SOLICITATION B-1020513 Construction of a Park & Ride ... Construction of a Park & Ride Facility in Northwest Plano SOLICITATION, OFFER AND AWARD FORM

SOLICITATION B-1020513

Construction of a Park & Ride Facility in Northwest Plano

B-1020513


SOLICITATION, OFFER AND AWARD FORM

Form 33.201 (01/07) Page 1 of 2

DALLAS AREA RAPID TRANSIT SOLICITATION, OFFER AND AWARD FORM

SOLICITATION INFORMATION Invitation for Bids (IFB)

1. SOLICITATION NO.: B-1020513 4. BRIEF DESCRIPTION: 2. ISSUE DATE: June 16, 2011 Construction of a Park & Ride Facility in Northwest Plano

3. FOR INFORMATION CONTACT: (No collect calls)

NAME: Cedric D. Seay TELEPHONE: 214.749.2807

E-MAIL: [email protected] 5. PRE-BID CONFERENCE: **** There WILL be a conference. ****

(If a conference is scheduled, see the applicable clause in Exhibit C for more information.) LOCATION: DALLAS AREA RAPID TRANSIT 1401 Pacific Ave., Room 1C Dallas, Texas 75202-7235

DATE: June 23, 2011

TIME: 10:00am Local Dallas

6. SUBMIT OFFER TO: 7. OFFER SUBMISSION DUE DATE AND TIME: Mailing Address DALLAS AREA RAPID TRANSIT P.O. Box 660163 Dallas, Texas 75266 Solicitation B-1020513

Hand/Commercial Courier Delivery DALLAS AREA RAPID TRANSIT 1401 Pacific Ave. Room 1523 Dallas, Texas 75202 Solicitation # B-1020513

DATE: July 15, 2011 TIME: 2:00 PM Local Dallas

8. SUBMIT WITH OFFER: Original offer and 3 photocopies including exhibits and attachments so indicated on Page 2 of this form. 9. Offers submitted in response to an IFB will be opened publicly in Room 1500 – EOGR Conference/Training Room, immediately

after the submission due date and time. Offers submitted in response to an RFP will NOT be publicly opened. 10. FIRM OFFER PERIOD: Offers submitted shall remain firm for a period of 100 calendar days from the date specified in Block 7. 11. This solicitation and any resulting contract, respectively, consist of this DART Form 33.201 and the exhibits and documents

designated with a symbol on Page 2 of this form. NOTE: For Invitation for Bids, “offer” and “offeror” mean “bid” and “bidder”. OFFER (To be completed by Offeror)

CAUTION: A false statement in any offer (bid or proposal) submitted to DART may be a criminal offense in violation of Section 37.10 of the Texas Penal Code.

12. DISCOUNT FOR PROMPT PAYMENT: _____%, _____ Calendar Days (Invoice/Payment terms are set forth in Exhibit D) 13. In compliance with the above, the undersigned agrees, if this offer is accepted within the period specified in Block 10, above, to

furnish any or all items, or provide the service(s), upon which prices are offered in the Schedule at the price set opposite each item or service, and to deliver the item(s) and or perform the service(s) at the designated location(s) within the time specified.

14. OFFEROR'S NAME, ADDRESS, and DART VENDOR NO.: (Type or Print)

15. NAME AND TITLE OF PERSON AUTHORIZED TO SIGN THE OFFER: (Type or Print)

TELEPHONE: CELL PHONE:

E-MAIL: FAX:

16. OFFEROR'S SIGNATURE & DATE:

AWARD (To be completed by DART)

17. D/M/WBE: The D/M/WBE participation for this contract is as follows based on: Percentage of the total contract amount, or Other ______________________________

% DBE % MBE % WBE % MBE/WBE

18. ACCEPTED AS TO: 19. TOTAL AMOUNT OF AWARD: 20. CONTRACT NUMBER:

21. CONTRACTING OFFICER’S SIGNATURE & DATE OF AWARD:

Name:

Signature: ____________________________________ Date: ____/____/____

Form 33.201 (01/07) Page 2 of 2

SOLICITATION, OFFER AND AWARD FORM See Exhibits B & C for offer preparation and submission instructions.

22. CONTENTS: NAME FORM DESCRIPTION FORM NO. SUBMIT WITH

OFFER? Cover Sheet Solicitation, Offer and Award Form 33.201 YES

Schedule Schedule [Bid Schedule] 33.202A YES Exhibit A Representations and Certifications 33.606 YES

Exhibit B Special Solicitation Instructions and Conditions 33.B

Attachment 1 Schedule of Subcontractor(s)/Subconsultant(s) 33.B YES

Exhibit C Solicitation Instructions and Conditions 33.608F

Exhibit D Special Provisions 33.D

Exhibit E Addendum to General Provisions 33.603

Exhibit F General Provisions 33.604

Exhibit G Disadvantaged Business Enterprise Provisions 33.212

Attachment 1 Intent to Perform as a Subcontractor 33.212 YES

Attachment 2 Sample Vendor Payment Report 33.212 Exhibit H Statement of Work 33.H

Exhibit I Specifications NONE

Exhibit J Drawings NONE

Exhibit K Geotechnical Report NONE

Exhibit L Business Questionnaire 33.251 YES

Exhibit M Construction Safety and Security Program – AR5Y-007-00-0311: Sections 1.0 through 2.14, and Appendix E

NONE

Exhibit N DART Light Rail Build-Out Insurance Administration Manual and Claim Procedures

NONE

Exhibit O Solicitation Question Submission Form 33.225C

Exhibit P Bid Bond 33.208 YES

Exhibit Q Payment Bond 33.210

Exhibit R Performance Bond 33.209

Exhibit S Wage Rates – 1). TX100043 08/27/2010 TX43; and 2). TX100058 04/01/2011 TX58 NONE

Exhibit T Miscellaneous Expense Policy (Cost-type Contracts) 33.507

Exhibit U Buy America Certificate 33.606B YES

Exhibit V Employee Information Report 33.254 YES Exhibit W Certificate of Conformance NONE

23. SUBMIT THE BELOW ITEM(S) WITH OFFER, IN ADDITION TO THE ABOVE IDENTIFIED SUBMITTALS: DESCRIPTION

24. ACKNOWLEDGMENT OF AMENDMENTS: AMENDMENT # DATE AMENDMENT # DATE Offeror acknowledges receipt of the following amendment(s) to the solicitation: (Identify amendment number and date of each.)

B-1020513


SCHEDULE

Solicitation No. B-1020513

Form 33.202A (05/03) Page 1 of 4

DALLAS AREA RAPID TRANSIT DALLAS, TEXAS

BID SCHEDULE CAUTION: A false statement in any offer submitted to DART may be a criminal offense in violation of

Section 37.10 of the Texas Penal Code.

NOTE: For Invitations for Bids the terms “Offer” and “Offeror” shall mean “Bid” and “Bidder”, respectively; and for Request for Proposals the terms “Bid” and “Bidder” shall mean “Offer” and “Offeror”, respectively, in this solicitation

and any associated exhibits.

THE OFFEROR MUST SIGN AND DATE THIS SCHEDULE WHERE PROVIDED AND SUBMIT ALL PAGES WITH THE OFFER.

"The line item price(s) for both the Base Contract and Option Years, if applicable, must include all cost that the offeror intends to recover, such as, but not limited to: supervision, labor, equipment, materials,

vehicle licensing, vehicle title, warehousing, freight, pick-up, financing, carrying charges, and all other such charges to accommodate the supplies/services and delivery requirements. No price adjustments will be

made, unless specifically provided for by an additional provision included in this contract. (B-100.07A, SEP 06)" ITEM PAY ITEM DESCRIPTION QTY. UNIT UNIT EXTENDED NO. NO. (Est.) PRICE PRICE

PART A – GENERAL REQUIREMENTS

1A 01001 GENERAL REQUIREMENTS Note: Any amount over the 5% of the total contract in Line Item 1A will be paid at the contract final payment)

1 LS

2A 01505 MOBILIZATION Note: Any amount over the 3% of the total contract in Line Item 2A will be paid at the contract final payment)

1 LS

3A 01562 SOIL EROSION and SEDIMENT CONTROL 1 LS 4A 01570 MAINTENANCE and CONTROL OF TRAFFIC 1 LS 5A GP-2 PAYMENT and PERFORMANCE BONDS 1 LS

SUBTOTAL PART A ( 1A thru 5A):

PART B – GRADING and PAVING

1B 02050 DEMOLITION 1 LS 2B 02100 SITE PREPARATION 1 LS 3B 02220 UNCLASSIFIED COMMON EXCAVATION 1 LS

4B 02243 HYDRATED LIME 770 TON 5B 02243 LIME MANIPULATION 38300 SY 6B 02515 UNIT PAVERS 19250 SF 7B 02525 4” REINFORCED CONCRETE SIDEWALK 10850 SF 8B 02525 ADA ACCESSIBLE RAMP 14 EA 9B 02550 6” REINFORCED CONCRETE PAVEMENT (PARKING) 21600 SY

10B 02550 10” REINORCED CONCRETE PAVEMENT (STREET AND DRIVE) 16500 SY

11B 02550 6” INTERGRAL CURB 10800 LF 12B 02550 7” RAISED CURB 700 LF

13B 02580 4” THERMOPLASTIC MARKINGS, WHITE 200 LF 14B 02580 24” THERMOPLASTIC MARKINGS, WHITE 200 LF 15B 02580 MISCELLANEOUS STRIPING AND BUTTONS 1 LS 16B 02845 TRAFFIC CONTROL SIGNS 86 EA

SUBTOTAL PART B (1B thru 16B):


Form 33.202A (05/03) Page 2 of 4

PART C – UTILITIES AND DRAINAGE

ITEM PAY ITEM DESCRIPTION QTY. UNIT UNIT EXTENDED NO. NO. (Est.) PRICE PRICE

1C 02221 TRENCH SUPPORT SYSTEM 4600 LF 2C 02660 6” PVC WATER LINE 110 LF 3C 02660 8” PVC WATER LINE 1580 LF 4C 02660 12” PVC WATER LINE 60 LF 5C 02660 8” X 8” CUT IN TEE 3 EA

6C 02660 FIRE HYDRANT ASSEMBLY 5 EA 7C 02660 WATER LINE FITTINGS 1.8 TON 8C 02660 WATER METER 3 EA 9C 02730 8” PVC SANITARY SEWER 170 LF

10C 02730 6” PVC SANITARY SEWER 300 LF 11C 02730 4’ DIAMETER SANITARY SEWER MANHOLE 2 EA

12C 02700 10” PVC STORM 135 LF 13C 02700 18” RCP CL III STORM 530 LF 14C 02700 21” RCP CL III STORM 180 LF 15C 02700 24” RCP CL III STORM 655 LF 16C 02700 30” RCP CL III STORM 440 LF 17C 02700 36” RCP CL III STORM 400 LF

18C 02700 5’ X 3’ RCB STORM 40 LF 19C 02700 SIX GRATE INLET 15 EA 20C 02700 6’ RECESSED CURB INLET 4 EA 21C 02700 6’ X 6’ Y INLET 2 EA 22C 02700 9’ X 6’ JUNCTION BOX 1 EA 23C 02700 4’ DIAMETER STORM MANHOLE 10 EA

24C 02780 UNDERGROUND ELECTRICAL AND COMMUNICATIONS DISTRIBUTION SYSTEM 1 LS

SUBTOTAL PART C (1C thru 24C):

PART D - LANDSCAPING AND IRRIGATION

1D 02950 LANDSCAPING 1 LS 2D 02975 LANDSCAPING IRRIGATION SYSTEM 1 LS 3D 02981 LANDSCAPE MAINTENANCE 12 MO

SUBTOTAL PART D (1D thru 3D):

PART E – ELECTRICAL AND ILLUMINATION 1E 16001 ELECTRICAL SYSTEM (SITE) 1 LS

SUBTOTAL PART E (Item 1E):


Form 33.202A (05/03) Page 3 of 4

PART F – ARCHITECTURAL AND MEP


1F 02873 STATION FURNISHINGS 1 LS 2F 02875 BUS SHELTERS 1 LS 3F 03300 CAST IN PLACE CONCRETE 1 LS 4F 04220 CONCRETE UNIT MASONRY 1 LS 5F 05130 STRUCTURAL STEEL 1 LS 6F 05500 METAL FABRICATIONS 1 LS 7F 06410 CUSTOM CABINET WORK 1 LS 8F 07210 BUILDING INSULATION 1 LS 9F 07531 SINGLE-PLY MEMBRANE ROOFING 1 LS 10F 07600 FLASHING AND SHEET METAL – MASONRY 1 LS 11F 07600 FLASHING AND SHEET METAL – SINGLE PLY MEMBRANE

ROOFING 1 LS 12F 08115 HOLLOW METAL DOORS AND FRAMES 1 LS 13F 08800 GLAZING 1 LS 14F 09260 GYPSUM BOARD SYSTEMS 1 LS 15F 09300 TILE 1 LS 16F 09512 ACOUSTICAL PANEL CEILINGS 1 LS 17F 09660 RESILIENT FLOORING 1 LS 18F 09920 INTERIOR PAINTING 1 LS 19F 09970 COATINGS FOR STEEL 1 LS 20F 09980 COATINGS FOR CONCRETE AND MASONRY 1 LS 21F 10430 SPECIALTY SIGNS 1 LS 22F 10522 FIRE EXTINGUISHERS AND CABINETS 1 LS 23F 10525 FIRE DEPARTMENT KEY KEEPER 1 LS 24F 10800 TOILET ACCESSORIES 1 LS 25F 15001 MECHANICAL SYSTEMS 1 LS 26F 16001 ELECTRICAL SYSTEMS 1 LS

SUBTOTAL PART F (1F thru 26F): PART G - ALLOWANCES

1G ALLOWANCE PARTNERING ALLOWANCE 1 LS $5,000.00 $5,000.00 SUBTOTAL PART G (Item 1G): $5,000.00


Form 33.202A (05/03) Page 4 of 4

PART H – OPTIONS


1H OPTION DEDUCT OR ADD FOR PROVIDING AND INSTALLING LED

LIGHT FIXTURES IN LIEU OF METAL HALIDE FIXTURES [Exhibit B - Evaluation of Offers Inclusive of Options (B-100.06B, JUL 04)]

1 LS

SUBTOTAL PART H (Item 1H):

SUMMARY

PART A GENERAL REQUIREMENTS $ ___________________

B GRADING and PAVING $ ___________________

C UTILITIES and DRAINAGE $ ___________________

D LANDSCAPING and IRRIGATION $ ___________________

E ELECTRICAL and ILLUMINATION $ ___________________

F ARCHITECTURAL and MEP $ ___________________

G ALLOWANCES $ ___________________

H OPTIONS $ ___________________

Total Evaluated Bid (Parts A + B + C + D + E + F + G + H) $___________________

NAME & TITLE OF OFFEROR'S REPRESENTATIVE: SIGNATURE & DATE: (print or type) ____________________________________________ ______________________________________ ___/___/___ (Name & Title) (Signature of Offeror's Representative) _____________________________________________ (Company/Offeror's Name)

B-1020513


EXHIBIT A

REPRESENTATIONS AND

CERTIFICATIONS


Form 33.606 (01/05) Page 1 of 9 Exhibit A

DALLAS AREA RAPID TRANSIT AUTHORITY

EXHIBIT A REPRESENTATIONS AND CERTIFICATIONS

(FEDERALLY ASSISTED CONSTRUCTION, ALTERATION OR REPAIR CONTRACT)

** NOTE: THIS FORM MUST BE COMPLETED AND RETURNED WITH THE OFFER ** TABLE OF CONTENTS REPRESENTATIONS ................................................................................................................................ ....................... 1

1. Type of Business (A-101, DEC 04) ................................................................................................ .......................... 1 2. Disadvantaged Business Enterprise (DBE) (A-102, NOV 99) ................................................................ ................. 1 3. Contingent Fee (A-103, AUG 02) ................................................................................................ ............................. 2 4. Interest of Public Officials (A-104, MAY 04) ................................................................................................ ............. 2 5. Covenant Against Gratuities (A-105, JAN 94)................................................................................................ .......... 2 6. Previous Contracts and Compliance Reports (A-106, JAN 94) ................................................................ ............... 2 7. Affirmative Action Compliance (A-107, JAN 94) ................................................................................................ ...... 3 8. Parent Company and Identifying Data (A-108, JAN 05)................................................................ ........................... 3

CERTIFICATIONS................................................................................................................................ ............................. 4 9. Certification of Independent Price Determination (A-109, JAN 94)................................................................ .......... 4 10. Disadvantaged Business Enterprise Goals (A-110, APR 04)................................................................................... 4 11. Certification of Eligibility (A-118, JAN 94)................................................................................................ ................. 4 12. Clean Air and Water Certification (A-112, JAN 94)................................................................................................ . 4 13. Certification of Non-Segregated Facilities (A-113, JAN 94) ................................................................ ..................... 5 14. Certification of Restrictions on Lobbying (A-114, NOV 04) ................................................................ ...................... 5 15. Drug-Free Workplace Program Certification (3-803.03, FEB 04) ................................................................ ............. 6 16. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion (A-126, SEP 94) ................ 617. Certificate Concerning Board Members and Employees of the Authority (A-116, JAN 05) ................................ ..... 7 18. Communication Policy and Certification (A-129, JAN 05)................................................................ ........................ 8 19. Conflict of Interest Certification (A-117, FEB 03) ................................................................................................ ..... 8

REPRESENTATIONS

1. Type of Business (A-101, DEC 04) (a) The offeror represents as part of its offer that it operates as (Mark one with an "X"): a n individua l a s ole proprie tors hip a pa rtne rs hip a corpora tion a nothe r e ntity ____________________. (b) If incorporated, under the laws of the State of:

(c) Age of the firm: __ years, __ months (d) Previous year’s annual gross receipts: le s s tha n $500K $500K - $2 mil. $2 m il. - $5 mil. more tha n $5 m il. 2. Disadvantaged Business Enterprise (DBE) (A-102, NOV 99) The offeror represents as part of its offer that it (Mark one with an "X"): is is not a disadvantaged business enterprise (DBE). A DBE is defined as "a for-profit small business concern which is at least 51 percent owned by one or more socially and economically disadvantaged individuals, or in case of any publicly owned business, at least 51 percent of the stock of which is owned by one or more socially and economically disadvantaged



individuals and whose management and daily business operations are controlled by one or more of the socially and economically disadvantaged individuals who own it." For purposes of this definition, socially and economically disadvantaged individuals include Black Americans, Hispanic Americans, Asian-Pacific Americans, Subcontinent Asian Americans, Native Americans, women; and any additional groups whose members are designated as socially and economically disadvantaged by the Small Business Administration (SBA), at such time as the SBA designation becomes effective. 3. Contingent Fee (A-103, AUG 02) Except for full-time bona fide employees working solely for the offeror, the offeror represents as part of its offer that it (Mark one with an "X"): ha s ha s not employed or retained any company or persons to solicit or obtain this contract, and (Mark one with an "X"): ha s ha s not paid or agreed to pay any person or company employed or retained to solicit or obtain this contract any commission, percentage, brokerage, or other fee contingent upon or resulting from the award of this contract. 4. Interest of Public Officials (A-104, MAY 04) The offeror represents and warrants that no employee, official, or member of the Board (Executive Committee) of the Authority is or will be pecuniarily interested in or benefited directly or indirectly as a result of this contract. 5. Covenant Against Gratuities (A-105, JAN 94) The offeror represents as part of its offer that neither it nor any of its employees, representatives or agents have offered or given gratuities (in the form of entertainment, gifts or otherwise) to any director, officer or employee of the Authority with the view toward securing favorable treatment in the awarding, amending, or the making of any determination with respect to the performing of the contract. See the General Provisions Clause entitled "Interest of Public Officials." 6. Previous Contracts and Compliance Reports (A-106, JAN 94) (a) The offeror represents as part of its offer that it (Mark one with an "X"): ha s ha s not participated in a previous contract or subcontract subject either to the Equal Opportunity clause of this solicitation, the clause originally contained in Section 310 of Executive Order Number 10925, or the clause contained in Section 201 of Executive Order Number 11114; and (b) It (Mark one with an "X"): ha s ha s not filed all required compliance reports. (c) Representations indicating submission of required compliance reports, signed by proposed subcontractors, will be obtained before subcontractor awards.



