MTA - NEW YORK CITY TRANSIT 2 BROADWAY

NEW YORK, NY 10004

DIVISION OF MATERIEL www.mta.info/nyct/procure/nyctproc.htm

Vreplies@nyct.com

10E0281 NOTICE

-OF- ADDENDUM

ADDENDUM # 1

INCLUDES DRAWING(S): () YES (X) NO CURRENT OPENING/DUE DATE: 6/15/10

A _

NEW YORK CITY TRANSIT AUTHORITY RIDER TO CONTRACT DOCUMENTS Division of Materiel

8/05 463633v2 Schedule G Page 1

SCHEDULE G

CONTRACT No. 10E0281

The following changes, deletions and/or additions to the Contract Documents are hereby deemed included in the Contract by the attachment of this Rider: 1. OPERATING CONTRACT -BID - Item J, Price Schedule

The following subparagraph is added to Section J. 4. Class Award: This Contract will be awarded on a “class” basis, i.e., a single

award will be made to the lowest responsive and responsible Bidder based upon the total aggregate price for all items in each class set forth in the Price Schedule. Where the Price Schedule sets forth more than one class of items, the Bidder may bid on one or more or all of such classes, and the Bidder must bid on each item within a given class. A Bidder desiring to bid “no charge” on an item in a class must indicate this clearly. A submitted Price Schedule not setting forth the Bidder’s price for each item or “no charge” within a class may be deemed incomplete and is subject to being rejected regarding such class.

2. SPECIFIC CONTRACT PROVISIONS

ARTICLE 101 - DEFINITIONS - A new term is defined and added as follows: “Notice to Proceed” shall mean the notice which directs the Contractor to commence Work under this Contract. ARTICLE 103 - TERM OF CONTRACT - The provision to is deleted and replaced as follows: This Agreement shall become effective upon the date of the Notice of Award and shall continue in effect for a period of three (3) years from the date of the Notice to Proceed.

3. GENERAL CONTRACT PROVISIONS

The title and provisions of Article 204 are deleted and replaced as follows: ARTICLE 204 SUBCONTRACTING OR ASSIGNMENT A. Right to Subcontract. The Contractor shall advise the Authority in writing of any subcontract or sublet of any right, title or interest in the Contract which has been made by the Contractor. The Authority in its sole discretion may direct the Contractor to

RIDER TO CONTRACT DOCUMENTS

8/05 463633v2 Schedule G Page 2

terminate such subcontract or sublet arrangement based upon performance deficiencies and/or responsibility concerns.

B. No Right to Assign Without Consent. The Contractor shall not sell, assign, transfer or otherwise dispose of its interest in the Contract without the prior written consent of the Authority. Article 212 The following subparagraph appends the article entitled DISPUTES.

The Disputes Resolution Officer (“DRO”) assigned for the purposes of this Contract is the Labor & Employee Relations Officer, Department of Buses. Article 221.B. The portion of the paragraph beginning with “except that,” and continuing until the end of the paragraph, is hereby deleted.

4. IMPORTANT NOTICE TO BIDDERS

The estimated quantities are for bid evaluation purposes only. The Authority reserves the right to make multiple awards for each class and increase/decrease the dollar value of expenditures at its discretion.

Award Procedure for Applicant, Recurring and Miscellaneous Trips – Classes A,B,C,D,E,F,G: In order to adequately address Customer demand for this program, the Authority seeks to make multiple awards for this service. In its sole and absolute discretion the Authority shall determine the total number of awards to be made. Award will be made first to the lowest responsive and responsible Bidder and then to the next lowest responsive and responsible Bidder, and so forth and so on, in ascending price order until the Authority has made the total number of awards it determines to be appropriate. The Work will be shared amongst the multiple awardees based upon Customer demand and Customer choice. The Authority will supply the Customers with a list of awardees. The Customer will select whichever firm he or she desires. Shared Rides: Where the opportunity exists, the Authority encourages the Contractor to arrange shared rides amongst its Applicants and AAR Customers. Therefore, the Bidder shall indicate a single discount amount expressed as a fixed percentage that would be deducted from each and every one way trip price for any Customer who shares any portion of a trip.

RIDER TO CONTRACT DOCUMENTS

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5. IMPORTANT NOTICE TO BIDDERS WITH EXISTING CONTRACTS FOR VOUCHER BASED CAR SERVICE FOR PARATRANSIT:

Any firm currently providing Voucher Based Car Service for Paratransit services on behalf of the Authority pursuant to Contract No. 06K9572 or Contract No. 08L0026 (“Existing Contract”) which receives a Contract award pursuant to this solicitation (“New Contract”) may be required to continue to provide services under its Existing Contract for all or part of the remaining term under the Existing Contract. In such case, the CPI adjustment to the price per trip as provided by Article 108.C.9 of the New Contract shall be made upon the issuance of the Notice to Proceed with the Work under the New Contract.

Likewise, the Authority may determine to exercise its right to terminate an Existing Contract pursuant to Article 209 thereof in order to avail itself of more favorable pricing under the New Contract.

[END OF SECTION]

NEW YORK CITY TRANSIT AUTHORITY

Division of Materiel

Schedule K

OPPORTUNITIES FOR MINORITY AND WOMEN-OWNED BUSINESS

ENTERPRISES 2/02

NEW YORK CITY TRANSIT AUTHORITY OPPORTUNITIES FOR MBE/WBEs Division of Materiel ARTICLE 1 APPLICABILITY This Schedule is applicable to contracts in excess of $25,000 for labor, services, supplies, equipment, material or any combination of the foregoing; or for any contract in excess of $100,000 for the acquisition, construction, demolition, replacement, major repair or renovation of real property and improvement thereon when MBE/WBE goals have been established by the Authority for the Contract. ARTICLE 2 POLICY It is the policy of the Authority that Minority and Women-Owned Business Enterprises (MBE/WBEs) shall have the maximum opportunity to participate in the performance of this Contract. ARTICLE 3 GOALS The respective goal(s) specified for the utilization of minority and women-owned business enterprises expressed as a percentage of the amount of the total contract price that is attributable to work performed in New York State, including change orders issued pursuant to the change provisions of this Contract are:

