/20/18
Citrix
XenServer Check Solarwinds No Action Needed No warnings or errors 04/20/18 FERGUSTR
SFRTA
Not
specified 04/20/18 Windows
Check Neverfail installation
No Action Needed No warnings or errors 04/20/18 FERGUSTR
SFRTA
Not
specified 04/20/18 Hardware
Check for HW errors from DRAC/iLO
No Action Needed No warnings or errors 04/20/18 FERGUSTR
SFRTA
Not
specified 04/20/18 Oracle
Check ASM Disk Group Space
Check Backups
Check Clusterware Logs
Check DataGuard Log Shipping
Check Database Logs
Check Grid Verify Targets Online
Check Indexes Valid
Check Tablespaces
Check disk space on DB Servers No Action Needed No warnings or errors 04/20/18 PENROSBJ
SFRTA
Not
specified 04/27/18 Linux
Check /var/log/messages
Check DNS (if used)
Check VPN
Check for file systems ~>95%
Check if /archive exists and if it's mounted and list
directory
Check memory (minus buffers) and swap space
Check ntp peers for synched peers
Multipath for Oracle
Printer queues are accepting jobs
Touch a file on each mounted RW filesystem
Uptime to see if anything was reset
Verify runlevels (3 Server, 5 Wrk) Collect Logs No warnings or errors 04/27/18 FACCIAM
SFRTA
Not
specified 04/27/18 Oracle
Check ASM Disk Group Space
Check Backups
Check Clusterware Logs
Check DataGuard Log Shipping
Check Database Logs
Check Grid Verify Targets Online
Check Indexes Valid
Check Tablespaces
Check disk space on DB Servers No Action Needed No warnings or errors 04/27/18 DYGAAR
Page 20 of 21
PROJECT
NAME
ASSET
NAME
DATE
CHECKED TYPE NAME SUBTYPE_NAME ACTION_NAME STATUS_NAME COMMENTS CREATED_ON CREATED_BY
SFRTA
Not
specified 04/20/18 Linux
Check /var/log/messages
Check DNS (if used)
Check VPN
Check for file systems ~>95%
Check if /archive exists and if it's mounted and list
directory
Check memory (minus buffers) and swap space
Check ntp peers for synched peers
Multipath for Oracle
Ping Tests for network interfaces
Printer queues are accepting jobs
Touch a file on each mounted RW filesystem
Uptime to see if anything was reset
Verify runlevels (3 Server, 5 Wrk) Collect Logs No warnings or errors 04/27/18 SCHROCDE
SFRTA
Not
specified 04/27/18 Hardware
Check VPN
Check for HW errors from DRAC/iLO No Action Needed No warnings or errors 04/27/18 MCBURNG
SFRTA
Not
specified 04/27/18 SAN
Check /archive Storage Sapce
Check Alerts
Check Logs
Check Oracle LUN Space
Check VMWare/Citrix LUN Space
Check VPN
Check network links, iSCSI and NFS No Action Needed No warnings or errors 04/27/18 MCBURNG
SFRTA
Not
specified 04/27/18 VMWare
Check DataStore Space
Check Host Status
Check Logs
Check VMs Status
Check VPN No Action Needed No warnings or errors 04/27/18 MCBURNG
SFRTA
Pompano
Beach -
SFRDBC001 04/27/18 Oracle
Check Archiver status and available storage on /archive
file system
Check Indexes Valid
Check Tablespaces
Check disk space on DB Servers
Check for backups in processing of data in _STAGE tables
Check recent DB errors in DB_COMMAND_MSG
Check status of DBMS Jobs/Scheduler No Action Needed No warnings or errors No issues found 04/27/18 ANGELRJ
Page 21 of 21
AGENDA ITEM NO. B
Actual Actual April FY '18 FY '17 FYTDApril April '18 vs.'17 Rider ship Rider ship '18 vs '17
Riders 2018 2017 % To Date To Date %
M-F 320,067 297,050 7.7% 3,000,811 2,970,563 1.0%Saturday 30,813 38,673 -20.3% 308,946 297,120 4.0%Sunday 30,969 29,650 4.4% 266,581 256,699 3.8%Holidays - - 0.0% 28,683 16,346 75.5%
381,849 365,373 4.5% 3,605,021 3,540,728 1.8%
Note: Ridership figures are based on daily reports from Herzog
AGENDA REPORTSOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITY
GOVERNING BOARD MEETINGMay 24, 2018
APRIL RIDERSHIP
Total monthly ridership for April has increased 4.5% when compared to April of last year. Weekday ridership has increased by 7.7%, while the average weekday ridership inApril 2017 was 14,853 per day versus 15,241 per day for 2018. Total weekend ridership for the fiscal year has increased by 5.9% when compared to last year. Total fiscal year ridership is up by 1.8% over the prior year.
Revenue is shown in Chart 3. Chart 2 shows ridership month-to-month and Chart 1 combines revenue and ridership month-to-month.
100,000
400,000
700,000
1,000,000
1,300,000
July Aug Sept Oct Nov Dec Jan Feb March April May June
Mon
thly
Rev
enue
/Rid
ers
`
Chart 1 - SFRTA Riders and Revenue Trends
FY 17-18 Revenue FY 16-17 Revenue FY 17-18 Riders FY 16-17 Riders
333,602
385,150
253,477
386,156
369,299
358,314
378,114
366,837
392,223
381,849
312,817
349,603
353,636
320,467
356,005
368,243
362,950
349,685
401,949
365,373
377,548
250,000
275,000
300,000
325,000
350,000
375,000
400,000
July Aug Sept Oct Nov Dec Jan Feb March April May
Mon
thly
Rid
ers
Chart 2 - SFRTA Riders
FY 17-18 Riders FY 16-17 Riders
`
$1,037,968
$1,086,698
$715,417
$1,119,986
$1,122,787
$1,115,878
$1,173,091
$1,091,837
$1,219,214
$1,135,105
$996,480
$1,058,458$999,512
$966,914
$1,060,210
$1,070,224
$1,146,752
$1,029,416
$1,219,097
$1,086,661
$1,082,272
$985,663
$710,000
$770,000
$830,000
$890,000
$950,000
$1,010,000
$1,070,000
$1,130,000
$1,190,000
July Aug Sept Oct Nov Dec Jan Feb March April May June*
Mon
thly
Rev
enue
Chart 3 - SFRTA Revenue
FY 17-18 Revenue FY 16-17 Revenue
OTP End To End 93.33%OTP Station To Station 90.30%
DELAY CAUSES NO. OF INCIDENTS DAYS
NO. OF LATE TRAINS
PERCENT OF TOTAL TRAINS
PERCENT OF DELAYED TRAINS
PD/FD ACTIVITY 6 7 0.5% 8.0%CSX FREIGHT 0.0% 0.0%CSX LOCAL SWITCHER 2 4 0.3% 4.5%
PLANNED SERV. WORK-CONSTRUCTION 0.0% 0.0%VTMI MOW 2 5 0.4% 5.7%VTMI COMMUNICATIONS 0.0% 0.0%VTMI OUTSIDE COMMUNICATIONS 0.0% 0.0%VTMI SIGNAL & COMPONENTS 4 9 0.7% 10.2%HTSI POMPANO DISPATCH 0.0% 0.0%HTSI MECHANICAL 6 12 0.9% 13.6%HTSI OPERATIONS 2 2 0.2% 2.3%AMTRAK 0.0% 0.0%FEC DELAYS-IRIS 0.0% 0.0%FEC DELAYS-TRAIN 6 8 0.6% 9.1%WEATHER 1 4 0.3% 4.5%ROW FOUL 3 14 1.1% 15.9%SFRTA TRANSPORTATION 0.0% 0.0%SFRTA RULE COMPLIANCE 0.0% 0.0%OTHER 3 4 0.3% 4.5%SFRTA-SCHEDULE CONFLICT 1 1 0.1% 1.1%3RD PARTY-GATE MALFUNCTION 8 12 0.9% 13.6%3RD PARTY-FATALITIES / VEHICLES
1 4 0.3% 4.5%ROTEM MECHANICAL 0.0% 0.0%BROOKVILLE MECHANICAL 1 1 0.1% 1.1%VANDALISM 0.0% 0.0%ADA 0.0% 0.0%EFFICIENCY TESTING 0.0% 0.0%DISPATCH SYSTEM 0.0% 0.0%HTSI STATIONS
0.0% 0.0%PRESIDENTIAL MOTORCADE 1 1 0.1% 1.1%LOSS OF COMMMERCIAL POWER SURGE 0.0% 0.0%SUB TOTAL 47 88 6.7% 100.0%
TRAINS LATE 76 5.8%TERMINATED 12 0.9%TERMINATED RECOVERY 0.0%ANNULLED 0.0%TRAINS ON TIME 1232 93.3%TOTAL 1320 100.0%
SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITYAPRIL 2018 ON TIME PERFORMANCE - CAUSAL ANALYSIS SUMMARY
AGENDA ITEM NO. C
Delay Cause Definitions
PD/FD Activity Police/fire or other agency activity impacting service over 5”.