7. Affirmative Action Compliance (A-107, JAN 94) (a) The offeror represents as part of its offer that it has a workforce of (# of employees):

(b) It (Mark one with an "X"): ha s de ve lope d a nd ha s on file ha s not de ve lope d a nd doe s not ha ve on file at each establishment, affirmative action programs required by the rules and regulations of the Secretary of Labor (41 CFR 60-1 and 60-2), or it (Mark one with an "X"): has ha s not previously had contracts subject to the written affirmative action programs requirement of the rules and regulations of the Secretary of Labor. 8. Parent Company and Identifying Data (A-108, JAN 05) (a) The offeror represents as part of its offer that it (Mark one with an "X"): is is not owned or controlled by a parent company. A parent company, for the purpose of this provision, is one that owns or controls the activities and basic business policies of the offeror. To own the offering company means that the parent company must own more than 50 percent of the voting rights in that company. A company may control an offeror as a parent even though not meeting the requirements for such ownership if the company is able to formulate, determine, or veto basic policy decisions of the offeror through the use of dominant minority voting rights, use of proxy voting, or otherwise. (b) If the offeror is not owned or controlled by a parent company, it shall insert its own Employer's Identification Number below:

(c) If the offeror is owned or controlled by a parent company, it shall enter in the blocks below the name and main office address of the parent company, and the parent company's Employer's Identification Number.

NAME OF PARENT COMPANY AND MAIN OFFICE ADDRESS (INCLUDE ZIP AND PHONE):

PARENT COMPANY'S EMPLOYER'S IDENTIFICATION #:



CERTIFICATIONS 9. Certification of Independent Price Determination (A-109, JAN 94) (a) By submission of this offer, the offeror certifies, and in the case of a joint offer, each party thereto certifies as to its own organization, that in connection with this procurement: (1) The prices in this offer have been arrived at independently, without consultation, communication, or agreement,

for the purpose of restricting competition, as to any matter relating to such prices with any other offeror or with any competitor.

(2) Unless otherwise required by law, the prices which have been quoted in this offer have not been knowingly

disclosed by the offeror and will not knowingly be disclosed by the offeror prior to the opening (in the case of an advertised procurement) or prior to award (in the case of a negotiated procurement), directly or indirectly to any other offeror or to any competitor; and

(3) No attempt has been made or will be made by the offeror to induce any other person or firm to submit or not to

submit an offer for the purpose of restricting competition. (b) Each person signing this offer certifies that: (1) He is the person in the offeror's organization responsible within that organization for the decision as to prices

being offered herein and that he has not participated, and will not participate, in any action contrary to (a)(1) through (a)(3) above; or

(2) He: (i) is not the person in the offeror's organization responsible within that organization for the decision as to

the prices being offered herein but that he has been authorized in writing to act as an agent for the persons responsible for such decision in certifying that such persons have not participated, and will not participate, in any action contrary to (a)(1) through (a)(3) above, and as their agent does hereby so certify; and (ii) has not participated, and will not participate, in any action contrary to (a)(1) through (a)(3) above.

10. Disadvantaged Business Enterprise Goals (A-110, APR 04) If goals have been established, by submission of this offer, the offeror certifies that it will comply with the provisions of Exhibit G entitled "Disadvantaged Business Enterprise Provisions,” and will meet such goals as are established in any ensuing contract. 11. Certification of Eligibility (A-118, JAN 94) (a) By entering into this contract, the Contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the Contractor's firm is a person or firm ineligible to be awarded Government contracts by virtue of Section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). (b) 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). (c) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001. 12. Clean Air and Water Certification (A-112, JAN 94) Applicable if the offer exceeds $100,000, or the Contracting Officer believes that orders under an indefinite contract in any year will exceed $100,000, or a facility to be used has been the subject of a conviction under the Air Act [42 U.S.C. 7413(c)(1)] or the Water Act [33 U.S.C. 1319 (c)], and is listed by the Environmental Protection Agency (EPA) as a violating facility, and the acquisition is not otherwise exempt. By submission of this offer, the offeror certifies that:



(a) Any facility to be used in the performance of this proposed contract (Mark one with an "X"): is is not lis te d on the EP A Lis t of Viola ting Facilities; (b) It will immediately notify the Contracting Officer, before award, of the receipt of any communication from the Administrator, or a designee of the EPA, indicating that any facility which it proposes to use for the performance of the contract is under consideration to be listed on the EPA List of Violating Facilities; and (c) It will include a certification substantially the same as this certification, including this paragraph (c), in every nonexempt subcontract. 13. Certification of Non-Segregated Facilities (A-113, JAN 94) (a) By the submission of this offer, the offeror certifies that it does not and will not maintain or provide for its employees any segregated facilities at any of its establishments, and that it does not and will not permit its employees to perform their services at any location under its control, where segregated facilities are maintained. (b) The offeror agrees that a breach of this certification is a violation of the Equal Opportunity Clause in the contract. (c) As used in this certification, the term "segregated facilities" means any waiting rooms, work areas, rest rooms and wash rooms, restaurants and other eating areas, time clocks, locker rooms and other storage or dressing areas, parking lots, drinking fountains, recreation or entertainment areas, transportation, and housing facilities provided for employees that are segregated by explicit directive or are in fact segregated on the basis of race, color, religion or nation origin, because of habit, local custom or otherwise. (d) It further agrees that (except where it has obtained identical certifications from proposed subcontractors for specific time periods) it will: (1) obtain identical certifications from proposed subcontractors before the award of subcontracts under which the

subcontractor will be subject to the Equal Opportunity clause; (2) Retain such certifications in its files; and (3) Forward the following notice to the proposed subcontractors (except if the proposed subcontractors have

submitted identical certifications for specific time periods).

NOTICE TO PROSPECTIVE SUBCONTRACTORS OF REQUIREMENTS FOR CERTIFICATIONS OF NONSEGREGATED FACILITIES

A Certification of Nonsegregated Facilities must be submitted before the award of a subcontract under which the subcontractor will be subject to the Equal Opportunity clause. The certification may be submitted either for such subcontract or for all subcontracts during a period (i.e., quarterly, semiannually or annually). Note: the penalty for making false statements in offers is prescribed in 18 U.S.C. 1001. 14. Certification of Restrictions on Lobbying (A-114, NOV 04) This Certification is applicable if the offer exceeds $100,000. (a) By submission of this offer, the offeror certifies, to the best of his or her knowledge or 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 any 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, or 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 influencing

or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of



Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, Disclosure of Lobbying Activities, in accordance with its instructions [as amended by “Government-wide Guidance for New Restrictions on Lobbying,” Fed. Reg. 1413 (1/19/96)].

(3) The undersigned shall require that the language of this certification be included in the award documents for all

subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.

(b) This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31 U.S.C. § 1352 (as amended by the Lobbying Disclosure Act of 1995). Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 or not more than $100,000 for each such failure. (c) As required by subparagraph (a) above, for each subcontract at any tier exceeding $100,000, the certification and Disclosure Form (if required) shall be filed with the next tier above, and retained by that contractor with the appropriate subcontract. If a Disclosure Form is submitted, it shall be forwarded from tier to tier until received by the DART Contracting Officer. 15. Drug-Free Workplace Program Certification (3-803.03, FEB 04) (a) By submission of a bid, the bidder certifies and agrees that, with respect to the bidder and all employees of the bidder to be utilized in the performance of any contract resulting from this solicitation, it will establish a drug-free workplace program that complies with the provisions of the Drug-Free Workplace Program Clause of the General Provisions. (b) Failure of the bidder to have the drug-free workplace program complying with this certification and the Drug-Free Workplace Program Clause of the General Provisions available for the Authority's review and approval as part of the Authority's pre-award responsibility survey will be deemed a lack of responsibility rendering the bidder unqualified and ineligible for award. 16. Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion (A-126, SEP 94) (a) Primary Covered Transactions. [This certification applies to the offer submitted in response to this solicitation and will be a continuing requirement throughout the term of the prime contract.] (1) The accordance with the provisions of Appendix A to 49 Code of Federal Regulations (CFR) Part 29, the

offeror certifies to the best of its knowledge and belief, that it and its principals:

(i) are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; (ii) have not within a three-year period preceding this offer been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State, or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes, or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; (iii) are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (1)(ii) of this Certification; and (iv) have not within a three-year period preceding this offer had one or more public transactions (Federal, State, or local) terminated for cause or default.

(2) Where the offeror is unable to certify to any of the statements in this Certification, the offeror shall attach an

explanation to this offer. (b) Lower Tier Covered Transactions. [This certification applies to a subcontract at any tier expected to equal or exceed $25,000, and will be a continuing requirement throughout the term of the prime contract.]



(1) In accordance with the provisions of Appendix B to 49 Code of Federal Regulations (CFR) Part 29, the

prospective lower tier participant (subcontractor) certifies, by submission of this offer, that neither it nor its principals is presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency.

(2) 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 proposal. (c) The Certification required by subparagraph (b), above, shall be included in all applicable subcontracts and a copy furnished to the Contracting Officer upon execution of the Certification. 17. Certificate Concerning Board Members and Employees of the Authority (A-116, JAN 05) The Dallas Area Rapid Transit Authority (DART) has adopted Rules of Procedure for DART Board members and DART personnel policies for employees that prohibit their participation in contractual or employment relationships for certain periods after their relationship with DART ends. These prohibitions may be found in Board Resolution No. 940175 dated June 28, 1994, and the relevant DART personnel policy, respectively. These restrictions also apply to the spouses of former Board members and former employees. For former Board members, the prohibition is for a period of one year following the end of the member's term or the date of his/her resignation, and applies to participation as a principal in a DART contract or first-tier subcontract, or as an employee of a DART contractor or first-tier subcontractor. For former DART employees, the prohibition is for one year after leaving DART, and relates to participation in any contract or employment relationship that results in an assignment to work on any DART project for which the employee had significant responsibilities. (A copy of Board Resolution No. 940175 and the relevant DART personnel policy may be obtained from the DART Contracting Officer.) The Board of Directors may waive the above prohibitions, by a two-thirds vote, for a particular person and/or relationship if it determines that it is in the best interest of DART to do so. (a) By submission of this offer the offeror hereby certifies that, to the best of his/her knowledge and belief, with the exception of any information described in this certification or attached hereto, the offeror has no information concerning a violation or possible violation of the DART Board Rules of Procedures as established in Resolution No. 940175, approved June 28, 1994, or the above DART personnel policy for former employees, which would result if DART awards a contract based upon this offer. (b) Violations or possible violations. (Continue on plain bond paper and label Certificate Concerning Former Board Member and Employees of the Dallas Area Rapid Transit Authority, Continuation Sheet.) CHECK "NONE" IF NONE EXISTS.

NONE

(Please make entry in this space if applicable)

VIOLATIONS OR POSSIBLE VIOLATIONS:

(c) This certification concerns a material representation of fact upon which reliance will be placed in awarding a contract. If it is later determined that the offeror knowingly rendered an erroneous certification, in addition to any other remedies the Authority may have, the Contracting Officer may terminate the contract resulting from this solicitation for default and/or recommend that the offeror be debarred or suspended from doing business with DART in the future in accordance with the procedures set forth in the DART Procurement Regulations. (d) The offeror shall provide immediate written notice to the Contracting Officer if, at any time prior to contract award, he/she learns that the certification was erroneous when submitted or has become erroneous by reason of changed circumstances.



(e) The offeror further agrees by submitting this offer that it will include this Certificate, without modification, in all first-tier subcontracts. The offeror shall be responsible for compliance by any first-tier subcontractor with the provisions set forth in this Certificate. 18. Communication Policy and Certification (A-129, SEP 98) (a) All oral and written communications with DART regarding this solicitation should be exclusively with, or on subjects and with persons approved by, the person identified in Block 3 of the solicitation cover sheet. Discussions or communications with any other person could result in disclosure of proprietary or other competitive sensitive information or otherwise create the appearance of impropriety or unfair competition and, thereby, compromise the integrity of DART's procurement system. If competition issues cannot be resolved through normal communication channels, the DART Procurement Regulations contain protest provisions for actual or prospective competitors claiming any impropriety in connection with this procurement. (b) By submission of this offer, the offeror certifies that it has not, and will not prior to contract award, communicate orally or in writing with any DART employee or other representative (including DART Board members, DART contractors, or DART consultants) other than the individual, or person(s) and on subjects approved by the individual, named in Block 3 of the solicitation, except as described below: (CHECK "NONE" IF NONE EXISTS.)

NONE

Name of DART Representative

Date and Subject of Communication

{provide attachment, if necessary} (c) This certification concerns a material representation of fact upon which reliance will be placed in awarding a contract. If it is later determined that the offeror knowingly rendered an erroneous certification, in addition to any other remedies the Authority may have, the Contracting Officer may terminate the contract resulting from this solicitation for default and/or recommend that the offeror be debarred or suspended from doing business with DART in the future in accordance with the procedures set forth in DART's Procurement Regulations. In addition, a false entry could be a violation of Texas Penal Code paragraph 37.10. (d) The bidder/offeror shall provide immediate written notice to the Contracting Officer if, at any time prior to contract award, he/she learns that its certification was, or a subsequent communication makes, the certification erroneous. 19. Conflict of Interest Certification (A-117, FEB 03) By submission of this offer, I certify that: (a) I have read and understand the General Provisions clause entitled "Interest of Public Officials" that will be incorporated into any contract resulting from this solicitation. I further understand that the pecuniary interest in that clause includes employment relationships. (b) I understand the Authority has an internal conflict of interest policy for its employees that includes as an actual or possible conflict of interest whether or not a member of the employee's immediate family works for a firm doing, or seeking to do, business with the Authority. (c) Mark one with an "X": □ To the best of my knowledge and belief, no employee of my firm is related to an Authority employee; or □ An employee of my firm is related to an Authority employee and a letter to the Contracting Officer explaining that relationship is attached to this Exhibit A.



(d) The requirements of this certification have been passed through to all first-tier subcontractors or subconsultants anticipated to be used at the time of the submission of my offer.

**************************************************************** SIGNATURE BLOCK FOR ALL

REPRESENTATIONS & CERTIFICATIONS ****************************************************************

NAME OF OFFEROR & ADDRESS (INCLUDE ZIP &PHONE) SIGNATURE:

TYPE NAME: DATE:

OFFERORS MUST SET FORTH FULL, ACCURATE AND COMPLETE INFORMATION AS REQUIRED BY THIS SOLICITATION (INCLUDING THIS ATTACHMENT). FAILURE TO DO SO MAY RENDER THE OFFER NONRESPONSIVE OR UNACCEPTABLE. A FALSE STATEMENT IN ANY OFFER SUBMITTED TO THE AUTHORITY MAY BE A CRIMINAL OFFENSE IN VIOLATION OF SECTION 37.10 OF THE TEXAS PENAL CODE.