10 % for MBE

and 5 % for WBE These goal percentages are subject to the requirements of the State MBE/WBE Law, the Regulations, and the provisions of this Contract. ARTICLE 4 OBJECTIONS TO GOALS: DISPROPORTIONATE ADVERSE IMPACT

OR INADEQUATE COMPETITION Although not required by the State MBE/WBE Law or the Regulations, the Authority allows a prospective Contractor or Subcontractor to object to either or both of the above specified goals pursuant to the following procedure. This procedure is separate and distinct from the procedures (which are described in Article 7 and Article 11 below) in the State MBE/WBE Law and the Regulations pursuant to which a firm may request that a goal be waived, or file a complaint. A. Grounds for Objection:

Any potential Contractor or Subcontractor may object to a goal on the basis that it will result in inadequate competition for a subcontract or for a group of subcontracts or on the basis that the goal will have a disproportionate adverse impact on a non-MBE/WBE company.

2/02 Schedule K Page 1 of 9

OPPORTUNITIES FOR MBE/WBEs B. Submission of Objection:

An objection shall be made in writing and shall be explained in detail. It must be received by the Procurement Representative at least ten (10) Authority business days prior to the date specified as the deadline for submission of bids.

C. Authority’s Determination of an Objection:

The objection will be evaluated and a final determination made on behalf of the Authority. Such determination is not subject to the administrative remedies set forth in the State MBE/WBE Law and the Regulations. While the objection is pending the firm filing the objection must assume that the submission deadline for a bid is unchanged and that the Bidder must comply with the contract MBE/WBE requirements identified in this Schedule. However, the Authority may, in its sole discretion, change the submission deadline.

ARTICLE 5 STATE DIRECTORY As part of the State MBE/WBE Law, the Empire State Development Corporation, Division of Minority and Women’s Business Development (NYS DMWBD) is empowered and requires its director (the “Director”), among other things, to promulgate a directory (the “State Directory”) of minority and women-owned business enterprises certified pursuant to the Regulations (“certified businesses”). Bidders may access the Directory on-line at www.empire.state.ny.us (once at the web site, click on “ESD’s Business Services; then click on “Minority/Women Business”). Bidders who have a question concerning the Directory should contact:

Empire State Development Division of Minority & Women Business Development

30 South Pearl Street Albany, NY 12245

Phone: (518) 292-5250 Fax: (518) 292-5803 NOTE: Under the State MBE/WBE Law and Regulations, Bidders can only use MBEs and WBEs listed in the State Directory. For the purpose of the federal government’s Disadvantaged Business Enterprise (DBE) Program, the Authority has certified certain minority and women-owned business enterprises as DBEs. A firm certified by the Authority as a DBE for the federal DBE program which is not listed in the State Directory may not be used to satisfy MBE/WBE goals established for this Contract. YOU MUST REFER TO THE STATE DIRECTORY. ARTICLE 6 MBE/WBE UTILIZATION PLAN A. Bidders have been furnished with forms relating to their MBE/WBE Utilization Plan which is required to be submitted in accordance with this subparagraph. The forms to be submitted are the “MBE/WBE Utilization Plan Form” (Form 15A.1) and the “Intent to Perform as Subcontractor/Subconsultant” form (Form 15A.4). Additional forms may be obtained from the Procurement Representative. 2/02 Schedule K Page 2 of 9

OPPORTUNITIES FOR MBE/WBEs B. The apparent low Bidder is required to submit the completed forms within seven (7) calendar days after it receives verbal notification of apparent low bidder status. All other bidders must submit their completed forms within seven (7) calendar days of verbal request for same. The Procurement Representative will confirm in writing a verbal notification. However, the time for responding is based upon the date the verbal notification was given. If a MBE/WBE Utilization Plan, as submitted, does not demonstrate that the Bidder will meet the goals set by the Authority for the Contract, the Bidder -- at the same time that it submits its MBE/WBE Utilization Plan -- must submit a request for a waiver pursuant to Article 7 below. For each MBE/WBE listed on the “MBE/WBE Utilization Plan Form” (Form 15A.1), the Bidder must submit an executed “Intent to Perform as a Subcontractor/Subconsultant Form” (Form 15A.4). The Form 15A.4 attests to the Authority and the Bidder that the Subcontractor/Subconsultant intends to enter into a formal agreement for the work described on the Form 15A.4 with the named Bidder, conditioned upon the named Bidder being awarded this Contract by the Authority. C. The Authority, in its sole discretion, may extend the deadline for submission of a Utilization Plan Form and an Intent to Perform as a Subcontractor/Subconsultant Form for a reasonable time. A request for an extension must be submitted to the Procurement Representative, in writing. D. All submissions must be delivered to the Division of Materiel to the attention of the Procurement Representative. E. Contractor representation: The listing of an MBE/WBE by a Bidder in its MBE/WBE Utilization Plan, particularly on the MBE/WBE Utilization Plan Form (Form 15A.1), shall constitute:

1. a representation by the Bidder to the Authority in regard to the MBE/WBE firm that: (a) it intends to use the firm for the Work specified in the MBE/WBE Utilization Plan; (b) on the basis of information known to it and after reasonable inquiry, it believes such MBE/WBE firm to be technically and financially qualified to perform the Work specified and that the firm is available to perform the Work; and (c) the firm identified is currently certified as either a MBE or WBE by the Empire State Development Corporation, Division of Minority & Women Business Development;

2. a commitment by the Bidder that, if it is awarded the Contract, it will enter into a subcontract with such MBE/WBE (or an approved substitute) in accordance with the MBE/WBE Utilization Plan;

3. a commitment by the Bidder that it will not substitute an MBE/WBE firm listed in its MBE/WBE Utilization Plan Form, unless the Authority gives its prior written approval in accordance with subparagraph F below;

4. if Bidder is an MBE/WBE and lists itself on the Bidder MBE/WBE Utilization Plan Form, a commitment that it will perform the Work indicated with its own workforce.