CSX Freight – CSX SFRC Trains impacting service over 5”.
CSX Local Switcher – Local freight train operating on a portion of the SFRC serving customers by picking up and delivering
carloads of product impacting service over 5”.
Planned Service Work - Tie Gang – Programed large scale Tie replacement impacting service over 5” (generally performed at
night but speed restrictions as a result of the disturbed track may linger for 2 or 3 days due to track settling).
VTMI MOW – Maintenance of way (track) work or speed restrictions related to this work impacting service over 5”.
VTMI Communications – Communication problems like radio or communication lines including hardware and software VTMI
maintains under the MOW contract impacting service over 5”.
VTMI Outside Communications - Communication problems like cellular or leased lines hardware and software outside the
responsibility of VTMI impacting service over 5”.
VTMI Signal & Components – Signal or components of signal, or crossing problems impacting service over 5”.
HTSI POMP Dispatcher – SFRTA Contracted Dispatcher action or inaction impacting service over 5”.
HTSI Mechanical – Train Maintenance contractor action/inaction or failure impacting service over 5”.
HTSI – Train Operations contractor action/inaction impacting service over 5”.
AMTRAK – Amtrak passenger train impacting SFRTA trains impacting service over 5” (not related to Dispatch).
FEC Delay- Iris – Florida East Coast RR signal problems at the, at grade RR crossing just south of Metro-Rail station impacting
service over 5”
FEC Delay – Train – Florida East Coast train crossing the SFRC impacting service over 5”
Weather – Severe weather causing speed restriction or lightning strikes causing train performance problems impacting service over
5”.
ROW Foul – Something along the Right Of Way encroaching on the clearance necessary for trains to pass by on the tracks , or
near encroaching on train clearance from track impacting service over 5”
SFRTA Transportation – Late or running passenger/s to catch trains or other SFRTA actions or inactions impacting service over 5”
SFRTA Rule Compliance – Changes in rules or procedures impacting service over 5”
Other – Delays not specifically identified in other categories (usually very rare occurrences).
SFRTA-Schedule Conflict – Trains impacted by schedule in single track area generally South of Hialeah Market impacting service
over 5”.
3rd Party - Gate Malfunction – Road crossing gate damage by motorist or the public reporting a crossing problem and no problem
found when VTMI responds to the scene impacting service over 5”.
3rd Party - Fatalities/Vehicles – Accidents involving the train at road crossings or anywhere along the corridor impacting service
over 5”.
Rotem Mechanical – Hyundai-Rotem cab car or coaches under warranty not related to Maintenance contractors action or inactions
impacting service over 5”.
Brookville Mechanical – Brookville locomotives under warranty not related to Maintenance contractors action or inactions
impacting service over 5”.
Vandalism – Any vandalism at station, road crossings, yard or along the SFRC impacting service over 5”.
ADA – Boarding ADA criteria passengers impacting service over 5”.
Efficiency testing – Train crew operational testing while operating on the SFRC (Required by the FRA) impacting service over 5”.
Dispatch system – Failures of the Dispatch system not related to the MOW and Signal maintenance contractor action or inactions
impacting service over 5”.
HTSI Stations – Station maintenance work, repairs, or elevators out of service impacting service over 5”.
Presidential motorcade – Presidential travel on surface roads between PBIA and Mar-a-lago (recent Helicopter pad constructed at
Mar-a-Lago should minimize or eliminate this delay category Source- Palm Beach Daily news March 17, 2017).
On-Time PerformanceCalendar Year 2018
93.2
8
95.2
4
91.9
93.3
3
88.2
1
88.9
89.1
8
90.3
Perc
ent
END-TO-END STA-TO-STA
362,
950
349,
686 40
1,66
5
365,
379
377,
548
342,
510
333,
602 38
4,89
3
254,
422
386,
156
368,
299
358,
314
378,
114
366,
837
392,
223
381,
849
JAN FEB MAR APR MAY JUN JUL AUG SEP OCT NOV DEC
Tota
l Rid
ers
for M
onth
2017 2018
Monthly Ridership - 2018
AGENDA ITEM D
SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITY
CORPORATE AND COMMUNITY OUTREACH OFFICE
MONTHLY SUMMARY FOR APRIL 2018
GOVERNING BOARD MEETING
EMPLOYER DISCOUNT PROGRAM
The Employer Discount Program (EDP) added 9 new employers and 192 new employees during
the month of April.
The total number of EDP tickets recorded as sold was 2,161 and the total revenue generated was
reported as $124,100.95 in March.
NEW EDP COMPANIES
Employer Enrollment Date City
Able Signs 04/05/2018 Hollywood
Audio Video Systems, Inc. 04/05/2018 West Palm Beach
FL CDI, LLC 04/16/2018 Pompano Beach
G&G Developments 04/17/2018 Miami
Med Lab Diagnostics The Hayes Division 04/25/2018 Delray Beach
New Kendall Party Rental 04/26/2018 Miami
PL Developments 04/24/2018 Pompano Beach
Ygrene Energy Fund 04/30/2018 Miami
Zelman Style Interiors 04/03/2018 Pompano Beach
EDP SALES MISSIONS
Employer City
Able Signs Hollywood
Apple Printing & Advertising Fort Lauderdale
Audio Video Systems, Inc. West Palm Beach
Caregiver Media Group Hollywood
Far From Boring Promotional Products Boca Raton
FL CDI, LLC Pompano Beach
Florida Department of Highway Safety & Motor Vehicles Deerfield Beach
JM Family Enterprises Deerfield Beach
Med Lab Diagnostics The Hayes Division Delray Beach
NBTY/Rexall Sundown Boca Raton
New Kendall Party Rental Miami
Norwegian Cruise Lines Miami
Phoenix Tower International Boca Raton
PL Developments Pompano Beach
SBA Communications Corporation Boca Raton
Tesla Dania Beach
Town Center of Boca Raton Boca Raton
Ygrene Energy Fund Miami
Zelman Style Interiors Pompano Beach
CORPORATE AND COMMUNITY OUTREACH OFFICE
APRIL 2018 ACTIVITIES
8 80 FIRST & LAST MILE WORKSHOP
South Florida Regional Transportation Authority (SFRTA) Corporate and Community
Outreach (CCO) staff attended the 8 80 First & Last Mile Workshop held at the Stephen P. Clark
Government Center and hosted by the Miami Downtown Development Authority (DDA) and
Miami-Dade Transportation Planning Organization (TPO). This workshop focused on how a
priority in first and last mile infrastructure can increase overall ridership and maximize
investment in the Strategic Miami Area Rapid Transit Plan. Staff participated in this interactive
workshop focusing on the six corridors included in the SMART Plan to determine positive and
negative attributes and identify areas for improvement.