B-1020513


EXHIBIT B

SPECIAL SOLICITATION INSTRUCTIONS

AND CONDITIONS


33.B p. 1 of 5

Dallas Area Rapid Transit Authority

EXHIBIT B SPECIAL SOLICITATION INSTRUCTIONS and CONDITIONS

Table of Contents 1. Introduction and Purpose of Solicitation ................................................................................................. 12. Definitions (B-100.01C, Jan 02) ............................................................................................................. 1

(a) Authority (B-100.01D, Jan 02) .................................................................................................... 1(b) Direct Cost (B-100.01F, JAN 02) ................................................................................................ 1(c) Indirect Cost (B-100.01G, JAN 02) ............................................................................................. 1

3. Estimated Quantities, Evaluation and Basis of Award ........................................................................... 2(a) One Award (B-100.03A, AUG 04) ............................................................................................... 2(b) All or None Pricing (B-100.10A, FEB 05) .................................................................................... 2(c) Estimated Quantities (B-100.06C1, JAN 02) .............................................................................. 2(d) Brand Name, Equal Brand Name and Generic Specifications. .................................................. 2(e) Right to Reject Materially Unbalanced Offers (B-100.09A, JUL 04) ........................................... 2(f) Concern for Public and Private Safety ........................................................................................ 2(g) Detailed Description of Supplies/Services Not in Schedule (B-100.12A, OCT 04) .................... 2(h) Evaluation of Offers Inclusive of Options (B-100.06B, JUL 04) .................................................. 2

4. Options ................................................................................................................................................... 35. Distribution of electronic files for Exhibit I and Exhibit J ......................................................................... 36. Questions or Requests for Clarification Concerning the Solicitation ...................................................... 37. Submission of Schedule of Subcontractor(s)/Subconsultant(s) (B-100.23, SEP 03) ............................. 38. Project’s Rough Order of Magnitude ...................................................................................................... 39. Submission of the Bid Bond ................................................................................................................... 310. Payment and Performance Bonds (B-100.29A, JAN 02) ....................................................................... 311. Submission of the Payment and Performance Bonds ............................................................................ 312. Buy American Certificate (B-100.33A, FEB 02) ..................................................................................... 313. Interested Vendors ................................................................................................................................. 314. RSVP for Pre-bid Conference ................................................................................................................ 415. List of References for Similar Projects – Exhibit L ................................................................................. 416. Timeframe for Award of Contract ........................................................................................................... 4Attachment 1 to Exhibit B - Schedule of Subcontractor(s)/Subconsultant(s) ............................................... 5 1. Introduction and Purpose of Solicitation (a) The Dallas Area Rapid Transit Authority (the “Authority” or “DART”) is a public transportation agency providing an assortment of transportation services to 13 cities in the Dallas, Texas, Metroplex. Transportation services include bus, an electric light-rail system, a commuter rail line, high occupancy vehicle (HOV) lanes, ride-sharing programs, curb-side services for the mobility impaired, and transit educational services. (b) The Authority is seeking sealed offers from qualified firms or individuals interested in providing services for the construction of a “park & ride facility” in northwest Plano. This facility will accommodate approximately 550 parking spaces, and includes a crew building and bus shelters. 2. Definitions (B-100.01C, Jan 02) (a) Authority (B-100.01D, Jan 02) Authority means the Dallas Area Rapid Transit (DART). (b) Direct Cost (B-100.01F, JAN 02) Any cost that can be identified specifically with a particular final cost objective (i.e. material cost, labor

cost, equipment cost). (c) Indirect Cost (B-100.01G, JAN 02) Any cost not directly identified with a single, final cost objective, but identified with two or more final

cost objectives or an intermediate cost objective (i.e. mobilization, general requirements, profit and overhead).


33.B p. 2 of 5

3. Estimated Quantities, Evaluation and Basis of Award (a) One Award (B-100.03A, AUG 04) One contract award is anticipated under this solicitation. Multiple contract awards shall not be made. (b) All or None Pricing (B-100.10A, FEB 05) Failure of an offeror to provide prices for all line items listed on the Schedule shall be cause for rejection of the entire offer. However, an offeror may enter “No Cost” in the unit price and extended amount columns to indicate that the item is being offered at “No Cost.” (c) Estimated Quantities (B-100.06C1, JAN 02) The quantities specified in the Schedule are estimates only, used as a basis to determine award of contract, and are not purchased hereby. Exceeding or not using the listed quantities shall not be cause for equitable adjustment. (d) Brand Name, Equal Brand Name and Generic Specifications. Some items called for in this solicitation are specified by Brand Name Only; or by Brand Name(s) with a listing of salient characteristics (Brand Name or Equal Brand Name); or by generic description without mention of a brand name. (1) Some items listed in the Specifications and Drawings are identified with the approved sources of

supply without the words “or approved equal”. All brand name identifications throughout the specifications and drawings will be considered “or approved equal.” Therefore, the Authority will consider these brand name items under the same conditions.

(2) The brand name identifications associated with items described as "Brand Name or Equal Brand

Name" are not intended to be restrictive. The salient characteristics provided for each item are the minimum criteria that shall be acceptable to the Authority. Items offered must be the same brand names specified or different brand names that meet or exceed the salient characteristics listed. Offers for items that do not satisfy the required salient characteristics shall not be considered for award. The Authority reserves the right to determine if items meet or exceed the salient characteristics. Offers for "Equal Brand Name" items shall be considered for award if such items are clearly identified in the offer, and are determined by the Authority to satisfy the stipulated salient characteristics.

(3) Other items called for in this solicitation are identified by generic description without mention of a

brand name. Throughout the specifications, all described features and other requirements are the minimum criteria that shall be acceptable to the Authority for these generic items. Items offered must meet or exceed the minimum criteria. Offers for items that do not satisfy the minimum criteria shall not be considered for award. The Authority reserves the right to determine if items offered meet or exceed the minimum criteria.

(e) Right to Reject Materially Unbalanced Offers (B-100.09A, JUL 04) The Authority reserves the right to reject offers that are materially unbalanced, i.e., that contain unreasonably high unit prices for some items and/or unreasonably low unit prices for other items. (f) Concern for Public and Private Safety Public and private safety shall be evaluated based upon safety and insurance information submitted by the offeror in the Pre-Award Survey documents in Exhibit L. Experience Modifier’s greater than 0.90 may be required to submit additional safety documentation satisfactory to the Authority that substantiates consistent ongoing improvement in loss experience. Offeror’s with an unacceptable insurance Experience Modifier may be determined to be non-responsible. (g) Detailed Description of Supplies/Services Not in Schedule (B-100.12A, OCT 04) Item descriptions in the Schedule are not intended as complete descriptions of the required supplies and/or services to be purchased under this solicitation. Complete descriptions are provided in the Specifications and/or Statement of Work exhibits in this solicitation document. (h) Evaluation of Offers Inclusive of Options (B-100.06B, JUL 04) The Authority shall evaluate offers for award purposes by including the total price for the basic requirement together with any option pricing, i.e., option pricing will be included in the evaluation for award purposes. Optional items shall not necessarily be purchased under this solicitation.


33.B p. 3 of 5

4. Options (a) Refer to the Schedule [Bid Schedule] for any item that is bid as an option(s). The Offers for the Options shall remain firm for a period of 100 calendar days from the date specified in Block 7 of the Solicitation, Offer and Award form. (b) Deduct or Add for Providing & Installing LED Light Fixtures in Lieu of Metal Halide Fixtures. Refer to Exhibit J - Drawing EC5-0005. The pricing to be entered on the Schedule [Bid Schedule] for this item is the “price difference”. 5. Distribution of electronic files for Exhibit I and Exhibit J The electronic files of Exhibit I and Exhibit J will be made available to interested vendors by contacting Cedric Seay at [email protected]. Interested vendors are to make the request by email only. Provide the solicitation # and title when requesting the electronic files to ensure that your firm receives the documents for this solicitation “Construction of a Park & Ride Facility in Northwest Plano”. In the case there are any amendments that reference a revision to Exhibit I or Exhibit J, interested vendors are solely responsible for requesting the revised electronic files. No media formats will be mailed, delivered, etc. at DART’s expense. Vendors are reminded that all of the other solicitation documents are available for download via a DART registered vendor’s account at http://dart.org/procurement/doingbusiness.asp. 6. Questions or Requests for Clarification Concerning the Solicitation This provision takes precedence over language included in the provision titled “Pre-Bid Conference and Questions Concerning the Solicitation” of Exhibit C – Solicitation Instructions and Conditions. Questions or requests for clarification concerning the solicitation shall be submitted in writing June 29, 2011 no later than 5:00pm (local Dallas time). Questions received after June 29, 2011 5:00pm (local Dallas time), will be responded to only if the Authority determines the question and its response would have a material and substantive impact on the solicitation. Questions or requests for clarifications are to be submitted on the form provided as Exhibit O. Exhibit O is to be submitted only via email in .pdf format to [email protected]. 7. Submission of Schedule of Subcontractor(s)/Subconsultant(s) (B-100.23, SEP 03) Each offeror should include a completed Schedule of Subcontractor(s)/Subconsultant(s) form provided as Attachment 1 to Exhibit B with their offer. The contents of the form may be a factor used in determining an offeror's responsibility. 8. Project’s Rough Order of Magnitude For planning purposes, the rough order of magnitude total for this project falls within the range of $4,000,000 - $7,000,000. 9. Submission of the Bid Bond Offerors shall use the form provided in Exhibit P when submitting the bid bond. Failure to use the form in this solicitation shall be cause for offer to be rejected. 10. Payment and Performance Bonds (B-100.29A, JAN 02) The Contractor shall include only the actual costs of payment and performance bonds in the line item on the Schedule. The Authority will not consider any amount in excess of the actual costs of these bonds. The Authority reserves the right to request documentation from the Contractor as to the amount actually paid for these bonds. 11. Submission of the Payment and Performance Bonds Offerors shall use the forms provided in Exhibit Q and Exhibit R when submitting the payment and performance bonds. Failure to use the forms shall be cause for the bonds to be rejected. 12. Buy American Certificate (B-100.33A, FEB 02) Offerors are reminded that Exhibit U must be submitted with the Schedule in order for a submitted bid to be considered. Any bid submitted without Exhibit U will be considered nonresponsive. 13. Interested Vendors In an effort to assist interested vendors with business development, firms are encouraged to submit in a separate email to [email protected]:

Firm’s name

mailto:[email protected]�

http://dart.org/procurement/doingbusiness.asp�




33.B p. 4 of 5

Whether the firm is approaching as a “prime bidder” or indicate subcontract/supplier trade(s) Whether the firm is a certified DBE (as defined per Exhibit G) Contact’s first and last name Contact’s email address Contact’s phone #

This information will be made available to other interested vendors upon request. Firms may also go to http://www.dart.org/webapps/procurement/solicitation/default.asp to view what firms have downloaded the solicitation [go to the solicitation listing and click on ‘Click here to view a list the vendors who have downloaded this solicitation’]. 14. RSVP for Pre-bid Conference In an effort to assist with logistics for the pre-bid conference, please provide the name, email address, and phone # of those who plan to attend to [email protected]. 15. List of References for Similar Projects – Exhibit L (a) In addition to the requirements in Exhibit L, and in an effort to minimize the requesting of information by DART after bid opening, Offerors are encouraged to provide all of the following traceable information for the “List of References for Similar Projects” on the sheet provided within Exhibit L: Project: Date of Completion, and Dollar Value of Work Performed To Date/Final: Contact Person: Company Name: Address: Telephone Number: Fax Number: E-mail Address: Brief Statement of Scope of Work Performed: (b) Offerors may submit the information for the “List of References for Similar Projects” in their own format, but that format should contain all of the requested information identified above in subparagraph (a). (c) Offerors should submit a minimum of four (4) references. 16. Timeframe for Award of Contract In addition to the information provided in the “Firm Offer Period” addressed in Block 10 of the Solicitation, Offer and Award form, interested parties should not anticipate a contract award prior to September 15, 2011. Interested parties may request the contract award information on or around September 15, 2011 by emailing the solicitation contact at [email protected]. Contract award information does not have to be processed through DART’s Legal Department.

http://www.dart.org/webapps/procurement/solicitation/default.asp�




33.B p. 5 of 5

DALLAS AREA RAPID TRANSIT

Attachment 1 to Exhibit B - Schedule of Subcontractor(s)/Subconsultant(s) Offerors should provide information on all of their prospective subcontractor(s)/subconsultant(s) who submit bids/proposals in support of this solicitation (B-100.23A SEP 03).

Project Name: Construction of a Park & Ride Facility in Northwest Plano Solicitation Number: _B-1020513__________________

Name of Prime Contractor: _______________________________________________________

NAMES AND ADDRESSES OF SUBCONTRACTOR(S)/SUBCONSULTANT(S)

TYPE OF WORK TO BE PERFORMED

MINORITY OR WOMAN FIRM?

(Check all that apply)

PREVIOUS YEAR'S ANNUAL GROSS

RECEIPTS NAME: ADDRESS: PHONE: FAX: E-MAIL: TAX ID #: CONTACT PERSON:

TYPE OF WORK: AGE OF FIRM:

YES □ NO □

IF YES: DBE □ OR MBE □ OR WBE □

□ less than $500K □ $500K - $2 mil. □ $2 mil. - $5 mil. □ more than $5 mil.

NAME: ADDRESS: PHONE: FAX: E-MAIL: TAX ID #: CONTACT PERSON:


YES □ NO □





YES □ NO □





YES □ NO □





YES □ NO □





YES □ NO □



Name/Title of Person completing this form: ___________________________________ Signature____________________________________________ Date_____________________

PAGE ___ of ____

B-1020513


EXHIBIT C

SOLICITATION INSTRUCTIONS

AND CONDITIONS


Form 33.608F (08/05) Page 1 of 6 Exhibit C


EXHIBIT C SOLICITATION INSTRUCTIONS AND CONDITIONS

(INVITATION FOR BIDS - FEDERALLY ASSISTED CONSTRUCTION, ALTERATION OR REPAIR)

Table of Contents

1. Acknowledgment of Amendments to Invitation for Bids (3-802.03, JUN 91) ............................................................. 12. Administrative Remedies (10-102, JUN 86) .............................................................................................................. 13. Authority-Furnished Property (3-802.08, JUN 86) ..................................................................................................... 14. Award of Contract (3-802.07, FEB 04) ...................................................................................................................... 15. Bonds (3-803.01, JUN 86) ......................................................................................................................................... 26. Buy America Provision (F-108, MAR 03) .................................................................................................................. 27. Cancellation of Solicitation (3-802.13, JUN 91) ......................................................................................................... 28. Confidential Data (3-802.11, FEB 96) ....................................................................................................................... 29. Disadvantaged Business Enterprise (DBE) Participation (B-100.17A, DEC 01) ....................................................... 210. Discounts (3-802.06, FEB 96) ................................................................................................................................... 311. Explanation to Bidders (3-802.02, JUL 91) ................................................................................................................ 312. FTA Protest Procedures (B-100.18B, MAY 05) ......................................................................................................... 313. Federal Transit Administration (B-100.18C, NOV 92) ................................................................................................ 314. Late Submissions, Modifications, and Withdrawals of Bids (3-802.05, FEB 04) ...................................................... 315. Order of Precedence (3-802.10, JUN 86) .................................................................................................................. 416. Multiple or Alternate Offers Not Accepted (B-100.20A, AUG 05) .............................................................................. 417. Pre-Bid Conference and Questions Concerning the Solicitation (B-100.02A, AUG 04) ............................................ 518. Preparation of Bids (3-802.01, JUL 91) ..................................................................................................................... 519. Procurement Confidentiality (B-100.22A, AUG 04) .................................................................................................... 520. Site Investigation (3-803.02, JUL 91) ........................................................................................................................ 521. Submission of Bids (3-802.04, FEB 94) .................................................................................................................... 6

1. (a) If this solicitation is amended, then all terms and conditions which are not modified remain unchanged. (b) Bidders shall acknowledge receipt of any amendment to this solicitation: (1) by signing and returning the amendment; or (2) by identifying the amendment number and date in the space provided for this purpose on the bid form; or (3) by letter or telegram. The Authority must receive the acknowledgment by the time and at the place specified for receipt of bids.

Acknowledgment of Amendments to Invitation for Bids (3-802.03, JUN 91)

2. By submission of a bid, proposal, offer, or quotation in response to this solicitation, the bidder or offeror agrees to exhaust its administrative remedies under Chapter 10 of the Authority's Procurement Regulations or the Disputes Clause of any resulting contract prior to seeking judicial relief of any type in connection with any matter related to this solicitation, the award of any contract, and any dispute under any resulting contract.

Administrative Remedies (10-102, JUN 86)

3. No material, labor, or facilities will be furnished by the Authority unless otherwise provided for in the solicitation.

Authority-Furnished Property (3-802.08, JUN 86)

4. (a) The contract will be awarded to the responsible bidder whose bid, conforming to the solicitation, will be most advantageous to the Authority, price and other factors considered. A responsible bidder is one who affirmatively demonstrates to the Authority that the bidder has adequate financial resources and the requisite capacity, capability, and facilities to perform the contract within the delivery period or period of performance, has a satisfactory record of performance on other comparable projects, has a satisfactory record of integrity and business ethics, and is otherwise qualified and eligible to receive award under the solicitation and laws or regulations applicable to the procurement. (b) The Authority reserves the right to reject any or all bids in part or in total for any reason, to accept any bid if considered best for its interest, and to waive any informalities and minor irregularity in any bids received.