F. Substitutions: UNDER ALL CIRCUMSTANCES, NO SUBSTITUTION(S) OF MBE/WBE FIRMS DESIGNATED ON THE MBE/WBE UTILIZATION PLAN FORM (FORM 15A.1) MAY BE MADE WITHOUT THE AUTHORITY’S PRIOR WRITTEN 2/02 Schedule K Page 3 of 9

OPPORTUNITIES FOR MBE/WBEs APPROVAL. A REQUEST FOR SUBSTITUTION MUST BE MADE IN WRITING AND SHALL EXPLAIN THE REASON(S) FOR SUBSTITUTION. ARTICLE 7 WAIVERS A. When to Request a Waiver: A Bidder/Contractor must request a total or partial waiver of the goals for this Contract:

1. if the Contract has not yet been awarded, simultaneously with the Bidder’s submission of its MBE/WBE Utilization Plan if that plan does not demonstrate that the firm will meet the goals;

2. if the Contract has been awarded to the firm and its MBE/WBE Utilization Plan has been approved, the earlier of the following: a) promptly after the Contractor realizes that it will not meet the goals; b) prior to final payment on the Contract.

B. Waiver Form: A request for a waiver must be made by submitting a completed “Request for Total or Partial Waiver of MBE/WBE Goal(s) Pursuant to MBE/WBE Utilization Plan Form” (Form 15A.2) and the information specified below. Additional forms are available upon request from the Procurement Representative. C. Evaluation of Requests: The Division of Business Programs will evaluate and determine whether to grant a request for a total or partial waiver of goal requirements in accordance with the Regulations and on the basis of the information provided through Form 15A.2 and such other information as the Division of Business Programs deems relevant. The goals set by the Division of Business Programs are based on the criteria set forth in the Regulations. The central question always addressed by the Division of Business Programs when it receives a request for waiver is whether the Bidder/Contractor made good faith efforts to identify and afford subcontracting opportunities to MBEs and WBEs that were technically and financially qualified to perform the work specified, that were available to perform the work and that submitted competitive bids. D. Duplication/Conflict with Federal Laws: The Authority may waive the provisions of this Schedule for the Contractor or any of its Subcontractors that are in compliance with Federal laws and regulations concerning opportunities for minority and women-owned business enterprises which effectuate the purposes of this Schedule. A Contractor and/or Subcontractor requesting a waiver should forward its written request to the Procurement Representative, with copies to the Manager, Business Programs. Requests for a waiver should include copies of documentation supporting compliance with Federal laws. The Contractor and/or Subcontractor shall supply any additional information and/or documentation applicable to the request for a waiver that the Authority requests. Contractors and/or Subcontractors that intend to file a post-award request for a waiver will be subject to all pre-award MBE and WBE requirements set forth in the Contract documents. 2/02 Schedule K Page 4 of 9

OPPORTUNITIES FOR MBE/WBEs ARTICLE 8 GOOD FAITH EFFORTS The Authority may consider any criteria it determines relevant or which a Bidder/Contractor submits to document its good faith efforts, provided that the criteria set forth in the Regulations will also be considered for purposes of determining whether a Bidder/Contractor has documented good faith efforts. ARTICLE 9 DEFICIENCIES IN BIDDER/PROPOSER MBE/WBE UTILIZATION PLAN A. Within twenty (20) days of receipt of a Proposer’s/Bidder’s MBE/WBE Utilization Plan, the Authority will send a written notice to the Bidder of acceptance or deficiency of the MBE/WBE Utilization Plan. If the notice specifies that there is a deficiency, within seven (7) business days after receipt, the Bidder must deliver to the Procurement Representative a written response to the notice of deficiency. Failure to timely respond may be grounds for disqualification. B. The Authority may allow:

1. additional time to submit; or

2. additional submissions after the seven (7) business day period, based upon its determination that the Bidder is making a good faith attempt to submit a response or to correct the deficiencies.

ARTICLE 10 DISQUALIFICATION OF BIDDER The Authority will disqualify a Bidder as being non-responsible:

A. for failure to submit a MBE/WBE Utilization Plan;

B. for failure to respond to deficiencies in the MBE/WBE Utilization Plan notice in accordance with Article 9 above; or

C. upon a determination that the Proposer/Bidder’s MBE/WBE Utilization Plan does not indicate that the goal requirements will be met and the Bidder has not documented that it has made good faith efforts to develop a MBE/WBE Utilization Plan that satisfies goal requirements.

The Authority shall issue to a disqualified Bidder a notice of and statement of reasons for the Authority’s final decision. Where B or C above are the reason(s) for disqualification, the disqualified Bidder may request a hearing in accordance with the procedures outlined in Executive Law Article 15-A and the Regulations. ARTICLE 11 COMPLAINTS AGAINST THE AUTHORITY BY A CONTRACTOR

AFTER CONTRACT AWARD A. After a Contract has been awarded, a Contractor may file a complaint with the Executive Director of the Division of Minority and Women’s Business Development, asserting that the Authority unreasonably: 2/02 Schedule K Page 5 of 9

OPPORTUNITIES FOR MBE/WBEs

1. denied in whole or part a request for waiver of a goal;

2. determined that the Contractor is failing or refusing to comply with a goal; or

3. failed to grant or deny a request for waiver within twenty (20) days of its receipt of a completed form 15A.2.

B. The procedure and time limits for filing and resolving such a complaint are set forth in the Regulations. ARTICLE 12 COMPLAINTS BY THE AUTHORITY AGAINST A CONTRACTOR

AFTER CONTRACT AWARD A. After a Contract has been awarded, the Authority may file a complaint with the Executive Director asserting that:

1. a Contractor’s MBE/WBE Utilization Plan or response to a notice of deficiency is deficient;

2. a Contractor is unreasonably failing or refusing to comply with the goals for participation by MBEs and WBEs.