CITI BANK LATIN AMERICA
An SFRTA Corporate & Community Relations Liaison coordinated two transportation
fairs with Citibank Latin America. The company has offices in Fort Lauderdale and Miami, and
will be terminating its parking subsidy for employees at its Miami location next January. Both
office locations are accessible via Tri-Rail, to which staff promoted the CC-2 Commuter
Connector in Fort Lauderdale, and shared information about the Downtown Miami Link Project
in Miami, which should prove beneficial to employees.
COMMUTER CHALLENGE
SFRTA CCO staff participated in South Florida Commuter Services’ “Commuter
Challenge” at Stephen P. Clark Government Center in Miami. Mobility providers in the region
displayed transportation information on the first floor of Government Center, urging visitors to
give transit a try during the month of April. Tri-Rail’s various discount programs were promoted
as part of the effort, along with the Downtown Miami Link Project.
EARTH DAY EVENTS
SFRTA CCO staff was present at numerous Earth Day events hosted by Employer
Discount Program (EDP) Employers in the tri-county area. Among these were Barry University
in Miami; Citrix in Fort Lauderdale; Broward College in Davie; Johnson Controls in Boca
Raton; and Palm Beach Atlantic University in West Palm Beach. Information was shared during
these events on Tri-Rail’s Commuter Connectors, available discounts, airport connections and
the Bicycle Locker Program.
LET’S GO BIKING
The Broward Metropolitan Planning Organization (MPO) hosted a “Let’s Go Biking”
event in Davie, to promote the benefits of cycling, which included a 10-mile group ride at Vista
View Park. SFRTA CCO staff was present to promote Tri-Rail services to attendees, distributing
information regarding discount programs, airport connections and Downtown Miami Link
Project updates.
RIDE & PLAY
SFRTA hosted its annual “Ride & Play” event on Saturday, April 21, inviting the public
to enjoy a day of fun onboard the train, as well as discounts at various partnering destinations in
South Florida. As part of Ride & Play Day, passengers enjoyed onboard fun on select trains,
complete with costumed characters, balloon artists, magicians, giveaways, and a chance to meet
popular radio personalities from Y100, HOT 105, Amor 107.5 and KOOL 105.5. More than
1,000 people rode the four special trains that had these special activities and the day attracted
8,791 passengers, making it the 4th highest weekend ridership in the agency’s history.
SAFE KIDS DAY EVENT
An SFRTA Corporate & Community Relations Liaison was invited to staff an
information booth at the annual Safe Kids Day event held in West Palm Beach. Attendees
received information on Tri-Rail service, Commuter Connectors, airport connections, weekend
day pass, available discounts and railroad safety. Safe Kids Day is a yearly community event
where community organizations come together to celebrate children’s health and safety.
TRANFER STUDENT ORIENTATION
An SFRTA Corporate & Community Relations Liaison promoted student discounts and
the SFEC shuttle connection at FAU’s campus in Davie during a Transfer Student Orientation
event. The orientation provides an opportunity for incoming students to learn about the resources
available to them as students.
ONGOING COMMUNITY OUTREACH ACTIVITIES
Conference of Minority Transportation Officials (COMTO) Fort Lauderdale Chapter
Events
Women Transportation Seminar (WTS) South Florida Lunch and Learn
Total outreach activities: 18 / Total community events: 9
AGENDA ITEM NO. E
1
EXECUTIVE SUMMARY BUDGETED INCOME STATEMENT
April 2018
Revenue: Train Revenue For April 2018 year-to-date (YTD) actual train revenue is $748,334 or 7% below budget when compared to fiscal year (FY) 2018 YTD budgeted revenue. Actual revenue for FY 2018 YTD increased by $152,157 or 1% when compared to fiscal year (FY) 2017 YTD actual revenue. Expenses: As of April 2018, the SFRTA’s FY 2018 YTD actual expenses are $17,538,314 or 23% below budget when compared to the FY 2018 YTD budgeted expense. All expenses are well within budget. Train operations variance for FY 2018 YTD is $13,006,241 or 26% below budget when compared to the FY 2018 YTD budget and increased $4,836,364 or 11% when compared to FY 2017 YTD actual. This increase in FY 2018 can be mostly attributed to an increase in Train Operations Contract, Train Fuel expense, Revenue Collection and Security contract. The major categories within Train Operations include Train fuel expense, Train Operations contract, Security Expense, ROW maintenance, Revenue Collection, Insurance expense and Dispatch:
• Train Operations contract for FY 2018 YTD is $2,943,440 or 20% below budget when compared to the FY 2018 YTD budget, and increased $5,156,453 or 53% when compared to FY 2017 YTD actual.
• Security contract variance for FY 2018 YTD is $513,339 or 10% below budget
when compared to the FY 2018 YTD budget, and increased $130,849 or 3% when compared to FY 2017 YTD actual.
• Revenue Collection variance for FY 2018 YTD is $63,500 or 9% above budget when compared to the FY 2018 YTD budget and increased $250,891 or 53% when compared to FY 2017 YTD actual.
AGENDA ITEM NO. E
2
Expenses (Contd.)
• ROW maintenance expense for FY 2018 YTD is $7,596,262 or 55% below budget when compared to the FY 2018 YTD budget and decreased $193,292 or 1% when compared to the FY 2017 actual.
• Dispatch expense variance for FY 2018 YTD is $159,604 or 12% below budget
when compared to the FY 2018 YTD budget and decreased $1,395,667 or 50% when compared to the FY 2017 actual.
• Insurance expense variance for FY 2018 YTD is $641,519 or 27% below budget when compared to the FY 2018 YTD budget and decreased $88,787 or 4% when compared to the FY 2017 actual.
Train and Station Maintenance variance for FY 2018 YTD is $3,860,059 or 26% below budget when compared to the FY 2018 YTD budget and decreased $967,347 or 6% when compared to the FY 2017 actual.
• Train Maintenance variance for FY 2018 YTD is $2,358,409 or 24% below budget when compared to the FY 2018 YTD budget and decreased $3,976,307 or 29% when compared to FY 2017 YTD actual.
• Station Maintenance variance for FY 2018 YTD is $1,501,650 or 31% below
budget when compared to the FY 2018 YTD budget and increased $3,008,960 when compared to the FY 2017 actual.