Award of Contract (3-802.07, FEB 04)



(c) The Authority may accept any item or group of items of any bid, unless the bidder qualifies the bid by specific limitations. Unless otherwise provided in the solicitation, bids may be submitted for any quantities less than those specified, and the Authority reserves the right to make an award on any item for a unit quantity less than the quantity offered at the unit prices bid unless the bidder specified otherwise in the bid. (d) A written award (or acceptance of bid) which is mailed, telegraphed, or otherwise furnished to the successful bidder within the time for acceptance specified in the solicitation shall be deemed to result in a binding contract without further action by either party. (e) Any financial data submitted with any bid hereunder or any representation concerning facilities or financing will not form a part of any resulting contract; provided, however, that if the resulting contract contains a clause providing for price reduction for defective cost or pricing data, the contract price will be subject to reduction if cost or pricing data furnished hereunder is incomplete, inaccurate, or not current. 5. (a) Bid Bond on the form accompanying this solicitation (or a certified check payable to the Authority from a bank acceptable to the Authority) in an amount equal to 5% of the total bid price must be submitted by each bidder prior to bid opening date and time under this solicitation. The Bid Bond must be executed strictly in accordance with the instructions printed thereon. Failure to comply with the requirements for a Bid Bond may render a bid ineligible for further consideration for award. (b) The successful bidder will be required to submit Performance and Payment Bonds on the forms accompanying this solicitation (each in an amount equal to the total contract price) within the time prescribed by the Authority.

Bonds (3-803.01, JUN 86)

6. This solicitation and the resulting contract are subject to the Buy America requirements of 49 U.S.C. § 5323(j) and the Federal Transit Administration’s implementing regulations found at 49 CFR § 661, the provisions of each of which are incorporated herein by reference. These regulations require, as a matter of responsiveness, that the bidder or offeror submit with its offer a completed certification in accordance with 49 CFR § 661.6 or § 661.12, as appropriate. These certifications are set forth in Exhibit U of this solicitation.

Buy America Provision (F-108, MAR 03)

7. This solicitation may be cancelled by the Authority before or after receipt of bids or proposals (as applicable) in accordance with the provisions of Section 3-300 of DART's Procurement Regulations.

Cancellation of Solicitation (3-802.13, JUN 91)

8. Each bidder may clearly mark each page of the bid that contains trade secrets or other confidential commercial or financial information which the bidder believes should not be disclosed outside the Authority. Disclosure of requested information will be determined in accordance with the Texas Open Records Act.

Confidential Data (3-802.11, FEB 96)

9. (a) It is the policy of the Authority and the Department of Transportation (DOT) to ensure that Disadvantaged Business Enterprises (DBEs), as defined in Exhibit G of this solicitation and pursuant to 49 Code of Federal Regulations (CFR) Part 26, are provided a level playing field, thus fostering an equal opportunity for them to participate in the performance of contracts financed in whole or in part with Federal funds. Consequently, the DBE requirements of 49 CFR Part 26 apply to this solicitation. In this regard, all offerors shall take all necessary and reasonable steps in accordance with 49 CFR Part 26 to ensure that DBEs have a level playing field and an opportunity to compete for and perform contracts. The Authority and all offerors shall not discriminate on the basis of race, color, national origin or sex in the award and performance of DOT-assisted contracts or subcontracts. (b) In accordance with its DBE Policy, the Authority has established a goal for DBE participation in this solicitation. The offeror will be expected to meet or exceed, and/or demonstrate its good faith efforts to meet the goal. This goal, expressed as a percentage of the total contract price, including any increases that may occur, is:

Disadvantaged Business Enterprise (DBE) Participation (B-100.17A, DEC 01)

% DBE Participation

Note: N/A denotes not applicable to this procurement.

33



(c) The Authority's DBE requirements are set forth in Exhibit G of this solicitation. Offerors are advised to carefully review Exhibit G including the requisite forms attached thereto. Offerors should undertake necessary steps to plan and adequately provide for compliance with the stated DBE utilization goal well in advance of the date specified for the bid opening or receipt of proposals. (d) Offerors are advised that the issue of whether or not the offeror has met or exceeded the established goal, or demonstrated sufficient good faith efforts, is considered by the Authority a matter of the offeror's responsibility. DART will only award contracts to offerors determined to be responsible. (e) The goal agreed to between DART and the successful offeror shall be incorporated into the contract resulting from this solicitation. 10. (a) Prompt payment discounts will not be considered in evaluating bids for award. However, offered discounts will be taken if payment is made within the discount period, even though not considered in the evaluation of bids. (b) In connection with any discount offered for prompt payment, time shall be computed from (1) the date of completion of performance of the services or delivery of the supplies to the carrier if acceptance is at a point of origin, or date of delivery at destination or port of embarkation if delivery and acceptance are at either of these points, or (2) the date the correct invoice or voucher is received in the office specified by the Authority, if the latter is later than the date of performance or delivery. For the purpose of computing the discount earned, payment shall be considered to have been made on the date of the Authority's check.

Discounts (3-802.06, FEB 96)

11. Any explanation desired by a bidder regarding the meaning or interpretation of the solicitation, drawings, specifications, etc., must be requested in writing from the Authority's Contracting Officer and with sufficient time allowed for a reply to reach bidders before the submission of bids. Oral explanations or instructions given before the award of any contract, at any pre-bid conferences or otherwise, will not be binding on the Authority. Any information given to a bidder concerning an interpretation of the solicitation will be furnished to all bidders as an amendment to the solicitation, if such information is necessary to bidders in submitting bids on the solicitation or if the lack of such information would be prejudicial to uninformed bidders.

Explanation to Bidders (3-802.02, JUL 91)

12. (a) In accordance with the "Administrative Remedies" provision of this solicitation and the detailed procedures set forth in Chapter 10 of the Authority's Procurement Regulations, any interested party who is aggrieved or adversely affected in connection with this solicitation, or award of a contract as a result of this solicitation, may protest to the Vice President of Procurement, and appeal any adverse decision of the Vice President of Procurement to the Authority's Board of Directors or its duly authorized representative. (b) Paragraph 7(l) of Federal Transit Administration (FTA) Circular 4220.1E prescribes the limited circumstances under which FTA will review a protest and establishes the detailed procedures that must be followed by a protestor. Under those procedures, FTA will only review protests submitted by an "interested party" regarding: (1) the alleged failure of the Authority to have or follow its written protest procedures, or its alleged failure to review a complaint or protest; or (2) violations of Federal law or regulation. (c) Copies of Chapter 10 of the Authority's Procurement Regulations and/or paragraph 7(l) of FTA Circular 4220.1E will be furnished to any offeror without charge upon written request to the Contracting Officer.

FTA Protest Procedures (B-100.18B, MAY 05)

13. As a result of the enactment of the Federal Transit Act Amendments of 1991, the Urban Mass Transportation Administration (UMTA) was redesignated as the Federal Transit Administration (FTA). Accordingly, whenever in the solicitation reference is made to either the "Urban Mass Transportation Administration" or "UMTA", that reference shall be considered as referring to either the "Federal Transit Administration" or "FTA", as appropriate.

Federal Transit Administration (B-100.18C, NOV 92)

14.

Late Submissions, Modifications, and Withdrawals of Bids (3-802.05, FEB 04)



(a) Any bid received at the office designated in the solicitation after the exact time specified for receipt will not be considered unless it is received before award is made, and: (1) it was sent by registered or certified mail not later than the fifth calendar day prior to the date specified for receipt

of bids (e.g., a bid submitted in response to a solicitation requiring receipt of bids by the 20th of the month must have been mailed by the 15th or earlier);

(2) it was sent by mail (or telegram if authorized) and it is determined by the Authority that the late receipt was due

solely to mishandling by the Authority after receipt at the Authority's offices; or (3) it was sent by U. S. Postal Service Express Mail Next Day Service - Post Office to Addressee not later than 5:00

P.M. at the place of mailing two (2) working days prior to the date specified for receipt of bids. The term "working days" excludes weekends and U. S. Federal holidays.

(b) Any modification or withdrawal of a bid is subject to the same conditions as in (a) of this provision. (c) The only acceptable evidence to establish: (1) the date of mailing of a late bid, modification or withdrawal sent either by registered or certified mail is the U.S.

Postal Service postmark on both the envelope or wrapper and on the original receipt from the U.S. Postal Service. If neither postmark shows a legible date, the bid, modification or withdrawal shall be deemed to have been mailed late. The term "postmark" means a printed, stamped, or otherwise placed impression, exclusive of a postage meter machine impression, that is readily identifiable without further action as having been supplied and affixed on the date of mailing by an employee of the U.S. Postal Service. Therefore, bidders should request the postal clerk to place a legible hand cancellation bull's-eye "postmark" on both the receipt and the envelope or wrapper; and

(2) the time of receipt at the Authority is the time-date stamp of the Authority on the bid wrapper or other

documentary evidence of receipt maintained by the Authority. (3) the date of mailing of a late bid, modification, or withdrawal sent by U. S. Postal Service Express Mail Next Day

Service - Post Office to Addressee is the date entered by the post office receiving clerk on the "Express Mail Next Day Service - Post Office to Addressee" label, and the postmark on the envelopes or wrapper and on the original receipt from the U. S. Postal Service. "Postmark" has the same meaning as defined in paragraph (c)(1) of this provision. Therefore, bidders should request the postal clerk to place a legible hand cancellation bull's-eye "postmark" on both the receipt and the envelope or wrapper.

(d) Notwithstanding (a) of this provision, a late modification of an otherwise successful bid which makes its terms more favorable to the Authority will be considered at any time it is received and may be accepted. (e) Bid may be withdrawn by written or telegraphic notice received at any time before the exact time set for receipt of bids. A bid may be withdrawn in person by a bidder or the bidder's authorized representative before the exact time set for receipt of bids, provided the identity of the person requesting withdrawal is established and the person signs a receipt for the bid. 15. In the event of any inconsistency between the provisions of the solicitation (including any resulting contract), the inconsistency shall be resolved by giving precedence in the following order: (a) the Schedule; (b) Special Solicitation Instructions and Conditions; (c) Solicitation Instructions and Conditions; (d) Special Provisions; (e) General Provisions; (f) other provisions of the contract whether incorporated by reference or otherwise; and (g) the specifications or statement of work.

Order of Precedence (3-802.10, JUN 86)

16. (a) Definitions.

Multiple or Alternate Offers Not Accepted (B-100.20A, AUG 05)

(1) Multiple offers means more than one offer submitted, each satisfying the specific stated requirements of the solicitation.

(2) Alternate offers means an offer submitted that may depart from the specific stated requirements of the solicitation.

(b) Unless otherwise specified in this solicitation, multiple or alternate offers shall not be accepted in response to this solicitation. All multiple or alternate offers shall be rejected; provided however, that if the offeror clearly identifies a



primary offer, it shall be evaluated and considered for award as though it were the only offer submitted. 17. Pre-Bid Conference and Questions Concerning the Solicitation (B-100.02A, AUG 04 (a) A pre-bid conference is scheduled for all interested parties to discuss the solicitation requirements, if so indicated on the Solicitation, Offer and Award Form. Details concerning the conference date, time and location are also provided. (b) Questions and requests for clarification relating to this solicitation, shall be submitted in writing, to the contact person identified in the Solicitation, Offer and Award Form by mail, facsimile or commercial courier, at least three (3) working days in advance of the scheduled conference to allow sufficient time for responses to be considered and prepared by the Authority. Questions concerning the solicitation that are not addressed at the conference, if one is held, shall be submitted in writing no later than five (5) working days in advance of the offer submission due date and time, which is the minimum time required for the Authority’s reply to reach offerors before the offer submission due date and time, as required by the "Acknowledgement of Amendments to the Invitations for Bids" clause. Questions received less than five (5) working days in advance of the offer submission due date and time will be responded to only if the Authority determines that the question and its response would have a material and substantive impact on the solicitation. (c) Questions or requests for clarification may be submitted on the form provided as Exhibit O.

)

18. (a) Bidders are expected to examine the Schedule, solicitation instructions, Special Provisions, General Provisions, all drawings, specifications, the statement of work, and all other provisions of, and exhibits to, the solicitation, whether incorporated by reference or otherwise, prior to the submission of bids. Failure to do so will be at the bidder's risk. (b) Each bidder shall furnish the information required by the solicitation. Bids shall be submitted on the bid form contained in the solicitation. Bidders shall sign and print or type their name on the bid form and each continuation sheet on which they make an entry. Erasures or other changes must be initialed by the person signing the bid. Bids signed by an agent of the bidder (other than an officer or a partner of the bidder) are to be accompanied by evidence of the agent's authority (unless such evidence has been previously furnished to the Authority). (c) All blanks on the bid form shall be filled in by typewriter or printed in ink with a firm fixed unit price for items bid. Unit prices shall include packing unless otherwise specified. In case of any discrepancy between a unit price and any extended or total price required by the bid form, the unit price will be presumed to be correct, subject, however, to correction to the same extent and in the same manner as any other mistake. (d) Bids for property or services other than those specified in the Schedule will not be considered unless specifically authorized in the solicitation. Any condition, qualification, or limitation of the bid will be a basis for rejection of the bid as nonresponsive. (e) The bidder must state a definite time for delivery of property or for performance of services unless otherwise specified in the solicitation. All measurements shall be in the system of weights and measures in common usage in the United States, and pricing shall be in U.S. dollars. (f) In computing any period of time for the solicitation or any resulting contract, "days" means calendar days, and the day of the event from which the designated period of time begins to run shall not be included, but the last day shall be included unless it is a Saturday, Sunday, or Federal or State of Texas holiday, in which event the period shall run to the end of the next business day.

Preparation of Bids (3-802.01, JUL 91)

19. (a) Offerors are cautioned that until this solicitation is either awarded or cancelled, they may have contact only with the contact person identified in the Solicitation, Offer and Award Form. Discussions or communications regarding this solicitation with any other personnel associated in any capacity with the Authority, its consultants, contractors or members of its Board of Directors, are strictly prohibited, unless otherwise approved in writing by the Contracting Officer. (b) Any violation of this restriction may result in the disqualification of the offeror from further participation in this procurement, and from award of any contract or subcontract under this solicitation.

Procurement Confidentiality (B-100.22A, AUG 04)

20.

Site Investigation (3-803.02, JUL 91)



All bidders are cautioned to read the Site Investigation and Conditions Affecting the Work Clause of the General Provisions accompanying the solicitation and (prior to bidding) to conduct a site investigation sufficient to apprise bidders of the nature of the work to be performed to the extent specified in that Clause. 21. (a) Bids and modifications thereof shall be enclosed in sealed envelopes or sealed cartons and submitted to the Contracting Officer of the Dallas Area Rapid Transit Authority at the address specified in the solicitation. The bidder shall show the hour and date specified in the solicitation for receipt of bids, the solicitation number, and the bidder's name, address, and telephone number on the face of the envelope or carton. (b) Telegraphic bids will not be considered unless authorized by the solicitation; however, bids may be modified or withdrawn by written or telegraphic notice, provided such notice is received prior to the hour and date specified for receipt of bids. (c) Samples of items, when required, must be submitted within the time specified and, unless otherwise specified in the solicitation, at no expense to the Authority. If not destroyed by testing, samples will be returned at the bidder's request and expense, unless otherwise specified in the solicitation. (d) Each copy of the bid shall include the legal name of the bidder and a statement whether the bidder is a sole proprietorship, a corporation, or any other legal entity. A bid for a corporation shall further give the state of incorporation and have the corporate seal affixed to it.

Submission of Bids (3-802.04, FEB 94)

B-1020513


EXHIBIT D

SPECIAL PROVISIONS


33.D p. 1 of 8

Dallas Area Rapid Transit Authority

EXHIBIT D SPECIAL PROVISIONS

Table of Contents 1. Independent Contractor (6-302.02, JUN 86) .......................................................................................... 12. Contract Type ......................................................................................................................................... 13. Project Management (D-400.22, Jan 02) ............................................................................................... 14. Contract Milestones ................................................................................................................................ 25. Construction Planning ............................................................................................................................ 26. Contractor Staging Areas ....................................................................................................................... 27. Coordination With Other Contracts ......................................................................................................... 38. Private Utility Construction (D-400.29A, MAR 06) ................................................................................. 39. Seasonal Weather Conditions (D-400.31A, FEB 02) ............................................................................. 310. Liquidated Damages ............................................................................................................................... 311. Plans and Specifications ........................................................................................................................ 412. Allowance Work ...................................................................................................................................... 413. Community Relations ............................................................................................................................. 414. Special Permits ....................................................................................................................................... 515. Supplemental Agreement Release of Claims Language (D-400.23B, Jan 02) ...................................... 516. Cost Principles ........................................................................................................................................ 517. Insurance Requirements ........................................................................................................................ 518. Environmental Awareness ...................................................................................................................... 719. Payment and Performance Bonds LRT .................................................................................................. 820. Disputes Review Board .......................................................................................................................... 821. Schedule of Values ................................................................................................................................. 822. Exhibit I – Specifications applicable sections ......................................................................................... 823. Exhibit J – Drawings applicable sheets .................................................................................................. 824. Performance of Work by the Contractor ................................................................................................. 825. Modifications to the Specifications ......................................................................................................... 8 1. The Contractor at all times shall be an independent contractor. The Contractor shall be fully responsible for all acts and omissions of its employees, subcontractors, and their suppliers, and shall be specifically responsible for sufficient supervision and inspection to ensure compliance in every respect with the contract requirements. There shall be no contractual relationship between any subcontractor or supplier of the Contractor and the Authority by virtue of this contract. No provision of this contract shall be for the benefit of any party other than the Authority and the Contractor.

Independent Contractor (6-302.02, JUN 86)

2. This construction contract contains fixed lump sum line items with some unit price quantity line items. The quantities specified as estimated on the Schedule [Bid Schedule] are approximate and are used for the basis for award of contract and are not purchased hereby. The measurement and payment sections of the individual specifications related to pay items do not apply. The only pay items that will be paid are those listed in the Schedule [Bid Schedule]. All other work necessary to complete the contract will be considered incidental to the contract and there will be no separate pay.