B. The procedure and time limits for filing and resolving a complaint are set forth in the Regulations. ARTICLE 13 EEO/NON-DISCRIMINATION A. The Bidder agrees as a precondition to entering into a valid and binding Contract, not to discriminate against any employee or applicant for employment for work under this Contract, or any subcontract hereunder, by reason of race, creed, color, national origin, sex, age, disability or marital status, and that it shall make and document its conscientious and active efforts to employ and utilize minority group members and women in its work force on this Contract. The Bidder will undertake or continue existing programs of affirmative action to ensure that minority group members and women are afforded equal opportunities without discrimination. For these purposes, affirmative action shall apply in the areas of recruitment, employment, job assignment, promotion, upgradings, demotion, transfer, layoff, or termination and rates of pay or other forms of compensation. Upon a written request to the Authority’s Bid Reception Desk, 2 Broadway, Stone Street Entrance, New York, NY 10004, the Authority will supply contractors with a copy of the “New York State Labor Force Availability Data,” for specific job titles that fall within the relevant occupational categories. This data can be utilized by contractors in the identification, recruitment and retention of minority group members and women for participation on this Contract. B. The requirements of this Schedule shall not apply to any employment or application for employment outside New York State or solicitations or advertisements thereof, or any existing programs of affirmative action regarding employment outside New York State. 2/02 Schedule K Page 6 of 9

OPPORTUNITIES FOR MBE/WBEs C. The Authority may waive the provisions of this Schedule for the Contractor or any of its Subcontractors that are in compliance with Federal laws and regulations concerning equal employment opportunities which effectuate the purposes of this Schedule. The Authority will not generally grant a waiver if the work force to be utilized in the performance of this Contract can be separated out from the Contractor’s and/or Subcontractor’s total work force and that portion of the work force will be dedicated to performance of the Contract within New York State. A Contractor and/or Subcontractor requesting a waiver should forward its written request to the Procurement Representative, with copies to the Manager, Business Programs. Requests for a waiver should include copies of documentation supporting compliance with Federal laws. The Contractor and/or Subcontractor shall supply any additional information and/or documentation applicable to the request for a waiver that the Authority requests. Contractors and/or Subcontractors that intend to file a post-award request for a waiver will be subject to all pre-award EEO requirements set forth in the Contract documents. ARTICLE 14 AFFIRMATIVE ACTION/EEO SUBMISSION REQUIREMENTS The apparent low Bidder will be required to submit an EEO-1 Form and EEO Policy Statement within seven (7) calendar days after it receives verbal notification of the selection. All other bidders must submit the document within seven (7) calendar days of verbal request for same. The Authority’s Division of Materiel will confirm, in writing, any verbal notification. However, the time frame for Bidder’s response is based upon the date the verbal notification was given. The Division of Materiel may extend the deadline for submission of an EEO-1 Form or an EEO Policy Statement. Any requests for an extension must be submitted to the attention of the Procurement Representative. If a Bidder does not submit an EEO-1 Form or an EEO Policy Statement, the Bid may be rejected unless reasonable justification for such failure is provided in writing or a commitment is made to provide such document within the time frame established by the Authority. ARTICLE 15 CONTRACTOR COMPLIANCE REPORTING The Authority is responsible for determining compliance by the Contractor with the affirmative action and MBE/WBE goals established in the Contract. The Authority may determine that the Contractor is complying with the affirmative action and MBE/WBE goals set forth in the MBE/WBE Utilization Plan by examining reports received from a Contractor, on-site inspections, progress meetings regarding work required by the Contract, or other Authority actions taken in the ordinary course of administering the Contract. ARTICLE 16 POST-AWARD CONTRACTOR COMPLIANCE A. Contractor Compliance Reports: The Contractor must submit the following items to the Engineer or the Project Manager and a copy to the Division of Business Programs when required as specified below: 2/02 Schedule K Page 7 of 9

OPPORTUNITIES FOR MBE/WBEs

MBE/WBE Program Reports:

1. Monthly Compliance Reports - By the fifteenth (15th) of each month, commencing after the award of the Contract, the Contractor is required to deliver to the Engineer or Project Manager a completed “Monthly MBE/WBE Participation Report” (Form 15A.3), with a copy to the Manager, Division of Business Programs. Such form is intended to provide a reporting mechanism on progress towards meeting MBE/WBE goals.

Work Force Utilization Reports:

2. Within sixty (60) days of the execution of this Contract, the Contractor shall submit a staffing plan which shall contain information on employees projected to work on activities related to the Contract. This information must be broken down by specified ethnic background, gender, and related job titles. The information must be submitted on the Staffing Plan Form (Form Staffpln).

3. For All Other Contracts: After the award of the Contract, the Contractor shall submit on a semi-annual basis, throughout the life of the Contract, a workforce utilization report which details the number of employees that worked on activities related to this Contract. This information must be broken down by specified ethnic background, gender and related job titles. The information must be submitted on the appropriate MTA standard form WF-257. In instances where a Contractor’s workforce cannot be broken out, the Contractor must affirm such and submit an EEO-1 Form detailing its current workforce

4. During the lifetime of the Contract, the Contractor shall undertake or continue existing programs of affirmative action and shall ensure that all subcontractors comply with the EEO requirements.

B. Subcontracts:

1. If the duration of this Contract is less than one (1) year, then within sixty (60) days of execution of this Contract, unless extended by the Authority’s Division of Business Programs in writing, the Contractor shall enter into written subcontract agreement(s) with MBE/WBE(s) listed in its MBE/WBE Utilization Plan Form or with substitutes which have been approved by the Authority.

2. If the duration of this Contract is one (1) year or more, not later than thirty (30) days before a Subcontractor commences work on the Contract, the Contractor shall enter into a written subcontract agreement with MBE/WBE(s) listed in its MBE/WBE Utilization Plan Form or with substitutes which have been approved by the Authority.

3. Copies of the Contractor’s executed subcontract agreement(s) with MBE/WBE(s) shall be provided to the Authority’s Division of Business Programs by the Contractor immediately upon execution.