Personnel Expenses variance for FY 2018 YTD is $956,702 or 11% below budget when compared to the FY 2018 YTD budget and decreased $67,974 or 1% when compared to the FY 2017 actual. Professional Services variance for FY 2018 YTD is $263,703 or 71% below budget when compared to the FY 2018 YTD budget and decreased $135,407 or 27% when compared to FY 2017 actual. Legal Departmental expenses variance for FY 2018 YTD is $17,872 or 3% below budget when compared to the FY 2018 YTD budget and increased $78,925 or 12% when compared to FY 2017 actual. This increase can be attributed to higher expenses associated with salary and wage expense. General and Administrative Expenses variance for FY 2018 YTD is $315,236 or 29% below budget when compared to the FY 2018 YTD budget and decreased $485,278 or 31%
AGENDA ITEM NO. E
3
Expenses (Contd.) when compared to FY 2017 actual. Some categories within General and Administrative expenses are Bank and Credit card fees, Telecommunications expense, Building Maintenance, Office Rent and Business Travel.
• Bank and credit card fees expense variance for FY 2018 YTD is $33,305 or 18% above budget when compared to the FY 2018 YTD budget and increased $56,710 or 44% when compared to FY 2017 actual.
• Telecommunications variance for FY 2018 YTD is approximately $118,129 or
41% below budget when compared to the FY 2018 YTD budget and decreased approximately $52,979 or 15% when compared to the FY 2017 YTD actual.
• Office rent represents the monthly maintenance and assessment associated with
the SFRTA’s Operation Center. For FY 2018 YTD actual is $4,196 or 14% above budget when compared to the FY 2018 YTD budget and decreased $526,557 when compared to the FY 2017 actual.
• Business Travel for FY 2018 YTD actual is $64,077 or 52% below budget when compared to the FY 2018 YTD budget and increased $32,085 or 36% when compared to the FY 2017 actual.
• Building maintenance for FY 2018 YTD actual is $7,534 or 11% below budget when compared to the FY 2018 YTD budget and decreased $41,848 or 37% when compared to the FY 2017 actual
Corporate & Community Outreach expenses variance for FY 2018 YTD is $114,255 or 39% below budget when compared to the FY 2018 YTD budget and increased $13,770 or 5% when compared to the FY 2017 actual.
Page 1 of 5
SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITYBUDGETED INCOME STATEMENT
APRIL 1, 2018 TO APRIL 30, 2018
APRIL 2018 APRIL 2018 OVER YTD YTD OVER 2017-18 2017-18MONTHLY ACTUAL (UNDER) BUDGETED ACTUAL (UNDER) ANNUAL REMAINING
REVENUE BUDGETED REVENUES MONTHLY REVENUES BUDGET REVENUES REVENUES BUDGET BUDGET BUDGET
Train Revenue 1,315,270$ 1,135,105$ (180,165)$ 11,566,315$ 10,817,981$ (748,334)$ 14,051,077$ 3,233,096$ Interest Income / Other Income 27,084 33,268 6,184 270,831 727,476 456,645 325,000 (402,476) TOTAL TRAIN REVENUE 1,342,354 1,168,373 (173,981) 11,837,146 11,545,457 (291,689) 14,376,077 2,830,620
OPERATING ASSISTANCEStatutory Operating Assistance 2,642,478 2,642,478 - 45,668,883 45,668,883 - 55,224,940 9,556,057 Statutory Dedicated Funding - - - - - - - - Statutory Maintenance of Way - - - - - - - - FHWA 457,479 457,479 - 3,679,917 3,679,917 - 4,000,000 320,083 FTA Assistance 2,501,098 2,501,098 - 11,779,877 11,779,877 - 22,121,917 10,342,040 FTA-JARC/New Freedom Program Fee - - - - - - - - Statutory Counties Contribution - - - 4,695,000 4,695,000 - 4,695,000 - Gas Tax Transfer - - - - - - 1,896,895 1,896,895 SFRTA Reserves - - - - - - 9,028,082 9,028,082 Other Funding - - - 558,257 215,673 (342,584) 797,081 581,408 TOTAL ASSISTANCE 5,601,055 5,601,055 - 66,381,934 66,039,350 (342,584) 97,763,915 31,724,565
TOTAL REVENUE 6,943,409 6,769,428 (173,981) 78,219,080 77,584,807 (634,273) 112,139,992 34,555,185
APRIL 2018 APRIL 2018 OVER YTD YTD OVER 2017-18 2017-18MONTHLY ACTUAL (UNDER) BUDGETED ACTUAL (UNDER) ANNUAL BUDGET
EXPENSES BUDGETED EXPENSES MONTHLY EXPENSES BUDGET EXPENSES EXPENSES BUDGET BUDGET AVAILABLE
Train Operations 6,046,555 6,426,248 379,694 63,406,542 50,400,301 (13,006,241) 75,499,651 25,099,350 Train and Station Maintenance 1,999,290 2,683,694 684,404 18,428,338 14,568,279 (3,860,059) 22,426,917 7,858,638 Personnel Expenses 851,010 848,076 (2,934) 10,043,918 9,087,216 (956,702) 11,745,937 2,658,721 Professional Fees 59,849 12,000 (47,849) 633,303 369,600 (263,703) 753,000 383,400 Legal 73,002 53,805 (19,197) 729,737 711,865 (17,872) 875,741 163,876 General & Administrative Expenses 139,764 148,006 8,242 1,399,919 1,084,683 (315,236) 1,679,446 594,763 Corporate & Community Outreach 100,775 126,923 26,148 407,750 293,495 (114,255) 609,300 315,805 Expenses Transferred to Capital (120,834) - 120,834 (1,208,333) (212,580) 995,753 (1,450,000) (1,237,420)
TOTAL EXPENSES 9,149,409 10,298,752 1,149,343 93,841,173 76,302,859 (17,538,314) 112,139,992 35,837,133
NET INCOME / (LOSS) (2,206,000)$ (3,529,324)$ (1,323,324)$ (15,622,093)$ 1,281,948$ 16,904,041$ -$ (1,281,948)$
Page 2 of 3
Monthly Budget Monthly Actual FY 2018 FY 2018 FY 2017April 2018 April 2018 Variances YTD Budget YTD Actual Variances % YTD Actual Variances %
Revenues: Train Revenue 1,315,270$ 1,135,105$ (180,165)$ 11,566,315$ 10,817,981$ (748,334)$ -7% 10,665,824$ 152,157$ 1% Interest/Dividend Income 27,084 33,268 6,184 270,831 727,476 456,645 63% 1,236,398 (508,922) -41%