Contract Type

3. (a) Contractor Representative

The Contractor shall appoint an individual acceptable to the Authority to serve as Project Manager for this contract. This individual shall be fully responsible for the day-to-day activities under this contract and shall be physically present on the job site during work performance. The Project Manager, or his DART approved designee, shall have the authority to represent the Contractor on all technical and Contractual issues relating to the work and shall serve as the primary point of contact for the Authority. In the event of multiple work sites, and with the advance approval from DART, the Project

Project Management (D-400.22, Jan 02)

Manager responsibilities may be delegated to a DART approved superintendent or foreman. The Contractor shall not replace, without prior written notice to and consent by the Contracting Officer, remove or reassign any key personnel. However, the Contractor shall, if requested to do so by the Authority, remove or reassign any personnel not acceptable to the Authority. The Contractor shall


33.D p. 2 of 8

designate a primary and an alternate contact for notification of emergency work. The Contracting Officer shall furnish appropriate phone numbers for contacting these individual 24 hours a day via beepers, answering service or other approved means.

(b) Authority Representatives The Authority's Contracting Officer shall appoint, in writing, a Contracting Officer's Representative (COR). This person shall handle all matters of a technical nature arising under the performance of the work.

4. (a) The Contractor shall not proceed with any work required under this contract without a written Notice to Proceed (NTP) from the Authority. Any work performed or expense incurred by the Contractor prior to the Contractor's receipt of NTP shall be entirely at the Contractor's risk. The Contractor shall commence performance of the work under this contract within ten (10) calendar days from the date the Contractor receives NTP. The Contractor shall prosecute the work diligently so as to meet the following milestones:

Contract Milestones

(1) Substantial Completion (Milestone A): Reach Substantial Completion on this contract no later than two hundred forty (240) calendar days after receipt of the NTP.

(2) Final Acceptance (Milestone B): Reach Final Acceptance on this contract no later than two hundred seventy (270) calendar days after receipt of the NTP.

(b) Notwithstanding any other provisions in this contract, the Contractor shall reach a point of Final Acceptance as provided for in the General Provisions entitled "Final Acceptance" two hundred seventy (270) calendar days after receipt of the NTP. (c) The Contractor shall not be entitled to compensation for delay unless and only to the extent it is delayed by the Authority in completing beyond the contract completion date. (d) If the Contractor submits a schedule showing a completion of any or all milestones before the scheduled dates, the Authority shall have the unilateral right to modify the contract changing the milestone dates in accordance with the schedule submitted by the Contractor with no equitable adjustment being made. 5. Construction shall be planned and carried out in accordance with the following information: (a) Availability of Authority-furnished Property for Contractor Installation:

There is no Authority-furnished Property for this contract.

(b) The Contractor shall stay within the identified construction limits, and shall neither disturb nor alter the designated adjacent property outside the limits of construction.

(c) The Contractor shall adhere to the following work hours:

(1) Work hours shall be per the requirements of the specifications, Division 1 "General Requirements" and the City of Plano ordinances unless otherwise extended hours are requested by Contractor and pre-approved and pre-authorized by City of Plano and the Authority. However, notwithstanding the applicable ordinances, any Saturday work adjacent to residential areas shall not start until 9:00 a.m.

Construction Planning

6. The Contractor shall be responsible for staging and storage area(s). The Contractor will be responsible for all security and maintenance of the staging and storage area(s).

Contractor Staging Areas


33.D p. 3 of 8

7. (a) In accordance with the General Provision, entitled "Other Contracts," the Contractor should expect, at a minimum, to interface with the following contractors, agencies and property owners:

Coordination With Other Contracts

(1) DART's Operation, Transportation, and Maintenance workers and contractors (2) Private utility contractors (3) Franchise Utility Companies and their contractors (4) DART’s Systems Integration Consultant (5) City of Plano (6) City of Plano’s Contractor constructing Communications Parkway

(b) It is the express obligation and duty of the Contractor under this contract to coordinate its work with the work of other contractors and entities. The Contractor shall not unreasonably impede, hinder or delay the Authority or any other contractor in performance of their work. It is the Contractor's duty under this contract to communicate with any contractor who will be performing work which may connect, complement or interfere with the Contractor's work, and to resolve any disputes or coordination problems with such contractor or entity. Specifically, the water, storm sewer and drives at Communications Parkway connect to work that is being constructed by others.

8. The Contractor shall schedule and coordinate the work effort with any private utility contractor who may be relocating private utilities during this construction period. The utility companies are to be notified in writing ten (10) calendar days prior to commencing any work affecting the utility. Reconfirmation will be obtained by the Contractor by telephone forty-eight (48) hours prior to beginning work.

Private Utility Construction (D-400.29A, MAR 06)

9. In accordance with the General Provision in Exhibit F entitled "Seasonal Weather Conditions," the average lost days due to weather conditions applicable to this contract are as follows:

Seasonal Weather Conditions (D-400.31A, FEB 02)

10.

Average lost time per month (calendar days) Jan Feb Mar Apr May Jun July Aug Sep Oct Nov Dec 8 6 6 6 6 4 4 4 4 4 5 6

(a) The Contractor shall complete the work for each milestone, including construction completion for the entire contract, within the times specified in the contract, or any approved extension. An approved extension will result when the delay in delivery or performance arises out of causes beyond the control and without the fault or negligence of the Contractor as defined in the General Provision entitled "Default." (b) If the Contractor fails to complete the work for any milestone, including construction completion for the entire contract, within the times specified in the contract, or any approved extension, the Contractor shall pay to the Authority, as liquidated damages, the sums set forth in Special Provisions, for each calendar day of the delay in completion. If no sums are set forth, then the Authority shall be entitled to all damages allowable by law or contract. (c) The amounts for liquidated damages provided in the contract are neither penalties nor forfeitures, but rather were calculated to compensate the Authority solely for the following damages resulting from delays by the Contractor (1) the extended administration of the contract by the Authority and any of its agents, consultants, or independent contractors, (2) reduction in revenues, (3) finance costs for the cost of the contract, (4) increased safety risks, (5) damage to reputation or public perception, and (6) claims from contractors whose contract work follows that of the Contractor (follow-on contractors). Liquidated damages for each milestone are calculated based solely on the categories of damages applicable to that work for that milestone. The Authority shall be entitled to claim against the Contractor for other damages incurred as actual damages. Liquidated damages and all actual damages not specifically included in liquidated damages shall be either deducted from the contract price or billed to the Contractor, at the Authority's discretion.

Liquidated Damages

(d) If the Authority terminates the Contractor's right to proceed in whole or in part, the resulting damages will consist of liquidated damages until such reasonable time as may be required for completion of the


33.D p. 4 of 8

work covered by the termination, together with actual damages not specifically included in liquidated damages, including increased costs occasioned the Authority in completing the work. (e) For any portion of the work that the Authority does not terminate the Contractor's right to proceed, the resulting damages will consist of liquidated damages until the work is completed and accepted, plus actual damage not specifically included in liquidated damages. (f) For the purpose of assessing liquidated damages, completion for the work for each milestone, including construction completion for the entire contract, shall be defined as the time at which the Authority accepts the work as substantially complete with respect to the contract documents so that the Authority can occupy the work for the use for which it was intended, in the manner in which it was intended. (g) Notwithstanding any language in this contract to the contrary, any remedy under the "Liquidated Damages" clause is not in any way a waiver of the Authority's right to seek recovery under the General Provision entitled "Indemnification" or the General Provision entitled "Warranty of Construction" for damages not covered by liquidated damages.

(h) Liquidated damages amount shall be assessed as follows:

(1) Substantial Completion (Milestone A): Liquidated Damages amount shall be assessed $1250.00 for each calendar day of delay.

(2) Final Acceptance (Milestone B): Liquidated Damages amount shall be assessed $1250.00 for each calendar day of delay.

11. One set of contract documents including one (1) full size set of reproducible drawings and one (1) half size set drawings will be furnished to the Contractor free of charge.

Plans and Specifications

12. (a) Partnering Allowance Work. The Authority has established a line item in the Schedule [Bid Schedule] entitled "Partnering" which is a lump sum amount representing the budgeted amount for the Authority's share of the cost indicated in the General Provisions article entitled "Partnering Allowance". (b) Contractor Accountability of allowance work performed: Contractor shall maintain a separate account of all incurred, segregated, direct costs for the work allocable to the allowance item requirements. Only allowable and allocable direct costs will be reimbursed; there shall be no compensation for any other related costs including but not limited to overhead indirect costs, commission or profit. These amounts shall not be subject to retainage.

Allowance Work

13. (a) The Contractor shall be responsible for the day-to-day coordination with, and notification to adjacent property owners and businesses regarding disruptions due to the work scheduled in those areas and neighborhoods. (b) The Contractor shall designate a contact person and an alternate to be responsible for coordination and notifications. This contact person shall work with DART's Community Affairs Section for general coordination and notification to adjacent property owners and businesses regarding disruptions in advance of scheduled work. The Contractor's designated contact person shall develop an emergency plan. This plan will identify the individual and alternate who shall be available and can be contacted twenty four (24) hours a day when an emergency is identified by DART. Emergency and alternate telephone numbers shall be made available to the public. (c) Specific requirements for the content and frequency of notifications are as follows:

Community Relations

(1) Public Information Narrative. In conjunction with the submittal of construction schedules, the Contractor shall provide an abbreviated narrative in layman's terms describing the general construction activities to occur in each residential and non-residential community and city block for the subsequent 30-day period.


33.D p. 5 of 8

(2) Public Participation

Every month the Contractor shall attend a construction progress meeting at a consistent time and place (which shall be decided within thirty (30) calendar days following NTP) specifically to inform the public of its progress and to entertain comments and address concerns from the community. The Contractor shall also participate in other public meetings which may be called from time to time at the direction of the Contracting Officer or their representative and in coordination with DART's Community Affairs Manager. The Contractor shall assist DART's Community Affairs Section by posting notices throughout the construction area indicating the time and location of meetings. A list of notice locations will be developed within thirty (30) calendar days after NTP through coordination with DART's Community Affairs Section, and will be modified as necessary as construction progresses.

(d) The Contractor shall demonstrate sensitivity to the commercial businesses and residents adjacent to the site, working to establish and maintain a positive and cordial relationship with the tenants and owners. 14.

(a) DART will apply for the special permits listed below. The Contractor is responsible for abiding by all construction requirements specified, referenced, or included in these permits.

Special Permits

(1) Building permit as required from the City of Plano. The Contractor shall pick up the permit from the City of Plano, and pay for the permit fee. The permit fee shall be included in the Contractor’s Bid.

(2) Release of plans for construction from the City of Plano. The City of Plano has approved the plans for bidding. The Contractor shall obtain the release of the project for construction from the City of Plano and pay the City of Plano inspection fee. The inspection fee shall be included in the Contractor’s Bid.

(b) The Contractor is required to obtain any and all required permits not listed above, and make all required notifications.

15. All supplemental agreements executed under this contract shall contain the following "Release of Claims" language:

"Except as modified by this supplemental agreement, all terms and conditions of the contract, as previously modified, remain unchanged and in full force and effect. The parties agree that this supplemental agreement is a final and equitable adjustment of the contract time and contract amount and constitutes a mutual accord and satisfaction of all claims, current or future, of whatever nature caused by or arising out of the facts and circumstances surrounding this supplemental agreement including, but not limited to, direct, indirect and consequential costs; additional time for performance; and the impact of the modifications specified in this supplemental agreement, along or taken with other changes, on the unchanged work."

Supplemental Agreement Release of Claims Language (D-400.23B, Jan 02)

16. Chapter 7 of the Authority's Procurement Regulations, entitled "Cost Principles," shall be applicable to this contract, but in no event shall imputed or other forms of interest be allowable for additional work or other costs or expenses.

Cost Principles

17. (a) Required Coverage. The Contractor shall, at all times during the term of this contract and extended terms thereof, provide and maintain the following types of insurance protecting the interests of the Authority and the Contractor with limits of liability not less than those specified below.

Insurance Requirements

(1) Comprehensive Automobile Liability insurance or its equivalent, listing DART and the City of Plano as an additional insureds, covering all owned, hired and non-owned vehicles used in connection with the work performed under this contract with combined single limits for bodily injury and property


33.D p. 6 of 8

damage liability of not less than $1,000,000 per occurrence. In the event the vendor will drive or take custody or control of DART‘s vehicles, the policy shall also provide physical damage coverage for non-owned autos providing limits of not less than $150,000 per vehicle with a deductible not to exceed $2,500,00. (2) The contractor shall obtain Builders’ Risk Insurance against the perils of fire, lightning, windstorm, hail, explosion, collapse, riot, civil commotion, smoke aircraft, land vehicles, vandalism, and malicious mischief in an amount of insurance equal at all times to the replacement value of materials delivered and labor performed. The policy shall be insured jointly in the names of the Contractor and DART. (3) Commercial General Liability insurance or its equivalent, listing DART and the City of Plano as additional insureds, providing limits of not less than $2,000,000 for bodily injury and property damage per occurrence with a general aggregate of $2,000,000 and a products and completed operations aggregate of $2,000,000. This insurance shall be primary and non-contributory. There shall not be any policy exclusions or limitations for the following: Contractual Liability covering Contractor's obligations herein Personal Injury Advertising Liability Explosion, Collapse & Underground Property Damage Hazard Medical Payments Fire Damage Legal Liability Broad Form Property Damage Liability for Independent Contractors (4) Workers' Compensation Insurance or its equivalent, providing benefits comparable to those provided under the Workers' Compensation Act of the State of Texas and/or any other State or Federal law or laws applicable to the Contractor's employees performing work under this contract. Employer's Liability Insurance with limits of liability of not less than $500,000 each accident, $500,000 each employee for disease and $500,000 policy limit for disease. This insurance must be endorsed with a Waiver of Subrogation Endorsement, waiving the carrier's right of recovery under subrogation or otherwise from DART and the City of Plano. (b) Certificates of Insurance - Before commencing execution of this contract, the Contractor shall mail Certificates of Insurance satisfactory to the Authority (or, as and when the Authority may direct, copies of the policies endorsements or actual insurance policies) at the following address: Dallas Area Rapid Transit Authority P.O. Box 660163 Dallas, Texas 75266-0163 Attention: Contracts Section Contract # C-1020513-01 and [email protected] evidencing that insurance as required by paragraph A, and all subparagraphs to (A) above, is in force, stating policy number dates of expiration and limits of liability thereunder. All copies of policies and Certificates of Insurance submitted to the Authority shall be in form and content acceptable to the Authority. (c) Approval of Forms and Companies. All coverage described in this contract shall be in a form and content satisfactory to the Contracting Officer. No party subject to the provisions of this contract shall violate or knowingly permit to be violated any of the provisions of the policies of insurance described herein. All insurance should be provided by insurance companies with a Best's Rating of A- or better.


33.D p. 7 of 8

(d) Additional Insured Endorsement. The policy or policies providing Commercial General Liability, Automobile Liability, Umbrella Liability and as otherwise required above shall be endorsed to name the City of Plano, DART, their directors, officers, representatives, agents and employees as Additional Insureds as respects operations performed by or on behalf of the Contractor in performance of this contract. The policy shall also be endorsed to name other interests as directed by DART. The policies shall be primary and non-contributory. (e) Notice of Cancellation or Material Changes. Policies and/or Certificates shall specifically provide that a thirty (30) day notice of cancellation, non-renewal, or material change be sent to the Authority. (f) Multiple Policies. The limits of liability as required above may be provided by a single policy of insurance or a combination of primary, excess or umbrella liability policies. But in no event shall the total limit of liability of any one occurrence or accident be less that the amount shown above. (g) Deductibles. Companies issuing the insurance policies and the Contractor shall have no recourse against the Authority for payment of any premiums or assessments for any deductibles, as all such premiums and deductibles are the sole responsibility and risk of the Contractor. (h) Subcontractors. If any part of the work is sublet, Contractor shall require any and all subcontractors performing work under this contract to carry workers' compensation insurance, in accordance with paragraph (a) (5) above. The Contractor shall determine any other types of insurance and the limits of liability that Contractor shall deem appropriate and adequate to protect the interests of the Authority. In the event a subcontractor is unable to furnish any insurance required under this Contract, the Contractor shall endorse the subcontractor as an Additional Insured or become an Alternate Employer. The Contractor shall obtain and furnish to the Authority certificates of Insurance evidencing subcontractors' workers' compensation insurance coverage. If a subcontractor's certificate of workers compensation insurance expires during the period of performance, Contractor shall obtain a renewal certificate. All certificates of workers' compensation insurance must be maintained by the Contractor for a period of not less than 1 year. All other insurance certificates for subcontractors shall be furnished to the Authority upon request. (i) No Release. The carrying of the above-described coverage shall in no way be interpreted as relieving the Contractor of any other responsibility or liability under this agreement or any applicable law, statute, regulation or order. 18. (a) This project shall be considered more than five acre, as defined in the Texas Commission of Environmental Quality (TCEQ) Texas Pollution Discharge Elimination System (TPDES) [Construction] General Permit TXR150000. Contractor shall follow all requirements of the TPDES permit as well as Specification Section (Spec) 01562. (b) If materials are encountered during the construction process that are suspected of being hazardous, the Contractor shall follow the procedures in DART Standard Specifications Section 01560, "Environmental Protection." (c) Contractor shall assume the associated responsibilities and cost if the contractor or contractor's activity introduces regulated levels of contamination onto DART property, or results in a release of contamination to surrounding property or the environment. (d) Specification 01560 “Environmental Protection” and 01562 “Soil Erosion and Sediment Control” shall govern actions taken by the Contractor. All materials utilized by Contractor on the project site or staging areas shall comply with all applicable local, state and federal laws and regulations.