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OPPORTUNITIES FOR MBE/WBEs

4. Within ninety (90) days of the execution of this Contract, the Contractor shall submit a work schedule outlining when the MBE/WBE subcontractors will commence and complete work on the Contract.

The Contractor shall ensure that the individual listed below receives copies of all MBE/WBE reports and subcontract agreements as stipulated above. Copies of such documents should be forwarded to the address specified below:

Contract Compliance Officer MTA New York City Transit

Division of Business Programs 130 Livingston Street, 10th Floor

Brooklyn, NY 11201

ARTICLE 17 PROHIBITIONS OF AGREEMENTS TO RESTRICT COMPETITION Agreements between a Bidder and a MBE/WBE in which the MBE/WBE agrees not to provide subcontracting quotations to any other bidders are prohibited. ARTICLE 18 AUTHORITY’S RESERVATION OF ALL REMEDIES The Authority reserves all remedies it may have pursuant to law and this Contract, in the event it determines that the Contractor has violated this Contract (including a failure to comply with the State MBE/WBE law, the Regulations or this Schedule). 2/02 Schedule K Page 9 of 9

NEW YORK CITY TRANSIT AUTHORITY Division of Materiel

PACKAGE 2

FOR USE WITH CONTRACTS THAT HAVE MINORITY/WOMEN-OWNED BUSINESS

ENTERPRISE (“M/WBE”) GOALS AND DO NOT CONCERN CONSTRUCTION AND/OR

PUBLIC WORKS

THIS PACKAGE CONTAINS THE FOLLOWING FORMS:

• FORM EEO-1 (EMPLOYER INFORMATION REPORT)

• FORM WF-257 (WORK FORCE UTILIZATION REPORT - SERVICE AND/OR CONSULTANT FIRMS)

• STAFFING PLAN FORM

• FORM 15A.1 (MBE/WBE UTILIZATION PLAN FORM)

• FORM 15A.2 (REQUEST FOR TOTAL OR PARTIAL WAIVER OF MBE/WBE

GOAL(S) PURSUANT TO MBE/WBE UTILIZATION PLAN FORM)

• FORM 15A.3 (MONTHLY MBE/WBE PARTICIPATION REPORT)

• FORM 15A.4 (INTENT TO PERFORM AS SUBCONTRACTOR/ SUBCONSULTANT) 2/02

METROPOLITAN TRANSPORTATION AUTHORITY{PRIVATE } Office of Civil Rights

EQUAL EMPLOYMENT OPPORTUNITY EMPLOYER INFORMATION REPORT EEO-1

{PRIVATE } Section A - TYPE OF REPORT

1. Indicate by marking in the appropriate box the type of reporting unit for which this copy of the form is submitted (MARK ONLY ONE BOX.)

Multi-establishment Employer: (1) Single-establishment Employer Report (2) Consolidated Report (Required) (3) Headquarters Unit Report (Required) (4) Individual Establishment Report (submit one for each

establishment with 50 or more employees) (5) Special Report

2. Total number of reports being filed by this Company (Answer on Consolidated Report only)

SECTION B -- COMPANY IDENTIFICATION (To be answered by all employers)

Office Use Only

1. Parent Company

a. Name of parent company (owns or controls establishment in item 2) omit if same as above a.

Address (Number and street) b.

City or town State ZIP code c.

2. Establishment for which this report is filed. (Omit if same as above)

a. Name of establishment d.

Address (Number and street) City or Town County State ZIP code e.

b. Employer Identification No. (IRS 9-DIGIT TAX NUMBER) f.

c. Was an EEO-1 report filed for this establishment last year? 1 YES 2 NO

6/00

METROPOLITAN TRANSPORTATION AUTHORITY Office of Civil Rights

EQUAL EMPLOYMENT OPPORTUNITY EMPLOYER INFORMATION REPORT EEO-1 Section C - EMPLOYMENT DATA

Page 2 Employment at this establishment-Report all permanent full-time and part-time employees including apprentices and on-the-job trainees unless specifically excluded as set forth in the instructions. Enter the appropriate figures on all lines and in all columns. Blank Spaces will be considered as zeros.

{PRIVATE } Job Categories

NUMBER OF EMPLOYEES

MALE FEMALE

Overall Totals (Sum of Col. B thru K) A

White (Not of Hispanic Origin) B

Black (Not of Hispanic Origin) C

Hispanic D

Asian or Pacific Islander E

American Indian or Alaskan Native F

White (Not of Hispanic Origin) G

Black (Not of Hispanic Origin) H

Hispanic I

Asian or Pacific Islander J

American Indian or Alaskan Native K

Officials and Managers 1

Professionals 2

Technicians 3

Sale Workers 4

Office and Clerical 5

Craft Workers (Skilled)

Operatives (Semi-Skilled) 7

Laborers (Unskilled) 8

Service Workers 9

TOTAL 10

Total employment reported in previous EEO-1 report 11

NOTE: Omit questions 1 and 2 on the Consolidated Report. 1. Date(s) of payroll period used: 2. Does this establishment employ apprentices?

1 Yes 2 No 6/00

METROPOLITAN TRANSPORTATION AUTHORITY Office of Civil Rights

EQUAL EMPLOYMENT OPPORTUNITY EMPLOYER INFORMATION REPORT EEO-1 Page 3

{PRIVATE } Section D -ESTABLISHMENT INFORMATION (Omit on the Consolidated Report)

1. What is the major activity of this establishment? (Be specific, i.e., manufacturing steel castings, retail grocer, wholesale plumbing supplies, title insurance, etc. Include the specific type of product or type of service provided, as well as the principal business or industrial activity).

OFFICE USE ONLY

g.

Section E-REMARKS Use this item to give any identification data appearing on last report which differs from that given above, explain major changes

in composition or reporting units and other pertinent information.

Section F-CERTIFICATION Check 1 All reports are accurate and were prepared in accordance with the instructions (check on consolidated only) one 2 This report is accurate and was prepared in accordance with the instructions.