Total Train Revenue 1,342,354 1,168,373 (173,981) 11,837,146 11,545,457 (291,689) -3% 11,902,222 (356,765) -3%
Operating Assistance: Statutory Operating Assistance 2,642,478 2,642,478 - 45,668,883 45,668,883 - 0% 12,975,000 32,693,883 - Statutory Dedicated Funding - - - - - - - 9,975,000 (9,975,000) - Statutory Maintenance of Way - - - - - - - 18,468,704 (18,468,704) - FHWA 457,479 457,479 - 3,679,917 3,679,917 - 0% - 3,679,917 - FDOT JPA- MIC Station - - - - - - - - - - FTA Assistance 2,501,098 2,501,098 - 11,779,877 11,779,877 - - 7,173,615 4,606,262 64% FTA-JARC/New Freedom Program Fee - - - - - - - - - - FTA-JARC/New Freedom Program Match - - - - - - - - - - Statutory Counties Contribution - - - 4,695,000 4,695,000 - - 4,695,000 - - Gas Tax Transfer - - - - - - - - - - SFRTA Reserves - - - - - - - - - - Other Funding - - - 558,257 215,673 (342,584) - - 215,673 -
Total Operating Assistance 5,601,055 5,601,055 - 66,381,934 66,039,350 (342,584) - 53,287,319 12,752,031 -
Total Revenue 6,943,409 6,769,428 (173,981) 78,219,080 77,584,807 (634,273) -1% 65,189,541 12,395,266 19%
SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITYACTUAL VS BUDGET REPORT
APRIL 30, 2018 & 2017
Curent Year Prior Year Comparison
Page 3 of 3
Monthly Budget Monthly Actual FY 2018 FY 2018 FY 2017April 2018 April 2018 Variances YTD Budget YTD Actual Variances % YTD Actual Variances %
SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITYACTUAL VS BUDGET REPORT
APRIL 30, 2018 & 2017
Curent Year Prior Year Comparison
Expenses:Train Operations Train Operations Contract 1,653,275 3,537,977 1,884,702 17,817,743 14,874,303 (2,943,440) -20% 9,717,850 5,156,453 53% Train Operation - Fuel 581,572 719,878 138,307 5,815,717 5,825,119 9,402 0% 4,533,539 1,291,580 28% Emergency Bus Service 7,583 5,254 (2,329) 59,833 40,998 (18,835) -46% 51,432 (10,434) -20% Security Contract 562,341 737,090 174,750 5,623,405 5,110,066 (513,339) -10% 4,979,217 130,849 3% Feeder Bus 556,656 446,333 (110,323) 5,566,551 4,632,186 (934,365) -20% 4,643,944 (11,758) 0% Station Utilities 157,051 187,369 30,319 1,570,509 1,483,563 (86,946) -6% 1,584,174 (100,611) -6% EMS Boards 10,667 - (10,667) 98,667 2,874 (95,793) - 108,997 (106,123) - Revenue Collection 66,500 193,203 126,703 665,000 728,500 63,500 9% 477,609 250,891 53% Insurance 135,000 - (135,000) 3,030,000 2,388,481 (641,519) -27% 2,477,268 (88,787) -4% ROW Maintenance 2,151,658 292,936 (1,858,722) 21,516,577 13,920,315 (7,596,262) -55% 14,113,607 (193,292) -1% TVM Maintenance 10,500 - (10,500) 105,000 15,960 (89,040) - 102,697 (86,737) - Dispatch 153,754 306,208 152,454 1,537,540 1,377,936 (159,604) -12% 2,773,603 (1,395,667) -50%
Total Train Operations 6,046,555 6,426,248 379,694 63,406,542 50,400,301 (13,006,241) -26% 45,563,937 4,836,364 11%
Train and Station Maintenance Train Maintenance 1,300,649 2,161,275 860,626 12,010,660 9,652,251 (2,358,409) -24% 13,628,558 (3,976,307) -29% Station Maintenance 698,641 522,419 (176,222) 6,417,678 4,916,028 (1,501,650) -31% 1,907,068 3,008,960 -
Total Train and Station Maintenance 1,999,290 2,683,694 684,404 18,428,338 14,568,279 (3,860,059) -26% 15,535,626 (967,347) -6%
Personnel Expenses Salaries and Wages 646,791 617,518 (29,273) 7,268,384 6,723,443 (544,941) -8% 6,862,868 (139,425) -2% Taxes 42,613 46,730 4,118 546,129 488,563 (57,566) -12% 488,374 189 - Group Insurance 96,280 117,190 20,910 1,496,135 1,162,483 (333,652) -29% 1,113,861 48,622 4% Pension 65,327 66,638 1,312 733,270 712,727 (20,543) -3% 690,087 22,640 3%
Total Personnel Expenses 851,010 848,076 (2,934) 10,043,918 9,087,216 (956,702) -11% 9,155,190 (67,974) -1%
Professional Services Auditing Services 4,182 - (4,182) 76,636 64,900 (11,736) -18% 505,007 (440,107) - Professional Services 55,667 12,000 (43,667) 556,667 304,700 (251,967) -83% - 304,700 -
Total Professional Services 59,849 12,000 (47,849) 633,303 369,600 (263,703) -71% 505,007 (135,407) -27%
Legal Salaries and Wages 41,368 37,790 (3,578) 412,693 478,931 66,238 14% 393,875 85,056 22% Taxes 2,282 2,917 636 22,815 27,898 5,083 18% 19,812 8,086 41% Group Insurance 4,503 4,290 (213) 45,023 35,586 (9,437) -27% 37,702 (2,116) -6% Pension 5,443 4,644 (799) 54,431 52,319 (2,112) -4% 52,197 122 0% Business Travel 721 1,793 1,072 7,909 3,895 (4,014) - 1,922 1,973 103% Membership/Dues/Subscriptions 372 252 (120) 3,717 2,321 (1,396) -60% 2,205 116 5% Seminars and Training 276 - (276) 2,754 1,383 (1,371) - - 1,383 - Legal Services 18,040 2,119 (15,921) 180,396 109,532 (70,864) -65% 125,227 (15,695) -13%
Total Legal 73,002 53,805 (19,197) 729,737 711,865 (17,872) -3% 632,940 78,925 12%
Page 4 of 3
Monthly Budget Monthly Actual FY 2018 FY 2018 FY 2017April 2018 April 2018 Variances YTD Budget YTD Actual Variances % YTD Actual Variances %
SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITYACTUAL VS BUDGET REPORT
APRIL 30, 2018 & 2017
Curent Year Prior Year Comparison