Environmental Awareness

(e) Asbestos Containing Material (ACM), as defined by Texas Administrative Code Title 25 part 1, Chapter 295.32, shall not be introduced or reintroduced into any project property whether owned, leased or used by the authority. Further, the Texas Administrative Code Title 25 part 1, Chapter 295.34(i), states that no building materials or replacement parts may be installed in a public building unless the Material


33.D p. 8 of 8

Safety Data Sheets (MSDS) indicate that the new or replacement materials or parts contain not more than 1% asbestos. (f) Lead Base Paint (LBP), as defined by Texas Administrative Code Chapter 295, Subchapter I, Rule §295.202, Definitions, (52); shall not be introduced or reintroduced into any DART property. A person may not install building materials or replacement parts in any DART property unless the Material Safety Data Sheet (MSDS) indicates that the materials or replacement parts contain paint or other surface coatings with lead concentrations less than 1.0 milligram(s) per square centimeter or less than 0.5% by weight. (g) Contractor shall indemnify the Authority for amounts of any and all damages incurred by the Authority as a result of Contractor breach of this provision, including but not limited to amounts of fines, penalties, costs of remediation and reasonable attorney fees. No time extension shall be granted for breach of this provision. 19. The Contractor shall include only the actual costs of payment and performance bonds in the line item on the Schedule [Bid Schedule]. The Contractor will be paid the lesser of its line item bid amount or the actual cost of the bonds. The Authority will not consider any amount in excess of the actual costs of these bonds. The Authority reserves the right to request documentation from the Contractor as to the amounts actually paid for these bonds.

Payment and Performance Bonds LRT

20. The requirement for a Disputes Review Board as stipulated in Exhibit F – General Provisions is hereby deleted.

Disputes Review Board

21. The Contractor is to within seven (7) calendar days of the issuance of the Notice of Award submit a Schedule of Values to breakdown the costs of line items $5,000 or more. The Schedule of Values submittal requires approval by DART.

Schedule of Values

22. Refer to the Specifications “Table of Contents” for all sections that are included in the Specifications. ‘Dotted’ denotes that particular section’s inclusion.

Exhibit I – Specifications applicable sections

23. Refer to the Drawings “Index of Drawings” for all sheets that are included in the Drawings.

Exhibit J – Drawings applicable sheets

24. The provision “Performance of Work by the Contractor” within Exhibit F – General provisions is specifically modified with respect to the minimum percentage of the work performed by the Contractor’s organization. The Contractor shall perform no less than 50 percent (50%) of the work with his own organization. All other terms remain unchanged.

Performance of Work by the Contractor

25. (a) As mentioned in “Contract Type” of these Special Provisions, the measurement and payment sections of the individual specifications do not apply. The only items of work for which payment will be made are those listed in the Schedule [Bid Schedule]. Any work required to complete the project that is not specifically mentioned in the Schedule is considered incidental and there will be no payment made for that work. (b) Due to the size of the project, the CQCR and CSS responsibilities may be performed and assumed by one or multiple individuals provided that the individual(s) performing such duties can document experience and qualifications required for the position(s).

Modifications to the Specifications

B-1020513


EXHIBIT E

ADDENDUM TO GENERAL PROVISIONS


Form 33.603 (07/09) Page 1 of 15 Exhibit E


EXHIBIT E ADDENDUM TO GENERAL PROVISIONS

(FEDERALLY ASSISTED CONSTRUCTION, ALTERATION, OR REPAIR CONTRACT) TABLE OF CONTENTS

1. Access Requirements for Individuals with Disabilities (F-112, JAN 94) ................................................................ 12. Affirmative Action Compliance Requirements for Construction (F-125, JAN 94) .................................................. 23. Apprentices and Trainees (F-115, JAN 94) ........................................................................................................... 54. Audit and Inspection of Records (F-110, JAN 94) ................................................................................................. 65. Cargo Preference - Use of United States-Flag Vessels (F-109, AUG 04) ............................................................. 66. Certification of Eligibility (F-123, JAN 94) .............................................................................................................. 67. Clean Air and Water Act (F-105, JAN 94) ............................................................................................................. 78. Compliance with Copeland Act Requirements (F-117, JAN 94) ............................................................................ 89. Compliance with Davis-Bacon and Related Act Regulations (F-122, JAN 94) ..................................................... 810. Contract Termination - Debarment (F-120, JAN 94) ............................................................................................. 811. Contract Work Hours and Safety Standards Act - Overtime Compensation – Construction (F-103.02, JUL 01) .. 812. Davis-Bacon Act (F-114, JAN 94) .......................................................................................................................... 913. Disadvantaged Business Enterprise (DBE) Program (F-102, NOV 99) ............................................................... 1014. Disputes Concerning Labor Standards (F-121, JAN 94) ..................................................................................... 1015. Energy Policy and Conservation Act (F-106, JAN 94) ......................................................................................... 1016. Equal Employment Opportunity (F-124, JAN 94) ................................................................................................ 1017. Fly America Requirements (F-130, JUL01) ......................................................................................................... 1118. Incorporation of Federal Transit Administration (FTA) Terms (F-133, JUL 09) ................................................... 1119. Non-Discrimination Assurance (F-128, NOV 99) ................................................................................................. 1120. Notice of Federal Requirements (F-113, JAN 94) ............................................................................................... 1121. Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity (Executive Order 11246) (F-126, JAN 94) ................................................................................................................... 1122. Officials Not to Benefit (F-107, JAN 94) .............................................................................................................. 1223. Payrolls and Basic Records (F-116, JAN 94) ...................................................................................................... 1224. Program Fraud and False or Fraudulent Statements or Related Acts (F-132, JUL 01) ...................................... 1325. Project Signs (F-127, JAN 94) ............................................................................................................................. 1326. Restrictions on Lobbying (F-111, NOV 04) .......................................................................................................... 1427. Seismic Safety (F-131, JUL 01) ........................................................................................................................... 1428. Subcontracts (Labor Standards) (F-119, JAN 94) ............................................................................................... 1429. Title VI Civil Rights Act of 1964 (F-104, JAN 94) ................................................................................................. 1430. Withholding of Funds (F-118, JAN 94) ................................................................................................................ 15

The contract clauses and provisions in this Exhibit apply to all Federally-assisted construction contracts. These provisions supersede and take precedence over any other clause or provision contained within this contract that may be in conflict therewith. 1. The Contractor shall comply with all applicable requirements of the Americans with Disabilities Act of 1990 (ADA), 42 U.S.C. 12101

Access Requirements for Individuals with Disabilities (F-112, JAN 94)

et seq. and 49 U.S.C. 322; Section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. 794; Section 16 of the Federal Transit Act, as amended, 49 U.S.C. app. 1612; and the following regulations and any amendments thereto:

(1) US. DOT regulations, "Transportation Services for Individuals with Disabilities (ADA)," 49 CFR Part 37; (2) US. DOT regulations, "Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or Benefiting from Federal Financial Assistance," 49 CFR Part 27;

(3) US. DOT regulations, "Americans With Disabilities (ADA) Accessibility Specifications for Transportation

Vehicles," 49 CFR Part 38; (4) Department of Justice (DOJ) regulations, "Nondiscrimination on the Basis of Disability in State and Local

Government Services," 28 CFR Part 35; (5) DOJ regulations, "Nondiscrimination on the Basis of Disability by Public Accommodations and in Commercial

Facilities," 28 CFR Part 36;



(6) General Services Administration regulations, "Construction and Alteration of Public Buildings,"

"Accommodations for the Physically Handicapped," 41 CFR Part 101-19; (7) Equal Employment Opportunity Commission (EEOC) "Regulations to Implement the Equal Employment

Provisions of the Americans with Disabilities Act," 29 CFR Part 1630; (8) Federal Communications Commission regulations, "Telecommunications Relay Services and Related

Customer Premises Equipment for the Hearing and Speech Disabled," 47 CFR Part 64, Subpart F; and (9) FTA regulations, "Transportation for Elderly and Handicapped Persons," 49 CFR Part 609. 2. (a) Definitions. As used in this clause: (1) "Covered Area," as used in this clause, means the Dallas, Texas Standard Metropolitan Statistical Area

(SMSA) which includes Dallas, Collin, Ellis, Grayson, and Rockwall counties. (2) "Director," as used in this clause, means Director, Office of Federal Contract Compliance Programs (OFCCP),

United States Department of Labor, or any person to whom the Director delegates authority. (3) "Employer Identification Number," as used in this clause, means the Federal Social Security Number used on

the Employer's Quarterly Federal Tax Return, US. Treasury Department Form 941. (4) "Minority," as used in this clause, means: (i) American Indian or Alaskan Native (all persons having origins in any of the original peoples of North

America and maintaining identifiable tribal affiliations through membership and participation or community identification);

(ii) Asian and Pacific Islander (all persons having origins in any of the original peoples of the Far East,

Southeast Asia, the Indian Subcontinent or the Pacific Islands); (iii) Black (all persons having origins in any of the black African racial groups not of Hispanic origin); and (iv) Hispanic (all persons of Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish

culture or origin, regardless of race). (b) If the Contractor, or a Subcontractor at any tier, subcontracts a portion of the work involving any construction trade, each such subcontract in excess of $10,000 shall include this clause and the Notice containing the goals for minority and female participation stated in the clause of this contract entitled "Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity (Executive Order 11246)." (c) If the Contractor is participating in a Hometown Plan (41 CFR 60-4.5) approved by the US. Department of Labor in a covered area, either individually or through an association, its affirmative action obligations on all work in the Plan area (including goals) shall comply with the Plan for those trades that have unions participating in the Plan. Contractors must be able to demonstrate participation in, and compliance with, the provisions of the Plan. Each Contractor or Subcontractor participating in an approved Plan is also required to comply with its obligations under the Equal Opportunity clause, and to make a good-faith effort to achieve each goal under the Plan in each trade in which it has employees. The overall good-faith performance by other Contractors or Subcontractors toward a goal in an approved Plan does not excuse any Contractor's or Subcontractor's failure to make good-faith efforts to achieve the Plan's goals. (d) The Contractor shall implement the affirmative action procedures in subparagraphs (g)(1) through (g)(16) of this clause. The goals set forth in the clause entitled "Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity (Executive Order 11246)" are expressed as percentages of the total hours of employment and training of minority and female utilization that the Contractor should reasonably be able to achieve in each construction trade in which it has employees in the covered area. If the Contractor performs construction work in a geographical area located outside of the covered area, it shall apply the goals established for the geographical area where that work is being performed. The Contractor is expected to make substantially uniform progress toward its goals in each craft.

Affirmative Action Compliance Requirements for Construction (F-125, JAN 94)



(e) Neither the terms and conditions of any collective bargaining agreement, nor the failure by a union with which the Contractor has a collective bargaining agreement, to refer minorities or women shall excuse the Contractor's obligations under this clause, Executive Orders 11246, as amended, or the regulations thereunder. (f) In order for the nonworking training hours of apprentices and trainees to be counted in meeting the goals, apprentices and trainees must be employed by the Contractor during the training period, and the Contractor must have made a commitment to employ the apprentices and trainees at the completion of their training, subject to the availability of employment opportunities. Trainees must be trained pursuant to training programs approved by the US. Department of Labor. (g) The Contractor shall take affirmative action to ensure equal employment opportunity. The evaluation of the Contractor's compliance with this clause shall be based upon its effort to achieve maximum results from its actions. The Contractor shall document these efforts fully and implement affirmative action steps at least as extensive as the following: (1) Ensure a working environment free of harassment, intimidation, and coercion at all sites and in all facilities

where the Contractor's employees are assigned to work. The Contractor, if possible, will assign two or more women to each construction project. The Contractor shall ensure that foremen, superintendents, and other on-site supervisory personnel are aware of and carry out the Contractor's obligation to maintain such a working environment, with specific attention to minority or female individuals working at these sites or facilities.

(2) Establish and maintain a current list of sources for minority and female recruitment. Provide written notification

to minority and female recruitment sources and community organizations when the Contractor or its unions have employment opportunities available, and maintain a record of the organizations' responses.

(3) Establish and maintain a current file of the names, addresses, and telephone numbers of each minority and

female off-the-street applicant, referrals of minorities or females from unions, recruitment sources, or community organizations, and the action taken with respect to each individual. If an individual was sent to the union hiring hall for referral and was not referred back to the Contractor by the union or, if referred back, not employed by the Contractor, this shall be documented in the file, along with whatever additional actions the Contractor may have taken.

(4) Immediately notify the Director when the union or unions with which the Contractor has a collective bargaining

agreement has not referred back to the Contractor a minority or woman sent by the Contractor, or when the Contractor has other information that the union referral process has impeded the Contractor's efforts to meet its obligations.

(5) Develop on-the-job training opportunities and/or participate in training programs for the area that expressly

include minorities and women, including upgrading programs and apprenticeship and trainee programs relevant to the Contractor's employment needs, especially those programs funded or approved by the Department of Labor. The Contractor shall provide notice of these programs to the sources compiled under (g)(2) above.

(6) Disseminate the Contractor's equal employment policy by: (i) Providing notice of the policy to unions and training, recruitment, and outreach programs, and requesting

their cooperation in assisting the Contractor in meeting its contract obligations; (ii) Including the policy in any policy manual and in collective bargaining agreements; (iii) Publicizing the policy in the company newspaper, annual report, etc.; (iv) Reviewing the policy with all management personnel and with all minority and female employees at least

once a year; and (v) Posting the policy on bulletin boards accessible to employees at each location where construction work is

performed. (7) Review, at least annually, the Contractor's equal employment policy and affirmative action obligations with all

employees having responsibility for hiring, assignment, layoff, termination, or other employment decisions. Conduct review of this policy with on-site supervisory personnel before initiating construction work at a job site. A written record shall be made and maintained identifying the time and place of these meetings, persons attending, subject matter discussed, and disposition of the subject matter.



(8) Disseminate the Contractor's equal employment policy externally including it in any advertising in the news media, specifically including minority and female news media. Provide written notification to, and discuss this policy with, other contractors and subcontractors with which the Contractor does or anticipates doing business.

(9) Direct recruitment efforts, both oral and written, to minority, female, and community organizations, to schools

with minority and female students, and to minority and female recruitment and training organizations serving the Contractor's recruitment area and employment needs. Not later than one month before the date for acceptance of applications for apprenticeship or training by any recruitment source, send written notification to organizations such as the above, describing the openings, screening procedures, and tests to be used in the selection process.

(10) Encourage present minority and female employees to recruit minority persons and women. Where

reasonable, provide after-school, summer and vacation employment to minority and female youth, both on the site and in other areas of the Contractor's workforce.

(11) Validate all tests and other selection requirements where required under 41 CFR. 60-3. (12) Conduct, at least annually, an inventory and evaluation at least of all minority and female personnel for

promotional opportunities. Encourage these employees to seek or to prepare for, through appropriate training, etc., opportunities for promotion.

(13) Ensure that seniority practices, job classifications, work assignments and other personnel practices do not

have a discriminatory effect by continually monitoring all personnel and employment-related activities to ensure that the Contractor's obligations under this contract are being carried out.

(14) Ensure that all facilities and company activities are nonsegregated except that separate or single-user toilet

and necessary changing facilities shall be provided to assure privacy between the sexes. (15) Maintain a record of solicitations for subcontracts for minority and female construction contractors and

suppliers, including circulation of solicitations to minority and female contractor associations and other business associations.

(16) Conduct a review, at least annually, of all supervisors' adherence to and performance under the Contractor's

equal employment policy and affirmative action obligations. (h) The Contractor is encouraged to participate in voluntary associations that may assist in fulfilling one or more of the affirmative action obligations contained in subparagraphs (g)(1) through (g)(16). The efforts of a contractor association, joint contractor-union, contractor-community, or similar group of which the Contractor is a member and participant may be asserted as fulfilling one or more of its obligations under subparagraphs (g)(1) through (g)(16), provided the Contractor: (1) Actively participates in the group; (2) Makes every effort to ensure that the group has a positive impact on the employment of minorities and

women in the industry; (3) Ensures that concrete benefits of the program are reflected in the Contractor's minority and female workforce

participation; (4) Makes a good-faith effort to meet its individual goals and timetables; and (5) Can provide access to documentation that demonstrates the effectiveness of actions taken on behalf of the

Contractor. The obligation to comply is the Contractor's, and failure of such a group to fulfill an obligation shall not be a defense for the Contractor's noncompliance.

(i) A single goal for minorities and a separate single goal for women shall be established. The Contractor is required to provide equal employment opportunity and to take affirmative action for all minority groups, both male and female, and all women, both minority and nonminority. Consequently, the Contractor may be in violation of Executive Order 11246, as amended, if a particular group is employed in a substantially disparate manner. (j) The Contractor shall not use goals or affirmative action standards to discriminate against any person because of race, color, religion, sex, or national origin.



(k) The Contractor shall not enter into any subcontract with any person or firm debarred from Government contracts under Executive Order 11246, as amended. (l) The Contractor shall carry out such sanctions and penalties for violation of this clause and of the Equal Opportunity clause, including suspension, termination, and cancellation of existing subcontracts, as may be imposed or ordered under Executive Order 11246, as amended, and its implementing regulations, by the OFCCP. Any failure to carry out these sanctions and penalties as ordered shall be a violation of this clause and Executive Order 11246, as amended. (m) The Contractor in fulfilling its obligations under this clause shall implement affirmative action procedures at least as extensive as those prescribed in paragraph (g), above, so as to achieve maximum results from its efforts to ensure equal employment opportunity. If the Contractor fails to comply with the requirements of Executive Order 11246, as amended, the implementing regulations, or this clause, the Director shall take action as prescribed in 41 CFR 60-4.8. (n) The Contractor shall designate a responsible official to: (1) Monitor all employment-related activity to ensure that the Contractor's equal employment policy is being carried

out; (2) Submit reports as may be required by the Authority; and (3) Keep records that shall at least include for each employee the name, address, telephone number, construction

trade, union affiliation (if any), employee identification number, social security number, race, sex, status (e.g., mechanic apprentice, trainee, helper, or laborer), dates of changes in status, hours worked per week in the indicated trade, rate of pay, and locations at which the work was performed. Records shall be maintained in an easily understandable and retrievable form; however, to the degree that existing records satisfy this requirement, separate records are not required to be maintained.