Name of Certifying Official Title Signature Date

Name of person of contact regarding this report (type or print)

Address (Number and Street)

Title City and State ZIP Code Telephone Number (Including Area Code)

All reports and information obtained from individual reports will be kept confidential as required by Section 709(e) of Title VII. WILLFULLY FALSE STATEMENTS ON THIS REPORT ARE PUNISHABLE BY LAW, U.S. CODE, TITLE 18, SECTION 1001. 6/00

WORK FORCE UTILIZATION REPORT{PRIVATE } SERVICE and/or CONSULTANT FIRMS

Agency /Code Reporting Period

Check one: Quarterly Report Semi-Annual Report Contractor Firm Name Address City State Zip

Type of Report: Contract Specific Work Force Total Work Force Check if NOT-FOR-PROFIT

{PRIVATE }Federal Id/Payee Id No.

Check One: Prime Contractor Subcontractor 2 3

Contract Amount: $---------------------------------------------

Contract No. Location of Work County ZIP

Product/Service Provided: Contract Start Date: Percent of Job Completed

{PRIVATE } Number of Employees Total Percent

Minority Employees

Total Percent Female

Employees

Federal Occupational Category

Total Number of Employees

Black (Not of Hispanic

Origin)

Hispanic Asian or Pacific Islander Native American/ Alaskan Native

Male Female Male Female Male Female Male Female Male Female

Officials/Admin

Professionals

Technicians

Sales Workers

Office & Clerical

Craft Workers

Operatives

Laborers

Service Workers

TOTALS

{PRIVATE }Company Official's Name Title Company Official's Signature Date Telephone Number ( )____________________________

(service-consultants wf 257) 6/00 Page 1 of 2

1

WORK FORCE UTILIZATION REPORT SERVICE and/or CONSULTANT FIRMS INSTRUCTIONS FOR COMPLETION PURPOSE: The Work Force Utilization Report for Service and/or Consultant Firms is prepared by all contractors, and subcontractors if

any, providing services (skilled or non-skilled) or professional consulting services to a state agency to document their actual employment of minority group members and women during the period covered by the report. The report has a format similar to forms used by the Federal government for reporting equal employment opportunity data. When the contract specific work force can be identified, the report covers all employees (including apprentices or trainees) working on the project. If the contract specific work force cannot be separated out, the contractor's total work force is reported. The completed reports are used by the contracting state agency to monitor the contractor's and subcontractor's compliance with the contract's equal employment opportunity requirements.

GENERAL INFORMATION: 1. Name of contracting state agency and state agency code (five digit code). 2. Reporting period covered by report (mm/dd/yy to mm/dd/yy); check to indicate Quarterly or Semi-Annual Report. 3. Contractor firm name (prime contractor on summary report submitted to agency) and address (including city name, state and zip

code); check if the contractor is a NOT-FOR-PROFIT. 4. Type of Report: check to indicate whether report covers (i) the Contract Specific Work Force or (ii) the Company's Total Work

Force (in the event the contract specific work force cannot be separated out). 5. Contractor Federal Employer Identification number or payee identification number (prime contractor i.d. on summary report);

check to indicate prime or subcontractor report. 6. Contract Amount is dollar amount based on terms of the contract. 7. Contract number is the agency assigned number given to the contract (seven digits). 8. Location of work including county and zip code where work is performed. 9. Indicate Product or Service provided by contractor (brief description). 10. Contract start date is month/day/year work on contract actually began. 11. Contractor's estimate of the percentage of work completed at the end of this reporting period. FEDERAL OCCUPATIONAL CATEGORIES: The contractor's work force is broken down and reported by the nine Federal Occupational Categories (FOC's) consistent with the Federal government's EEO-1 categories for the private sector labor force. These are: Officials and Managers, Professionals, Technicians, Sales, Office & Clerical (Administrative Support), Craft Workers, Operatives, Laborers and Service Workers. The categories are general in nature, and include all related occupational job titles. The contracting agency can provide assistance in categorizing specific jobs. TOTAL NUMBER OF EMPLOYEES: Record the total number of all persons employed in each FOC during the reporting period, regardless of ethnicity (either working on the specific contract OR in the contractor's total work force, based on the type of report indicated above). Report the total number of male (M) employees in column (1) and the total number of female (F) employees in column (2) for each FOC. In columns (3) thru (10) report the numbers of male and female minority group members employed, based on the following defined groups: · Black (not of Hispanic origin): all persons having origins in any of the Black African racial groups; · Hispanic: all persons of Mexican, Puerto Rican, Dominican, Cuban, Central or South American descent of either Indian or Hispanic origin, regardless of race; · Asian or Pacific Islander: all persons having origins in any of the Far East countries, South East Asia, the Indian subcontinent or the Pacific Islands; · Native American or Alaskan Native: all persons having origins in any of the original peoples of North America. TOTAL % MINORITY = sum of all minority group members (male and female) employed in the FOC divided by the total number of all

employees in that FOC (column 1 + column 2). TOTAL % FEMALE = total number of female employees in the FOC (column 2) divided by the total number of all employees in that

FOC (column 1 + column 2). TOTALS: column totals should be calculated (sum each column) for all FOC's combined. Total minority and female percentages should be calculated as shown above, based on the column totals. SUBMISSION: The work force utilization report is to be completed by both prime and subcontractors and signed and dated by an authorized representative before submission. This Company Official's name, official title and telephone number should be printed or typed where indicated on the bottom of the form. The prime contractor shall complete a report for its own work force, collect reports completed by each subcontractor, and prepare a

summary report for the entire combined contract work force. The reports shall include the total number of employees in each occupational category for all payrolls completed in the reporting period. The prime contractor shall submit the summary report to the contracting agency as required by Part 142 of Title 5 of the NYCRR pursuant to Article 15-A of the Executive Law.