General and Administrative Expenses Bank & Credits Cards Fees 17,000 36,192 19,192 152,000 185,305 33,305 18% 128,595 56,710 44% Building Maintenance 7,917 18,727 10,811 79,167 71,633 (7,534) -11% 113,481 (41,848) -37% Business Travel 19,547 20,063 516 186,167 122,090 (64,077) -52% 90,005 32,085 36% Materials & Supplies 9,500 12,046 2,546 103,000 92,331 (10,669) -12% 81,758 10,573 13% Membership/Dues/Subscriptions 13,215 904 (12,311) 132,149 134,720 2,571 2% 130,166 4,554 3% Office Rent 3,177 1,839 (1,338) 26,047 30,243 4,196 14% 556,800 (526,557) -95% Printing & Advertising 10,555 2,761 (7,794) 97,541 22,031 (75,510) - 29,793 (7,762) -26% Seminars and Training 10,263 14,071 3,808 135,932 64,210 (71,722) - 37,538 26,672 71% Telecommunications 38,250 32,092 (6,158) 408,500 290,371 (118,129) -41% 343,350 (52,979) -15% Vehicle Operations & Maintenance 3,959 3,017 (942) 39,583 31,994 (7,589) -24% 28,199 3,795 13% Miscellaneous Personnel Expenses 6,384 6,294 (90) 39,833 39,755 (78) - 30,276 9,479 31%
Total General and Administrative Exp 139,764 148,006 8,242 1,399,919 1,084,683 (315,236) -29% 1,569,961 (485,278) -31%
Corporate & Community Outreach Expenses Special Programs 584 21 (563) 5,833 21 (5,812) - 190 (169) - Customer Service/Information 8,109 3,551 (4,558) 81,083 63,560 (17,523) -28% 45,216 18,344 41% Corporate & Community Outreach Contract 91,667 123,351 31,684 316,667 225,479 (91,188) - 229,334 (3,855) -2% Promotional Materials 417 - (417) 4,167 4,435 268 6% 4,985 (550) -11%
Total Corporate & Community Outreach Expenses 100,775 126,923 26,148 407,750 293,495 (114,255) -39% 279,725 13,770 5%
Transfers Expenses Transferred to Capital (120,834) - 120,834 (1,208,333) (212,580) 995,753 - - (212,580) -
- Total Reserves and Transfers (120,834) - 120,834 (1,208,333) (212,580) 995,753 - - (212,580) -
Total Expenses 9,149,409 10,298,752 1,149,343 93,841,173 76,302,859 (17,538,314) -23% 73,242,386 3,060,473 4%
NET INCOME / (LOSS) (2,206,000)$ (3,529,324)$ (1,323,324)$ (15,622,093)$ 1,281,948$ 16,904,041$ 1319% (8,052,845)$ 9,334,793$
5
SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITYSTATEMENTS OF NET ASSETS
APRIL 30, 2018
ASSETS
Current assets:Cash and cash equivalents 61,214,710$ Accounts receivable: State Grants 1,505,226 Federal Grants 16,553,953 Counties 2,658,335 Other 16,985,955Prepaid expenses 968,037 Total current assets 99,886,216
Noncurrent assets:Capital assets (net of accumulated depreciation) 551,528,103 Total noncurrent assets 551,528,103 Total assets 651,414,319$
DEFERRED OUTFLOWS OF RESOURCESDeferred outflows of resources related to pensions 5,118,921$
LIABILITIES
Current liabilities:Accounts payable 2,615,168$ Accrued liabilities 243,997 Compensated absences 475,978 Unearned revenue 2,374,379Due to other governmental units 22,151,220 Total current liabilities 27,860,742
Noncurrent liabilities:Compensated absences 713,968 Deposits 1,265,555Advances from FDOT 2,000,000Net pension liability 9,334,539Note payable 16,000,969 Total noncurrent liabilities 29,315,031 Total liabilities 57,175,773$
DEFERRED INFLOWS OF RESOURCESDeferred inflows of resources related to pensions 64,892$
NET POSITION
Net Investent in Capital Assets 551,528,103 Restricted for: Capital projects 40,101,577Unrestricted 7,662,895 Total net position 599,292,575$
AGENDA ITEM NO. F
FINANCE & INFORMATION TECHNOLOGY EXECUTIVE SUMMARY
INVOICES OVER $2,500 During April 2018, the SFRTA’s Accounts Payable division processed 356 invoices totaling $10,809,650.25 and disbursed 165 checks, excluding payroll, totaling $16,713,133.15 Invoices over $2,500 represent 40.6% (67 checks) of all invoices processed in the month of April, and represent 99.7% of the value ($16,650,419.93) of all checks processed in April 2018. Accounts Payable processed 82.1% (55checks) of the checks over $2,500 within the 21-25 days, with 91.0% (61 checks) of the checks over $2,500 processed within 30 days.
SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITYGOVERNING BOARD MEETING: MAY 24, 2018INFORMATION ITEM: PAYMENTS OVER $2,500APRIL 1 TO APRIL 30, 2018
RCVD APPRVD CHECK MAILED DAYSDATE DATE DATE CHECK PROCESS VENDOR DESCRIPTION AMOUNT
3/20/2018 3/21/2018 4/2/2018 4/2/2018 13 BV OIL COMPANY MARCH INVOICES 145,581.52 2/15/2018 3/15/2018 4/2/2018 4/2/2018 46 SFEC TMA 15-009 JAN 2018 7,836.13 3/16/2018 3/26/2018 4/4/2018 4/6/2018 21 APTIM CLIENT #711398 132,139.39 3/21/2018 3/26/2018 4/4/2018 4/6/2018 16 G4S SECURE SOLUTIONS USA CUST# 006038 02/26-03/04/18 118,341.41 3/22/2018 3/26/2018 4/4/2018 4/6/2018 15 KEOLIS TRANSIT SERVICES, LLC CONTRACT#15-016 03/01-03/15/18 BASE OPR SERV 223,927.49
4/2/2018 4/2/2018 4/4/2018 4/6/2018 4 MIAMI-DADE WATER & SEWER DEPT. ACCT #1971563099 MOW 02/08-03/13/18 18,156.90 3/29/2018 3/30/2018 4/4/2018 4/6/2018 8 AT&T ACCT # 831-000-6508-113 4,929.57 3/29/2018 3/30/2018 4/4/2018 4/6/2018 8 FLORIDA POWER & LIGHT MARCH MOW INVOICES 3,056.39 3/12/2018 3/27/2018 4/4/2018 4/6/2018 25 GOODMAN PUBLIC RELATIONS INC. MARKETING & PUBLIC RELATIONS 19,806.92 3/13/2018 3/29/2018 4/4/2018 4/6/2018 24 KAPLAN KIRSCH ROCKWELL LLP CLIENT MATTER ID #1917-21 GENERAL LEGAL ISSUES 8,027.32 2/28/2018 3/13/2018 4/4/2018 4/6/2018 37 TEAM ONE REPAIR REF #RMA112124 13,706.33 3/12/2018 3/26/2018 4/9/2018 4/9/2018 28 SFEC TMA 15-009 FEB 2017 7,462.50 3/28/2018 3/30/2018 4/9/2018 4/9/2018 12 BV OIL COMPANY MARCH INVOICES 159,949.87 3/28/2018 4/3/2018 4/11/2018 4/13/2018 16 G4S SECURE SOLUTIONS USA CUST #006038 03/19-03/25/18 124,060.64
4/3/2018 4/4/2018 4/11/2018 4/13/2018 10 ERICKS CONSULTANTS MARCH 2018 25,500.00 3/30/2018 4/5/2018 4/11/2018 4/13/2018 14 VEOLIA (VTMI) AGREEMENT NO. 14-012 11/13-11/17/17 71,225.30