(o) Nothing contained herein shall be construed as a limitation upon the application of other laws that establish different standards of compliance or upon the requirements for the hiring of local or other area residents (e.g., those under the Public Works Employment Act of 1977 and the Community Development Block Grant Program). 3. (a) Apprentices. Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the US. 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 ninety (90) days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the Contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated in this paragraph, shall be paid not less than the applicable wage, determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a Contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified in the Contractor's or subcontractor's registered program shall be observed. Every apprentice must be paid at not less than the rates specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeyman 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 determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Bureau of Apprenticeship and Training, or a State Apprenticeship Agency recognized by the Bureau, withdraws approval of an apprenticeship program, the Contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

Apprentices and Trainees (F-115, JAN 94)

(b) Trainees. Except as provided 29 CFR. 5.16, trainees will not be permitted work at less than the predetermined rate for the work performed unless they are employed pursuant to an individually registered in a program which has received prior approval, evidenced by formal certification by the US. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified



in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed in 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 in 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 in the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate in the wage determination of the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the Contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

(c) Equal Employment Opportunity. The utilization of apprentices, trainees, and journeymen under this provision shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR. Part 3. 4. (a) This clause is applicable if this contract was entered into by means of negotiation and shall become operative with respect to any modification to this contract whether this contract was initially entered into by means of negotiation or by means of formal advertising.

(b) The Contractor shall maintain records, and the Contracting Officer, the US. Department of Transportation, and the Comptroller General of the United States or any of their duly authorized representatives shall, until the expiration of three years after final payment under this contract, have access to and the right to examine any directly pertinent books, documents, papers and records of such Contractor, involving transactions related to the contract, for the purpose of making audit, examination, excerpts and transcriptions.

(c) The Contractor further agrees to include in all his subcontracts hereunder a provision to the effect that the subcontractor agrees that the Contracting Officer, the US. Department of Transportation, and the Comptroller General of the United States or any of their duly authorized representatives shall, until the expiration of three years after final payment under this contract, have access to and the right to examine any directly pertinent books, documents, papers and records of such subcontractor, involving transactions related to the subcontract, for the purpose of making audit, examination, excerpts and transcriptions.

Audit and Inspection of Records (F-110, JAN 94)

5. This clause applies to contracts involving materials, equipment, or commodities that may be transported by ocean vessel in carrying out the terms of the contract. As required by 46 C.F.R. Part 381, the Contractor agrees:

(a) To utilize privately owned United States-Flag commercial vessels to ship at least fifty percent (50%) of the gross tonnage (computed separately for dry bulk carriers, dry cargo liners and tankers) involved, whenever shipping any equipment, materials, or commodities pursuant to this section, to the extent such vessels are available at fair and reasonable rates for United States-Flag commercial vessels.

(b) To furnish within twenty (20) working days following the date of loading for shipments originating with the United States, or within thirty (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 paragraph (a) above to the Authority (through the Prime Contractor in the case of subcontractor bills-of-lading), to the Division of National Cargo, Office of Market Development, Maritime Administration, Washington, D.C. 20590, and to the FTA recipient, marked with appropriate identification of the Project.

(c) To insert the substance of the provisions of this clause in all subcontracts issued pursuant to this contract that may involve the transport of equipment, material, or commodities by ocean vessel.

Cargo Preference - Use of United States-Flag Vessels (F-109, AUG 04)

6.

Certification of Eligibility (F-123, JAN 94)

(a) By entering into this contract, the Contractor certifies that neither it (nor he or she) nor any person or firm who has an interest in the Contractor's firm is a person or firm ineligible to be awarded Government contracts by virtue of Section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).



(b) 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).

(c) The penalty for making false statements is prescribed in the US. Criminal Code, 18 U.S.C. 1001. 7. (a) Definitions: (1) "Air Act," as used in this clause, means the Clean Air Act (42 U.S.C. 7401 et seq.). (2) "Clean air standards," as used in this clause, means: (i) Any enforceable rules, regulations, guidelines, standards, limitations, orders, controls, prohibitions, work

practices, or other requirements contained in, issued under, or otherwise adopted under the Air Act or Executive Order 11738.

(ii) An applicable implementation plan as described in Section 110(d) of the Air Act [42 U.S.C. 7410(d)]; (iii) An approved implementation procedure or plan under Section 110(c) or Section 111(d) of the Air Act [42

U.S.C. 7411(c) or (d)]; or (iv) An approved implementation procedure under Section 112(d) of the Air Act [42 U.S.C. 7412(d)]. (3) "Clean water standards," as used in this clause, means any enforceable limitation, control, condition,

prohibition, standard, or other requirement promulgated under the Water Act or contained in a permit issued to a discharger by the Environmental Protection Agency or by a State under an approved program, as authorized by Section 402 of the Water Act (33 U.S.C. 1342), or by local government to ensure compliance with pre-treatment regulations as required by Section 307 of the Water Act (33 U.S.C. 1317).

(4) "Compliance," as used in this clause, means compliance with: (i) Clean air or water standards; or (ii) A schedule or plan ordered or approved by a court of competent jurisdiction, the Environmental Protection

Agency, or an air or water pollution control agency under the requirements of the Air Act or Water Act and related regulations.

(5) "Facility," as used in this clause, means any building, plant, installation, structure, mine, vessel or other floating

craft, location, or site of operations, owned, leased, or supervised, by a Contractor or subcontractor, used in the performance of a contract or subcontract. When a location or site of operations includes more than one building, plant, installation, or structure, the entire location or site shall be deemed a facility except when the Administrator, or a designee of the Environmental Protection Agency, determines that independent facilities are co-located in one geographical area.

(6) "Water Act," as used in this clause, means Clean Water Act (33 U.S.C. 1251 et seq.). (b) The Contractor agrees: (1) To comply with all the requirement of Section 114 of the Clean Air Act (42 U.S.C. 7414) and Section 308 of the

Clean Water Act (33 U.S.C. 1318) relating to inspection, monitoring, entry, reports, and information, as well as other requirements specified in Section 114 and Section 308 of the Air Act and the Water Act, and all regulations and guidelines issued to implement those acts before the award of this contract;

(2) That no portion of the work required by this prime contract will be performed in a facility listed on the

Environmental Protection Agency List of Violating Facilities on the date when this contract was awarded unless and until the EPA eliminates the name of the facility from the listing;

(3) To use best effort to comply with clean air standards and clean water standards at the facility in which the

contract is being performed; and (4) To insert the substance of this clause into any nonexempt subcontract, including this paragraph (b)(4).

Clean Air and Water Act (F-105, JAN 94)



8. The Contractor shall comply with the requirements of 29 CFR Part 3, which are hereby incorporated by reference in this contract.

Compliance with Copeland Act Requirements (F-117, JAN 94)

9. All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR Parts 1, 3 and 5 are hereby incorporated by reference in this contract.

Compliance with Davis-Bacon and Related Act Regulations (F-122, JAN 94)

10. A breach of the contract clauses entitled "Davis-Bacon Act, Contract Work Hours and Safety Standards Act - Overtime Compensation, Apprentices and Trainees, Payrolls and Basic Records, Compliance With Copeland Act Requirements, Subcontracts (Labor Standards), Compliance with Davis-Bacon and Related Act Regulations or Certification of Eligibility" may be grounds for termination of the contract, and for debarment as a Contractor and subcontractor as provided in 29 CFR 5.12.

Contract Termination - Debarment (F-120, JAN 94)

11. (a) Overtime Requirements. No Contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborers or mechanics in any workweek in which the individual is employed on such work to work in excess for forty (40) hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half (1-1/2) times the basic rate of pay for all hours worked in excess of forty (40) hours in such workweek. (b) Violation; Liability for Unpaid Wages; Liquidated Damages. In the event of any violation of the provisions set forth in paragraph (a) of this clause, the Contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such Contractor and subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or to such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the provisions set forth in paragraph (a) of this clause 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 (40) hours without payment of the overtime wages required by the provisions set forth in paragraph (a) of this clause. (c) Withholding for Unpaid Wages and Liquidated Damages. The Contracting Officer shall upon his or her own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the Contractor or subcontractor under any such contract or any other Federal Contract with the same Prime Contractor, or any other Federally-assisted contract subject to the Contract Work Hours and Safety Standards Act which is held by the same Prime Contractor, such sums as may be determined to be necessary to satisfy any liabilities of such Contractor or subcontractor for unpaid wages and liquidated damages as provided in the provisions set forth in paragraph (b) of this clause. (d) Payrolls and Basic Records. (1) The Contractor or subcontractor shall maintain payrolls and basic payroll records during the course of contract

work and shall preserve them for a period of three (3) years from the completion of the contract for all laborers and mechanics working on the contract. Such records shall contain the name and address of each such employee, social security number, correct classification, hourly rates of wages paid, daily and weekly number of hours worked, deductions made, and actual wages paid. Nothing in this paragraph shall require the duplication of records required to be maintained for construction work by Department of Labor regulations at 29 C.F.R. 5.5(a)(3) implementing the Davis-Bacon Act.

(2) The records to be maintained under paragraph (d)(1) of this clause shall be made available by the Contractor or

subcontractor for inspection, copying, or transcription by authorized representatives of the Contracting Officer or the Department of Labor. The Contractor or subcontractor shall permit such representatives to interview employees during working hours on the job.

Contract Work Hours and Safety Standards Act - Overtime Compensation – Construction (F-103.02, JUL 01)

(e) Subcontracts. The Contractor also agrees to include the requirements of this section in each subcontract. The term "subcontract" under this section is considered to refer to a person who agrees to perform any part of the labor or material requirements of a contract for construction, alteration or repair. A person who undertakes to perform a portion of a contract involving the furnishing of supplies or materials will be considered a "subcontractor" under this section if



the work in question involves the performance of construction work and is to be performed: (1) directly on or near the construction site, or (2) by the employer for the specific project on a customized basis. Thus, a supplier of materials which will become an integral part of the construction is a "subcontractor" if the supplier fabricates or assembles the goods or materials in question specifically for the construction project and the work involved may be said to be construction activity. If the goods or materials in question are ordinarily sold to other customers from regular inventory, the supplier is not a "subcontractor." The requirements of this section do not apply to contracts or subcontracts for the purchase of supplies or materials or articles normally available on the open market. 12. (a) All laborers and mechanics employed or working upon the site of the work will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR. Part 3), the full amount of wage 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, subject to the provisions of subparagraph (d) of this clause; 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 period. Such laborers and mechanics shall be paid not less than the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in the clause of these provisions entitled "Apprentices and Trainees". Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: provided, that the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classifications and wage rates conformed under paragraph (b) of this clause) 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. (b) (1) The Contracting Officer shall require that any class of laborers or mechanics which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The Contracting Officer shall approve an additional classification and wage rate and fringe benefits therefor only when the following criteria have been met:

(i) The work to be performed by the classification requested is not performed by a classification in the wage determination; and (ii) The classification is utilized in the area by the construction industry; and (iii) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination.

(2) 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, D.C. 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the Contracting Officer or will notify the Contracting Officer within the 30-day period that additional time is necessary.

(3) 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.

(4) The wage rate (including fringe benefits where appropriate) determined pursuant to subparagraphs (b)(2) and

(b)(3) of this clause, 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.

Davis-Bacon Act (F-114, JAN 94)



(c) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the Contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof. (d) 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. 13. It is the policy of the Authority and the Department of Transportation that Disadvantaged Business Enterprises (DBEs) as defined in 49 CFR Part 26 shall have a level playing field and an opportunity to participate in the performance of contracts financed in whole or in part with Federal funds. Consequently, the DBE requirements of 49 CFR Part 26 apply to this contract.

Disadvantaged Business Enterprise (DBE) Program (F-102, NOV 99)

14. The United States Department of Labor has set forth in 29 CFR Parts 5, 6 and 7 procedures for resolving disputes concerning labor standards requirements. Such disputes shall be resolved in accordance with those procedures and not the "Disputes" clause of this contract. Disputes within the meaning of this clause include disputes between the Contractor (or any of its subcontractors) and the Authority, the US. Department of Labor, or the employees or their representatives.

Disputes Concerning Labor Standards (F-121, JAN 94)

15. The Contractor shall recognize mandatory standards and policies relating to energy efficiency contained in the State Energy Conservation Plan issued in compliance with the Energy Policy and Conservation Act (42 U.S.C. Section 6321 et seq.).

Energy Policy and Conservation Act (F-106, JAN 94)

16. (a) During the performance of this contract, the Contractor agrees as follows: (1) The Contractor shall not discriminate against any employee or applicant for employment because of race,

color, religion, sex, disability or national origin. (2) The Contractor shall take affirmative action to ensure that applicants are employed, and that employees are

treated during employment, without regard to their race, color, religion, sex, disability or national origin. This shall include, but not be 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.

(3) The Contractor shall post in conspicuous places available to employees and applicants for employment,

notices to be provided by the Contracting Officer that explain this clause. (4) The Contractor will, in all solicitations or advertisements for employees placed by or on behalf of the

Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, disability or national origin.

(5) The Contractor shall send to each labor union or representative of workers with which it has a collective

bargaining agreement or other contract or understanding, a notice to be provided by the Contracting Officer advising the labor union or workers' representatives of the Contractor's commitments under this clause and Section 202 of Executive Order 11246 of September 24, 1965, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.

(6) The Contractor will comply with Executive Order 11246, as amended, and the rules, regulations, and relevant

orders of the Secretary of Labor.

Equal Employment Opportunity (F-124, JAN 94)

(7) The Contractor will furnish to the Contracting Officer all information required by Executive Order 11246, as amended, and by the rules, regulations, and orders of the Secretary of Labor. Standard Form 100 (EEO-1) or any



successor form, is the prescribed form to be filed within thirty (30) days following the award, unless filed within twelve (12) months preceding the date of award.

(8) The Contractor shall permit access to its books, records, and accounts by the Contracting Officer, the Federal

Transit Administration, and the Secretary of Labor for purposes of investigation to ascertain the Contractor's compliance with the applicable rules, regulations and orders.

(9) In the event it is determined that the Contractor is not in compliance with this clause or with any rule, regulation

or order of the Secretary of Labor, this contract may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Federal or Federally-assisted contracts in accordance with procedures authorized in Executive Order 11246, as amended. In addition, sanctions may be imposed and remedies invoked against the Contractor as provided in Executive Order 11246, as amended, or by the rules, regulations and orders of the Secretary of Labor, or as otherwise provided by law.

(10) The Contractor shall include the provisions of paragraphs (1) through (10) of this clause in every subcontract

or purchase order that is not exempted by the rules, regulations, or orders of the Secretary of Labor issued under Executive Order 11246, as amended, so that these terms and conditions will be binding upon each subcontractor or vendor. The Contractor shall take such action with respect to any subcontract or purchase order as the Contracting Officer or the FTA or the Secretary of Labor may direct as a means of enforcing these terms and conditions, including sanctions for noncompliance; provided, however, that if the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction, the Contractor may request the United States to enter into such litigation to protect the interests of the United States.

(b) Notwithstanding any other clause in this contract, disputes relative to this clause will be governed by the procedures 41 CFR. 60-1.1. 17. The Contractor agrees to comply with 49 U.S.C. 40118 (the "Fly America" Act) in accordance with the General Services Administration's regulations at 41 CFR Part 301-10, which provide that recipients and subrecipients of Federal funds and their contractors are required to use U.S. Flag air carriers for U.S Government-financed international air travel and transportation of their personal effects or property, to the extent such service is available, unless travel by foreign air carrier is a matter of necessity, as defined by the Fly America Act. The Contractor shall submit, if a foreign air carrier was used, an appropriate certification or memorandum adequately explaining why service by a U.S. flag air carrier was not available or why it was necessary to use a foreign air carrier and shall, in any event, provide a certificate of compliance with the Fly America requirements. The Contractor agrees to include the requirements of this section in all subcontracts that may involve international air transportation.

Fly America Requirements (F-130, JUL01)

18. These provisions include, in part, certain Standard Terms and Conditions required by DOT, whether or not expressly set forth herein. All contractual provisions required by DOT, as set forth in FTA Circular 4220.1F, dated November 1, 1908, revised April 14, 2009, are hereby incorporated by reference. All FTA mandated terms shall be deemed to control in the event of a conflict with other provisions contained in this contract.

Incorporation of Federal Transit Administration (FTA) Terms (F-133, JUL 09)

19. The Contractor or subcontractor agrees that it will not discriminate on the basis of race, color, national origin or sex in the performance of this contract. The Contractor shall carry out the applicable requirements of 49 CFR Part 26 in the award and administration of DOT assisted contracts. Failure by the Contractor to carry out these requirements is a material breach of this Contract, which may result in the termination of this Contract or such other remedy as the Authority deems appropriate. The Contractor understands that it is required to insert the substance of this clause in all subcontracts and purchase orders.

Non-Discrimination Assurance (F-128, NOV 99)

20. The Contractor is advised that Federal requirements applicable to this contract as set forth in federal law, regulations, policies, and related administrative practices may change during the performance of this contract. Any such changes shall also apply to this contract.

Notice of Federal Requirements (F-113, JAN 94)

21. Notice of Requirement for Affirmative Action to Ensure Equal Employment Opportunity

(Executive Order 11246) (F-126, JAN 94)



(a) The offeror's attention is called to the "Equal Opportunity" clause and the "Affirmative Action Compliance Requirements for Construction" clause of this contract.

(b) (1) The goals for minority and female participation, expressed in percentage terms for the Contractor's aggregate work force in each trade on all construction work in the covered area are as follows: Goals for Minority Participation for Each Trade = 18.2%

Goals for Female Participation for Each Trade = 6.9% (2) The goals are applicable to all the Contractor's construction work (whether or not it is Federal or Federally-

assisted) performed in the covered area. If the Contractor performs construction work in a geographical area located outside the covered area, the Contractor shall apply the goals established for the geographical area where the work is actually performed. Goals are published periodically in the Federal Register in notice form, and these notices may be obtained from any Office of Federal Compliance Programs Office.