STAFFING PLAN{PRIVATE } Project/RFP Title: Location of Contract: County ZIP Contractor/Firm Name Address ____________________________________________________________________________ City State ZIP Check applicable categories: (1) Staff Estimates include: ٱ Contract/ Project Staff ٱ Total Work Force ٱ Subcontractors (2) Type of Contract : ٱ Construction Consultants ٱ Commodities ٱ Services/Consultants

{PRIVATE } Total Anticipated Work Force Total Percent

Minority Employees

Total Percent

Female Employees

Federal Occupational

Category

Total Number of Employees

Black (Not of Hispanic

Origin)

Hispanic Asian or Pacific Islander

Native American/ Alaskan Native

Male Female Male Female Male Female Male Female Male Female

Officials/Admin

Professionals

Technicians

Sales Workers

Office & Clerical

Craft Workers

Operatives

Laborers

Service Workers

TOTALS

{PRIVATE }Company Official's Name Title Company Official's Signature Date Telephone Number ( )________________________________________

DMWB/PAIS (CC) 12/93 staffpln

CONTRACT NO. and TITLE: CONTRACT VALUE $_______________ AMOUNT OF TOTAL CONTRACT PRICE THAT IS ATTRIBUTABLE TO WORK PERFORMED IN NEW YORK STATE: $______________

MBE/WBE UTILIZATION PLAN FORM (Form 15A.1) {PRIVATE } Name, Address, Telephone Number of MBE/WBE (including name of contact person, Federal I.D.# or Social Security Number)

Indicate if

MBE or

WBE

Description of Work, Products and/or

Services to be provided

Agreed Dollar

Amount of MBE/WBE Subcontract

MBE/WBE %

of Work Performed in

New York State

MBE/WBE

Projected Start and Completion Date

If the Proposer/Bidder is a corporation, partnership, or joint venture, this form must be signed respectively, by the president of the corporation, a general partner, or the president/general partner of one of the joint ventures. If it is signed by anyone else, you must include appropriate proof (such as certified copy of the by-laws, partnership agreement or joint venture agreement) which confirms that the person signing this form is authorized to do so. By signing below, the Proposer/Bidder authorizes the Authority to verify all information provided on this form. PROPOSER/BIDDER: AUTHORIZED SIGNATURE: TITLE:________________ ADDRESS: TELEPHONE NUMBER:___________________ FEDERAL IDENTIFICATION NUMBER: DATE: _________________________ Revised 15-A Form (June 2000)

REQUEST FOR TOTAL OR PARTIAL WAIVER OF MBE/WBE GOAL(S) PURSUANT TO MBE/WBE UTILIZATION PLAN FORM (Form 15A.2) PROPOSER/BIDDER/CONTRACTOR: Contract Number: Total Contract Dollar Value: A Proposer/Bidder/Contractor failing to achieve the MBE/WBE goal(s) as specified in the Contract Documents must submit this form (Request for Total or Partial Waiver of MBE/WBE Goal(s) -Form 15A.2) and the documentation of good faith efforts specified in Part II of this form, at the time provided for the submission of the MBE/WBE Utilization Plan (Form 15A.1), or if the contract is already awarded, as soon as the Contractor realizes that it will not achieve a goal, or prior to final payment on the contract whichever is sooner. PART I. REQUEST FOR WAIVER OF MBE/WBE GOAL(S) INSTRUCTIONS: If the Proposer/Bidder/Contractor is requesting a total waiver of one or both goals, Section A must be completed. If the Proposer/Bidder/Contractor is requesting a partial waiver of one or both goals, Section B must be completed. In requesting a partial waiver, the Proposer/Bidder/Contractor must specify MBE and/or WBE goal percentage(s) it is committed to achieving. Section A - Total Waiver of MBE/WBE Goal(s) I, , hereby request a total waiver of the: (Name of Proposer/Bidder/Contractor) (Check the appropriate box or boxes) MBE goal as specified in the Contract Documents WBE goal as specified in the Contract Documents Section B - Partial Waiver of MBE/WBE Goals) I, , hereby request a partial waiver of the: (Name of Proposer/Bidder/Contractor) (Check the appropriate box or boxes) MBE goal as specified in the Contract Documents WBE goal as specified in the Contract Documents I, , commit to achieving an MBE goal of %. (Name of Proposer/Bidder/Contractor) I, , commit to achieving an WBE goal of %. (Name of Proposer/Bidder/Contractor) PART II. GOOD FAITH EFFORTS DOCUMENTATION INSTRUCTIONS: A Proposer/Bidder/Contractor requesting a request for a total or partial waiver of MBE and/or WBE goal(s) must submit with this form, full and detailed explanation and documentation which specifically identifies the Proposer/Bidder/Contractor's efforts to obtain MBE/WBE participation on this Authority contract. The Proposer/Bidder/Contractor must provide the information and support documentation specified in Part II of this form (SEE REVERSE SIDE OF THIS FORM), and any other information it believes will assist the Authority in its review of the Request for Total or Partial Waiver of MBE/WBE Goal(s). Revised 15-A Form (June 2000)

(1) The names of general circulation, trade association and women-oriented publications in which bids were solicited for purposes of complying with goal requirements established for minority and women-owned business enterprise participation;

(2) The dates bid solicitations for minority and women-owned business participation were published in any of

the publications named pursuant to paragraph (1) and the text of the bid solicitations; (3) A list of minority and women-owned business enterprises appearing in the State Directory which were

solicited in writing to provide bids for purposes of complying with the contract goal requirements for minority and women-owned business enterprise participation;

(4) Proof of dates on which such solicitations were made in writing and copies of solicitations made, or a sample

copy of the solicitation if an identical solicitation was made of all minority and women-owned business enterprise;

(5) Copies of responses made by minority and women-owned business enterprises to solicitations made by the

contractor; (6) A description of any contract documents, plans, or specifications made available to minority and women-

owned business enterprises for purposes of soliciting their bids, and the dates and manner in which these documents were made available;

(7) Documentation of any negotiations between the contractor and minority and women-owned business

enterprise participation; (8) A statement setting forth the contractor's basis for requesting a partial or total waiver; (9) Written discussion of the relevance of the following items to the contractor's request for a partial or total

waiver of MBE/WBE contract goal(s) specified in the Contract Documents: a) The number and types of minority or women-owned business enterprises located in the

region in which the contract is to be performed: b) The total dollar value of this contract; c) The scope of work to be performed; d) The project size; e) The project term; f) The availability of other business enterprises located in the region; g) The financial ability of minority and women-owned business enterprises located outside the

region to perform on the contract 10) Identify terms and conditions offered to minority and women-owned business enterprises, and compare

how those subcontract terms and conditions compare to those offered in the ordinary course of the contractor's business and to other subcontractors of the contractor.