4/2/2018 4/5/2018 4/16/2018 4/16/2018 14 MIAMI DADE MDT SERVICE LEVEL AGREEMENT 106,890.00 4/12/2018 4/10/2018 4/18/2018 4/20/2018 8 FLORIDA POWER & LIGHT APRIL INVOICES 6,807.06
4/6/2018 4/10/2018 4/18/2018 4/20/2018 14 G4S SECURE SOLUTIONS USA CUST #006038 04/02-04/08/18 255,393.42 4/9/2018 4/13/2018 4/18/2018 4/20/2018 11 AT&T ACCT #8003-000-2788 BILLING #CQSZ893801002 40,091.54 4/9/2018 4/12/2018 4/18/2018 4/20/2018 11 FLORIDA DEPT OF TRANSPORTATION CAM & UTILITY PYMNT FOR MIC 28,710.00
3/30/2018 4/16/2018 4/18/2018 4/20/2018 21 GOODMAN PUBLIC RELATIONS INC. MARKETING & PUBLIC RELATIONS 42,069.80 4/9/2018 4/11/2018 4/18/2018 4/20/2018 11 RESPECT OF FLORIDA CUST #90-COBRERA 7,324.12 4/9/2018 4/16/2018 4/20/2018 4/20/2018 11 HERZOG TRANSIT SERVICES, INC. CONTRACT #06-010 MARCH 2018 3,844,185.39 4/9/2018 4/12/2018 4/20/2018 4/20/2018 11 HERZOG TRANSIT SERVICES, INC. CONTRACT #06-010 MARCH 2018 2,649,695.24
4/10/2018 4/10/2018 4/23/2018 4/23/2018 13 BV OIL COMPANY MARCH AND APRIL INVOICES 277,902.36 4/17/2018 4/17/2018 4/24/2018 4/30/2018 13 ANSALDO STS USA, INC. CUST #140619 89,571.17 4/19/2018 4/20/2018 4/24/2018 4/27/2018 8 FLORIDA POWER & LIGHT APRIL INVOICES 10,306.34 4/17/2018 4/19/2018 4/24/2018 4/27/2018 10 G4S SECURE SOLUTIONS USA CUST #006038 04/09-04/15/18 117,709.78 4/18/2018 4/23/2018 4/24/2018 4/27/2018 9 KEOLIS TRANSIT SERVICES, LLC CONTRACT#15-016 03/16-03/31/18 BASE OPER BUS 443,002.56 4/16/2018 4/18/2018 4/24/2018 4/27/2018 11 AT&T BILL #561 N07-0000 000 19,669.00 4/16/2018 4/18/2018 4/24/2018 4/27/2018 11 AT&T BILLING #954 V34-7067 036 25,026.49
2/9/2018 4/16/2018 4/24/2018 4/27/2018 77 GOODMAN PUBLIC RELATIONS INC. MARKETING & PUBLIC RELATIONS 4,810.00 4/16/2018 4/23/2018 4/24/2018 4/27/2018 11 KANDRAS CONSTRUCTION CONSTRUCTION PSCC OFFICE 1ST FLOOR 4,871.75
4/2/2018 4/18/2018 4/24/2018 4/27/2018 25 VEOLIA (VTMI) AGREEMENT NO. 14-012 02/08-02/08/18 4,256.00 4/19/2018 4/23/2018 4/24/2018 4/27/2018 8 VERIZON WIRELESS ACCT# 820344207-00001 2,757.47 4/12/2018 4/19/2018 4/24/2018 4/27/2018 15 VITAL PRINTING CORPORATION ACCT #000843 3,545.90 4/16/2018 4/20/2018 4/25/2018 4/25/2018 9 MIAMI-DADE WATER & SEWER DEPT. ACCT #1917973425 MOW 02/27-03/28/18 2,641.70 4/17/2018 4/20/2018 4/30/2018 4/30/2018 13 BV OIL COMPANY APRIL INVOICES 159,774.57 4/17/2018 4/20/2018 4/30/2018 4/30/2018 13 SFEC TMA 15-009 MARCH 2017 8,209.75 4/19/2018 4/24/2018 4/30/2018 4/30/2018 11 BV OIL COMPANY APRIL INVOICES 81,875.64
41 TOTAL OPERATING EXPENDITURES 9,320,804.73
SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITYGOVERNING BOARD MEETING: MAY 24, 2018INFORMATION ITEM: PAYMENTS OVER $2,500APRIL 1 TO APRIL 30, 2018
RCVD APPRVD CHECK MAILED DAYSDATE DATE DATE CHECK PROCESS VENDOR DESCRIPTION AMOUNT
3/16/2018 3/27/2018 4/4/2018 4/6/2018 21 GANNETT FLEMING INC 10-017(B) WO #10 INV #42 49,788.53 3/16/2018 3/28/2018 4/4/2018 4/6/2018 21 GOVCONNECTION, INC ACCT# 13601007 26,392.22 3/16/2018 3/26/2018 4/4/2018 4/6/2018 21 JACOBS ENGINEERING GROUP INC. CONTRACT #14-010-B WO #4 INV #14 38,924.68 3/15/2018 3/26/2018 4/4/2018 4/6/2018 22 KIMLEY HORN AND ASSOCIATES 10-017 (H) WO #6 INV #30 72,356.26
3/9/2018 3/26/2018 4/4/2018 4/6/2018 28 XORAIL, INC. CONTRACT #17-006 PTC 1,092,779.73 3/22/2018 4/5/2018 4/11/2018 4/13/2018 22 EAC CONSULTING CONTRACT #10-017 18,515.54 3/19/2018 3/27/2018 4/11/2018 4/13/2018 25 GANNETT FLEMING INC 10-017(B) WO #10 INV #43 36,825.88 3/19/2018 4/4/2018 4/11/2018 4/13/2018 25 JACOBS ENGINEERING GROUP INC. CONTRACT #14-010-B WO #7 INV #3 17,059.56 3/15/2018 4/5/2018 4/11/2018 4/13/2018 29 KIMLEY HORN AND ASSOCIATES 15-014 (B) WO #8 INV #1 16,680.11
4/3/2018 4/5/2018 4/11/2018 4/13/2018 10 MAE VOLEN SENIOR CENTER REIMB OF NF GRANT FL-57-X050-00 JULY-DEC 2018 21,841.43 4/2/2018 4/5/2018 4/11/2018 4/13/2018 11 VEOLIA (VTMI) AGREEMENT NO. 14-012 02/01-02/14/18 117,486.75
3/20/2018 4/4/2018 4/11/2018 4/13/2018 24 WSP USA INC. CONTRACT #14-010-D WO #7 INV #15 22,515.13 3/28/2018 4/13/2018 4/18/2018 4/20/2018 23 ETA PHI SYSTEMS, INC. CONTRACT #17-008 30,266.20 3/26/2018 4/10/2018 4/18/2018 4/20/2018 25 HNTB CORPORATION 09-007B WO #17 INV #10 13,290.84 3/26/2018 4/6/2018 4/18/2018 4/20/2018 25 LEVERAGE INFORMATION SYSTEMS ACCT# 456 6,658.05 4/19/2018 4/19/2018 4/19/2018 4/19/2018 0 GULF BUILDING, LLC CONTRACT #15-001 RELEASE RETAINAGE 1,048,340.70
12/19/2017 12/20/2017 4/23/2018 4/23/2018 125 ALL ABOARD FLORIDA OPERATIONS LLC MIAMI DOWNTOWN LINK DRAW #6 2,315,402.03 12/19/2017 12/20/2017 4/23/2018 4/23/2018 125 ALL ABOARD FLORIDA OPERATIONS LLC MIAMI DOWNTOWN LINK DRAW #7 1,914,391.90
3/26/2018 4/18/2018 4/24/2018 4/27/2018 32 CH2M HILL, INC. WO #38 INV #8 4,704.93 4/18/2018 4/23/2018 4/24/2018 4/27/2018 9 CITY OF WEST PALM BEACH REIMB UNDER JARC GRANT FL-37-X08212/04-12/31/18 70,347.00 4/22/2018 4/18/2018 4/24/2018 4/27/2018 5 JACOBS ENGINEERING GROUP INC. CONTRACT #14-010-B WO #4 INV #15 45,127.48 3/29/2018 4/18/2018 4/24/2018 4/27/2018 29 KIMLEY HORN AND ASSOCIATES 15-014 (B) WO #4 INV #12 21,453.41 3/30/2018 4/18/2018 4/24/2018 4/27/2018 28 PARSONS TRANSPORTATION GROUP CONTRACT #15-014 (D) WO #2 INV #14 59,282.42
4/3/2018 4/18/2018 4/24/2018 4/27/2018 24 T.Y. LIN INTERNATIONAL 15-014-E WO #4 INV #4 60,226.17 4/2/2018 4/23/2018 4/24/2018 4/26/2018 24 VEOLIA (VTMI) AGREEMENT NO. 14-012 03/01-03/14/18 192,434.25