11) Identify efforts made by the contractor to reasonably structure the contract scope of work for purposes of

subcontracting with minority and women-owned enterprises; 12) Identify actions taken to contact and assess the financial ability of minority and women-owned business

enterprises located outside of the region in which the contract scope of work is to be performed; and 13) Any other information determined relevant by the Authority (if and when requested) or the contractor. By signing this form, the person individually and on the behalf of the Proposer/Bidder/Contractor represents to the Authority that the information supplied to the Authority is truthful, accurate, complete and not misleading. Authorized Signature: Title: Firm/Company Name: Address: Telephone Number: Date: Revised 15-A Form (June 2000)

MONTHLY MBE/WBE PARTICIPATION REPORT (Form 15A.3) REPORT FOR MONTH ENDING _________ INSTRUCTIONS: After the award of a contract, this Form 15A.3 must be filed by the 15th of each month to report actual participation by NYS certified MBE/WBE firms during the preceding month. Contract Contract Contract Contract Value Number: Title: Amount (as amended) $ NYS Work $______________ Prime Contract Projected MBE Goal: % Contractor: Start Date: Completion Date: % Complete: WBE Goal: % Total payments to Prime to date: $ Total value of MBE subcontracts: $ Total value of WBE subcontracts: $ % Total amount invoiced to date: $ MBE % of Prime contract (as amended): WBE % of Prime contract (as amended):__________ Amount of last payment to Prime: $ Total MBE payments to date: $ Total of WBE payments to date: $ __________ Date of last payment to Prime: ___________

{PRIVATE }

Name of MBE/WBE Subcontractor and Description of

Work Performed

Work Status this

Report Active, Inactive

or Complete

Subcontract Start Date

Projected Completion

Date

% of Work

Complete

Date & Amount of Payment for

this Report

Total Payments

to Date

Subcontract Amount

(as amended)

Copy of M/WBE Subcontract

Agreement filed with Authority

(Yes or No)

Active Inactive Complete

Active Inactive Complete

Active Inactive Complete

Active Inactive Complete

Active Inactive Complete

Active Inactive Complete

IF NECESSARY, USE A SEPARATE SHEET YES NO 1. Did any of the M/WBE subcontractors rent/lease equipment from the prime contractor or an affiliate company during the report period? If yes, explain the arrangement, including a description of the equipment and the cost. 2. Did any of the M/WBE subcontractors utilize employees or former employees of the prime contractor or an affiliate company during the report period? 3. Did any of the M/WBE subcontractors subcontract any portion of its work to a non-M/WBE during the report period? If yes, explain fully. 4. Has the scope of work or the subcontract amount for any of the M/WBE subcontractors changed since the last report? If yes, explain fully. By signing this form, the person individually and on the behalf of the Contractor represents to the Authority that the information contained herein is truthful, accurate, complete and not misleading. AUTHORIZED SIGNATURE: TITLE: DATE:__________________ Revised 15-A Form (June 2000)

Intent to Perform as Subcontractor/Subconsultant

(FORM 15A.4)

CONTRACT NUMBER:____________________________________CONTRACT TITLE:______________________________________________________________________ NAME OF PRIME BIDDER/PROPOSER:____________________________________________________________________________________________________________ The undersigned intends to perform work in connection with the above project as (check one): □A subcontractor □A subconsultant □A second tier subcontractor Note: Pursuant to NYS Executive Law Article 15-A, Minority and Women-owned Business Enterprise (MBE/WBE) firms projected to participate in the MTA’s MBE/WBE Program must be certified as either a MBE or a WBE by the Empire State Development Corporation (ESDC) in order for the firm’s participation to be credited toward a MBE or a WBE goal. Only firms certified by ESDC as a MBE or a WBE can be utilized to meet an MBE or WBE goal.

SUBCONTRACT AMOUNT $_________________________ The undersigned is prepared to perform the following work and/or supply the following material for the above project. _______________________________________________________________________________________________________________________________________________ _______________________________________________________________________________________________________________________________________________ _______________________________________________________________________________________________________________________________________________ _______________________________________________________________________________________________________________________________________________ Note: If applicable, please state the amount and percentage of work you intend to subcontract out to other subcontractors/vendors (both MBE/WBE and non-MBE/WBE firms). _______________________________________________________________________________________________________________________________________________ _______________________________________________________________________________________________________________________________________________ _______________________________________________________________________________________________________________________________________________ The undersigned intends to enter into a formal agreement for the above work with the named bidder/proposer conditioned upon the named bidders/proposers being awarded this contract by the MTA or any of its affiliated agencies. _______________________________________ By_____________________________________ ___________________________________ Date__________________ Name of MBE/WBE Firm Name & Title of Authorized Signatory Signature of Authorized Representative Please Type or Print 6/00

10E0281add1.pdf10E0281 Addendum No. 1 CoverZone Maps for Voucher Based Car Service 10E02811-4 Manhattan Zone Map5-8 Brooklyn Zone Map9-13 Queens Zone Map14-16 Staten Island Zone Map17-20 Bronx Zone MapZones 21-66 Maps

10E0281_Revised_Schedule_GSchedule_K_revised__WBE_inlcuded_Attach_3_-_Package_2_for_Schedule_K_-_Revised10E0281 PreBid Attendance SheetNYCT CONSTRUCTION ADDENDA Notice.pdfDIVISION OF MATERIEL -OF- ADDENDUM ADDENDUM # 1