3/30/2018 4/18/2018 4/24/2018 4/27/2018 28 WSP USA INC. CONTRACT #14-010-D WO #2 INV #3 16,524.00 26 TOTAL CAPITAL EXPENDITURES 7,329,615.20
Item Total 67 TOTAL OPERATING EXPENSES AND CAPITAL EXPENDITURES 16,650,419.93
SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITYGOVERNING BOARD MEETING: MAY 24, 2018INFORMATION ITEM: SUMMARY OF PAYMENTS OVER $2,500APRIL 1 TO APRIL 30, 2018
PERCENTINVOICE NO. OF ACCUMCYCLE CHECKS TOTAL % 0-10 days 14 20.9% 20.9%
11-20 days 23 34.3% 55.2%
21-25 days 18 26.9% 82.1%
26-30 days 6 9.0% 91.0%
31-35 days 1 1.5% 92.5%
36-40 days 1 1.5% 94.0%
41-45 days 0 0.0% 94.0%
Over 45 days 4 6.0% 100.0%
TOTAL CHECKS 67 100%
SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITYPAYMENT CYCLE REPORT - APRIL 2018
FOR INVOICES $2,500 AND OVER
AGENDA ITEM NO. F
INVOICE % INVOICE %CYCLE OF TOTAL CYCLE OF TOTAL
0 -10 Days 22.9% 0 -10 Days 28.2%11-20 Days 32.7% 11-20 Days 37.7%21-25 Days 18.9% 21-25 Days 16.8%26-30 Days 9.6% 26-30 Days 6.0%31-35 Days 5.6% 31-35 Days 3.2%36-40 Days 3.8% 36-40 Days 2.3%41-45 Days 2.3% 41-45 Days 2.5%
Over 45 Days 4.1% Over 45 Days 3.4%
MONTHLY AVERAGEMONTHLY AVERAGEJULY 1, 2017 TO APRIL 30, 2018JULY 1, 2016 TO APRIL 30, 2017
0
50
100
150
200
250
300
01-10 11-20 21-25 26-30 31-35 36-40 41-45 45 >
AVERAGES FOR FY 2017 and FY 2018
FY 2017
FY 2018
VARIANCE %APRIL2017
APRIL2018
SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITYREVENUE REPORT - APRIL 2018
REVENUE - APRIL 2018
AGENDA ITEM NO. G
1,168,3731,112,878
941,592
193,513
33,268
862,668
225,170
25,040
Weekday SalesWeekend SalesOther Income
Total Revenue 555,495
8
-16
25
78,924
-31,657
8,229
FY 16/17 FY 17/18
One-Way
Roundtrip
12 Trips FF
Monthly
Monthly Reg. Pass
One-Way Discount
Roundtrip Discount
Monthly Discount
Monthly Disc. Reg. Pass
Stored Value
Card Deposits
Total Station Sales
SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITYREVENUE REPORT - APRIL 2018
APRIL2018
496,305.85
218,013.90
39,912.30
75,300.00
17,000.00
2,913.30
4,422.60
23,050.00
5,200.00
79,647.00
9,708.00
971,472.95
1,135,104.90
35,650.00
124,100.95
1,431.00
2.97
APRIL2017
468,908.35
229,675.45
38,607.80
60,900.00
16,100.00
3,084.90
4,614.00
21,400.00
4,950.00
80,688.45
8,986.00
937,914.95
1,087,838.15
30,000.00
116,573.20
0.00
2.98Average Fare
Palm Beach Schools
Employer Disc. Program
Group Tour Sales
Total Sales
PercentChange
6.00%
-5.00%
3.00%
24.00%
6.00%
-6.00%
-4.00%
8.00%
5.00%
-1.00%
8.00%
4.00%
4.00%
19.00%
6.00%
100.00%
0.00%
AGENDA ITEM NO. G
Station Sales:
Average Fares: FY 16/17 and FY 17/18
Sales by Ticket Type
FY 16/17 FY 17/18
2,450.003,350.00Pre-Paid -27.00%
SOUTH FLORIDA REGIONAL TRANSPORTATION AUTHORITYFARE EVASION REPORT
NOVEMBER 2017 THROUGH APRIL 2018
AGENDA ITEM NO.
428,845 3,594 106 3,488 116NOVEMBER 2017
409,417 3,722 102 3,620 115DECEMBER 2017
422,191 3,906 84 3,822 112JANUARY 2018
388,157 3,477 53 3,424 106FEBRUARY 2018
411,021 3,173 41 3,132 105MARCH 2018
426,180 2,405 60 2,345 112APRIL 2018
MONTH% Riders
Inspected# OF
WARNINGS# OF
CITATIONSTOTAL
VIOLATIONSTOTAL
INSPECTED
414,302 3,380 74 3,305 111AVERAGE
0.82FARE EVASION % 11,445.49FINES
Solicitation Status ReportApril 2018
AGENDA ITEM: H
H- Sol Rpt 0418 5/15/2018
Solicitation Solicitation Description of Services Advertise Document Pre-Submittal Due Date AwardNumber Type Date Available Conference Bids/Proposals Contract
18-001 RFP Banking Services 2/2/18 2/5/18 2/9/18 3/7/18 6/22/2018
18-002 ITB Locomotive Fueling Services 5/4/2018 5/7/2018 5/17/2018 5/31/2018 6/22/2018
Contract Actions ExecutedUnder The Executive Director's Authority
For The Month of April 2018
AGENDA ITEM NO: I
Page 2 of 3
Contract/ Purchase Contract /Project Description Contract AmountOrder No. Action $
15-020 CONTRACTOR: WSP Work Order $281,057.00
DESCRIPTION: Changeover from the current SFRTA Operating Rules and
Timetable Special Instructions for the South Florida Rail Corridor (SFRC), to the
General Code of Operating Rules (GCOR).
18-000223 CONTRACTOR: LEVERAGE INFORMATION SYSTEMS Purchase Order $61,720.80
DESCRIPTION: 16 LED Outdoor Message Center Signs at stations.
18-000234 CONTRACTOR: ULTRA TECH ENTERPRISES Purchase Order $14,288.00
DESCRIPTION: PTC Lab cab signal master with AC adapter & loop.
18-000215 CONTRACTOR: ONFIELD TECHNOLOGIES LLC Purchase Order $11,166.00
DESCRIPTION: Adaptive LED Panels.
18-000225 CONTRACTOR:ELECTRONIC DATA MAGNETICS INC. Purchase Order $10,905.00
DESCRIPTION: Thermal paper ticket stock.
18-000219 CONTRACTOR: THALES CONSULTING INC. Purchase Order $10,000.00
DESCRIPTION: CAFR software services.
Contract Actions ExecutedUnder The
Construction Oversight Committee's AuthorityFor The Month of April 2018
AGENDA ITEM: J
J-ConstOvrsgtCom 0418 5/15/2018
Contract AmountDate Signed Action $
N/A No Contract Actions were executed by the Construction Oversight Committee for the Month of April
2018 N/A N/A
Description
Contract Actions ExecutedUnder The General Counsel's Authority
For April 2018
AGENDA ITEM NO: N
N-ConActsLegall April 2018.xlsx 5/16/2018
Date Signed Contract /Purchase Order No. Contract Amount TermAction $
4/23/2018 Shutts and Bowen LLP Purchase Order 5,000.00 N/A
EEO Investigation / Environmental Issues 18-000222
Contract # 15-007