(c) The Contractor's compliance with the Executive Order and the regulations at 41 CFR 60-4 shall be based on (1) its implementation of the Equal Opportunity clause, (2) specific affirmative action obligations required by the clause entitled "Affirmative Action Compliance Requirements For Construction", and (3) its efforts to meet the goals. The hours of minority and female employment and training must be substantially uniform throughout the length of the contract, and in each trade. The Contractor shall make a good-faith effort to employ minorities and women evenly on each of its projects. The transfer of minority or female employees or trainees from Contractor to Contractor, or from project to project, for the sole purpose of meeting the Contractor's goals shall be a violation of the contract, Executive Order 11246, as amended, and the regulations in 41 CFR. 60-4. Compliance with the goals will be measured against the total work hours performed. (d) The Contractor shall provide written notification to the Director of Federal Contract Compliance Programs within ten (10) working days following award of any construction subcontract in excess of $10,000 at any tier for construction work under the contract resulting from this solicitation. The notification shall list the: name, address, and telephone number of the subcontractor; employer's identification number of the subcontractor; estimated dollar amount of the subcontract; estimated starting and completion dates of the subcontract; and the geographical area in which the subcontract is to be performed. (e) As used in this Notice/Clause, the "covered area" is the Dallas Standard Metropolitan Statistical Area (SMSA) including Dallas, Collin, Ellis, Grayson, and Rockwall Counties. 22. No member of or delegate to Congress, or resident commissioner, shall be admitted to any share or part of this contract or to any benefit arising from it. However, this clause does not apply to this contract to the extent that this contract is made with a corporation for the corporation's general benefit.

Officials Not to Benefit (F-107, JAN 94)

23. (a) 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 (3) years thereafter for all laborers and mechanics working at the site of the work. 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 paragraph (d) of the clause entitled "Davis-Bacon Act," that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in Section 1(b)(2)(B) of the Davis-Bacon Act, the Contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs.

Payrolls and Basic Records (F-116, JAN 94)

(b) (1) The Contractor shall submit weekly for each week in which any contract work is performed a copy of all payrolls to the Contracting Officer. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under paragraph (a) of this clause. This information may be submitted in any form desired.



Optional Form WH-347 (Federal Stock Number 029-005-00014-1) is available for this purpose and may be purchased from the Superintendent of Documents, US. Government Printing Office, Washington, D.C. 20402. The Prime Contractor is responsible for the submission of copies of payrolls by all subcontractors. (2) 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, which shall certify:

(i) That the payroll for the payroll period contains the information required to be maintained under paragraph

(a) of this clause and that such information is correct and complete; (ii) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract

during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations, at 29 CFR Part 3; and

(iii) 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.

(3) The weekly submission of a properly executed certification set forth in the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of Compliance" required by paragraph (b)(2) of this clause. (4) The falsification of any of the certifications in this clause may subject the Contractor or subcontractor to civil or criminal prosecution under Section 1001 of Title 18 and Section 3729 of Title 31 of the United States Code.

(c) The Contractor or subcontractor shall make the records required under paragraph (a) of this clause available for inspection, copying, or transcription by the Contracting Officer or authorized representatives of the Contracting Officer or the Department of Labor. The Contractor or subcontractor shall permit the Contracting Officer or representatives of the Contracting Officer or Department of Labor to interview employees during working hours on the job. The contractor or subcontractor fails to submit the required records or to make them available, the Contracting Officer may, after written notice to the Contractor, take such action as may be necessary to cause the suspension of any further payment. 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. 24. (a) The Contractor acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. § 3801

Program Fraud and False or Fraudulent Statements or Related Acts (F-132, JUL 01)

et seq

25.

. and U.S. DOT regulations, "Program Fraud Civil Remedies," 49 C.F.R. Part 31, apply to its actions pertaining to this contract. Upon execution of the underlying contract, the Contractor certifies or affirms the truthfulness and accuracy of any statement it has made, it makes, it may make, or causes to be made, pertaining to the underlying contract or the FTA assisted project for which this contract work is being performed. In addition to other penalties that may be applicable, the Contractor further acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification, the Federal Government reserves the right to impose the penalties of the Program Fraud Civil Remedies Act of 1986 on the Contractor to the extent the Federal Government deems appropriate. (b) The Contractor also acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification to the Federal Government under a contract connected with a project that is financed in whole or in part with Federal assistance originally awarded by FTA under the authority of 49 U.S.C. § 5307, the Government reserves the right to impose the penalties of 18 U.S.C. § 1001 and 49 U.S.C. § 5307(n)(1) on the Contractor, to the extent the Federal Government deems appropriate. (c) The Contractor agrees to include the above two clauses in each subcontract financed in whole or in part with Federal assistance provided by FTA. It is further agreed that the clauses shall not be modified, except to identify the subcontractor who will be subject to the provisions

The Contractor shall erect at the site of construction, and maintain during construction, signs satisfactory to the Authority and the Department of Transportation identifying the project and indicating that the Federal Government is participating in the development of the project.

Project Signs (F-127, JAN 94)



26. (a) The Contractor shall timely comply with the requirements of the lobbying restrictions set forth in 31 U.S.C. § 1352 and 49 CFR Part 20, and as those authorities may be hereafter amended. (b) If a Standard Form LLL,

Restrictions on Lobbying (F-111, NOV 04)

Disclosure of Lobbying Activities

27.

, is required to be completed by the Contractor or subcontractor at any tier, such disclosure form shall be furnished to the Contracting Officer.

The Contractor agrees that any new building or addition to an existing building will be designed and constructed in accordance with the standards for Seismic Safety required in Department of Transportation Seismic Safety Regulations 49 CFR Part 41 and will certify to compliance to the extent required by the regulation. The Contractor also agrees to ensure that all work performed under this contract, including work performed by a subcontractor, is in compliance with the standards required by the Seismic Safety Regulations and the certification of compliance issued on the project.

Seismic Safety (F-131, JUL 01)

28. Subcontracts (Labor Standards) (F-119, JAN 94) (a) The Contractor or subcontractor shall insert in any subcontracts the clauses entitled "Davis-Bacon Act, Contract Work Hours and Safety Standards Act - Overtime Compensation, Apprentices and Trainees, Payrolls and Basic Records, Compliance with Copeland Act Requirements, Withholding of Funds, Subcontracts (Labor Standards), Contract Termination-Debarment, Disputes Concerning Labor Standards, Compliance with Davis-Bacon and Related Act Regulations and Certification of Eligibility," and such other clauses as the Contracting Officer may, by appropriate instructions, require, and also a clause requiring subcontractors to include these clauses in any lower tier subcontracts. The Prime Contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with all the contract clauses cited in this paragraph. (b) (1) Within fourteen (14) days after award of the contract, the Contractor shall deliver to the Contracting Officer a completed Statement and Acknowledgment Form (SF 1413) for each subcontract, including the subcontractor's signed and dated acknowledgment that the clauses set forth in paragraph (a) of this clause have been included in the subcontract. (2) Within fourteen (14) days after contract award of any subsequently awarded subcontract the Contractor shall deliver to the Contracting Officer an updated completed SF 1413 for such additional subcontract. 29. During the performance of this contract, the Contractor, for itself, its assignees and successors in interest (hereinafter referred to as the "Contractor"), agrees as follows: (a) Compliance with Regulations. The Contractor shall comply with the Regulations relative to nondiscrimination in Federally-assisted programs of the Department of Transportation (hereinafter, "DOT") Title 49, Code of Federal Regulations, Part 21, as they may be amended from time to time (hereinafter referred to as the Regulations), which are herein incorporated by reference and made a part of this contract. (b) Nondiscrimination. The Contract, with regard to the work performed by it during the contract, shall not discriminate on the grounds of race, color, or national origin in the selection and retention of subcontractors, including procurement of materials and leases of equipment. The Contractor shall not participate either directly or indirectly in the discrimination prohibited by Section 21.5 of the Regulations, including employment practices when the contract covers a program set forth in Appendix B of the Regulations. (c) Solicitations for Subcontracts, Including Procurement of Materials and Equipment. In all solicitations either by competitive bidding or negotiation made by the Contractor for work to be performed under a subcontract, including procurements of materials or leases of equipment, each potential subcontractor or supplier shall be notified by the Contractor of the Contractor's obligations under this contract and the Regulations relative to nondiscrimination on the grounds of race, religion, color, sex, age, or national origin. (d) Information and Reports. The Contractor shall provide all information and reports required by the Regulations or directive issued pursuant thereto, and shall permit access to its books, records, accounts, other sources of information, and its facilities as may be determined by the Authority or the Federal Transit Administration (FTA) to be pertinent to ascertain compliance with such Regulations, orders and instructions. Where any information is required or a Contractor is in the exclusive possession of another who fails or refuses to furnish this information, the Contractor shall so certify to the Authority, or FTA, as appropriate, and shall set forth what efforts it has made to obtain the information.

Title VI Civil Rights Act of 1964 (F-104, JAN 94)



(e) Sanctions for Noncompliance. In the event of the Contractor's noncompliance with the nondiscrimination provisions of this contract, the Authority shall impose such contract sanctions as it or FTA may determine to be appropriate, including, but not limited to: (1) Withholding of payments to the Contractor under the contract until the Contractor complies; and/or (2) Cancellation, termination or suspension of the contract, in whole or in part. (f) Incorporation of Provisions. The Contractor shall include the provisions of paragraphs (a) through (f) of this clause in every subcontract, including procurements of materials and leases of equipment, unless exempt by the Regulations, or directives issued pursuant thereto. The Contractor shall take such action with respect to any subcontract or procurement as the Authority or FTA may direct as a means of enforcing such revisions including sanctions for noncompliance: provided, however, that, in the event a contractor becomes involved in, or is threatened with, litigation with a subcontractor or supplier as a result of such direction, the Contractor may request the Authority, and, in addition, the United States to enter into such litigation to protect the interests of the Authority and the United States. 30. The Contracting Officer shall, upon his or her own action or upon written request of an authorized representative of the FTA or Department of Labor, withhold or cause to be withheld from the Contractor under this contract or any other Federal contract with the same Prime Contractor, or any other Federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same Prime Contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the Contractor or any subcontractor the 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, all or part of the wages required by the contract, the Contracting Officer may, after written notice to the Contractor, 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.

Withholding of Funds (F-118, JAN 94)

B-1020513


EXHIBIT F

GENERAL

PROVISIONS


Form 33.604 (06/07) Page 1 of 23 Exhibit F


EXHIBIT F GENERAL PROVISIONS

(CONSTRUCTION, ALTERATION, OR REPAIR CONTRACT) TABLE OF CONTENTS

1. Definitions (6-402.01, JUL 91) ............................................................................................................................ 22. Accident Prevention (6-403.16, JUN 86) ............................................................................................................. 23. Additional Bond Security (6-402.29, JUN 86) ...................................................................................................... 24. Administrative Control of Documents (D-400.03, DEC 92) ................................................................................. 25. Assignment (6-402.25, JUN 86) .......................................................................................................................... 36. Authority Designated Holidays (D-200.11E, NOV 05) .......................................................................................... 37. Authority's Right to Carry Out the Work (6-402.19, JUN 86) .............................................................................. 38. Certificate of Current Cost or Pricing Data (D-400.07, DEC 92) ......................................................................... 39. Change Order Accounting (D-200.05, DEC 92) .................................................................................................. 410. Changes (6-402.16, JUN 86) .............................................................................................................................. 411. Cleaning Up (6-403.15, JUN 86) ......................................................................................................................... 512. Construction Schedule (6-403.07, JUN 86) ........................................................................................................ 513. Default (6-402.18, JUN 86) ................................................................................................................................. 514. Differing Site Conditions (6-402.03, JUN 86) ...................................................................................................... 615. Disputes (6-202.11, MAR 90) .............................................................................................................................. 616. Drug-Free Workplace Program (6-402.32, JUN 91) ........................................................................................... 617. Equal Opportunity (6-402.26, JUN 86) ................................................................................................................ 818. Equitable Adjustments (D-400.04, DEC 92) ........................................................................................................ 819. Examination and Retention of Records (6-403.20, JUN 86) ............................................................................. 1020. Examination of Bid Documents (6-403.08, MAR 90) ........................................................................................ 1021. Federal, State, and Local Taxes (6-402.24, JUN 86) ....................................................................................... 1022. Governing Law (6-402.31, JUN 86) .................................................................................................................. 1123. Indemnification (6-203.22x, NOV 05) ................................................................................................................ 1124. Inspection of Construction (6-402.14, JUN 86) ................................................................................................. 1125. Interest of Public Officials (6-402.27, JUN 86) .................................................................................................. 1226. Interest on Contractor Indebtedness (6-303.06, JUN 86) ................................................................................. 1227. Invoicing and Payment (D-200.07A, JUN 01) .................................................................................................... 1228. Layout of Work (6-403.17, JUN 86) .................................................................................................................. 1229. Material and Workmanship (6-402.11, JUN 86) ............................................................................................... 1330. No Damages for Delay (6-402.20, JUN 86) ...................................................................................................... 1331. Notice of Labor Disputes (6-203.06, JUN 86) ................................................................................................... 1332. Notice to Proceed (D-200.02A, AUG 90) ........................................................................................................... 1333. Operations and Storage Areas (6-402.08, JUN 86) ......................................................................................... 1334. Order of Precedence (6-402.30, JUN 86) ......................................................................................................... 1435. Other Contracts (6-402.06, JUN 86) ................................................................................................................. 1436. Payment to Subcontractors (D-400.09, NOV 02) .............................................................................................. 1437. Payments (6-402.22, JUN 86) .......................................................................................................................... 1438. Performance and Payment Bonds (D-400.01, JAN 98) .................................................................................... 1539. Performance of Work by the Contractor (D-400.02, DEC 92) .......................................................................... 1540. Permits and Responsibilities (6-402.04, JUN 86) ............................................................................................. 1541. Price Reduction for Defective Cost or Pricing Data (Modifications) (D-400.06, DEC 92) ................................. 1542. Pricing of Adjustments (6-203.01, JUN 86) ...................................................................................................... 1643. Prompt Payment (F-129, NOV 99) ................................................................................................................... 1644. Protection of Authority Property (6-203.11, JUN 86) ......................................................................................... 1645. Protection of Existing Site Conditions (6-402.07, JUN 86) ............................................................................... 1646. Publicity Releases (6-403.18, JUN 86) ............................................................................................................. 1647. Removal of Contract Personnel (D-200.27, APR 03) ....................................................................................... 1748. Royalties and Patents (6-402.23, JUN 86) ........................................................................................................ 1749. Seasonal Weather Conditions (D-400.08, JUN 07) ......................................................................................... 1750. Severability (D-400.11, DEC 92) ....................................................................................................................... 1751. Site Investigation and Conditions Affecting the Work (6-402.02, JUN 86) ....................................................... 1752. Specifications and Drawings (6-402.05, JUN 86) ............................................................................................. 1853. Subcontractors (D-400.12, DEC 92) ................................................................................................................. 1854. Superintendence by Contractor (6-402.09, JUN 86) ......................................................................................... 1955. Suspension of Work (6-302.12, JUN 86) .......................................................................................................... 1956. Termination for Convenience (6-402.17, JUL 91) ............................................................................................. 19



57. Time Extensions (6-403.11, JUN 86) ................................................................................................................ 2058. Title to Submittals (6-403.06, JUN 86) .............................................................................................................. 2059. Use and Possession Prior to Completion (6-402.13, JUN 86) .......................................................................... 2060. Value Engineering (D-400.10, DEC 92) ............................................................................................................ 2061. Variation in Estimated Quantity (6-402.10, JUN 86) ......................................................................................... 2262. Warranty of Construction (6-402.15, JUN 86) ................................................................................................... 2263. Wage Rates (6-402.28, FEB 96) ...................................................................................................................... 23

1. Definitions (6-402.01, JUL 91) As used throughout this contract, the following terms shall have the meaning set forth below:

(a) The term "the Authority" means the Dallas Area Rapid Transit Authority; and the term "duly authorized representative" means any person or persons or board (other than the Contracting Officer) authorized in writing to act for the Authority.

(b) The term "Contracting Officer" means the person executing this contract on behalf of the Authority or his duly appointed successor; and the term includes, except as otherwise provided in this contract, the authorized representative of the Contracting Officer acting within the limits of his authority.

(c) Except as otherwise provided in this contract, the term "subcontracts" includes purchase orders under this contract.

(d) In computing any period of time established under this contract, "days" means calendar days, and the day of the event from which the designated period of time begins to run shall not be included, but the last day shall be included unless it is a Saturday, Sunday, or Federal or State of Texas holiday, in which event the period shall run to the end of the next business day. 2. Accident Prevention (6-403.16, JUN 86) (a) In performing this contract, the Contractor shall provide for protecting the lives and health of employees and other persons; preventing damage to property, materials, supplies, and equipment; and avoiding work interruptions. For these purposes, the Contractor shall: (1) provide appropriate safety barricades, signs, and signal lights; (2) comply with all safety standards required by federal, state, or local law and any additional standards customarily employed in connection with the type of work being performed or the conditions at the site; and (3) ensure that any additional measures the Contracting Officer determines to be reasonably necessary for this purpose are taken. (b) The Contractor shall maintain an accurate record of exposure data on all accidents incident to work performed under this contract resulting in death, traumatic injury, occupational disease, or damage to property, materials, supplies, or equipment. The Contractor shall report this data in the manner prescribed by the Contracting Officer. (c) The Contracting Officer shall notify the Contractor of any noncompliance with these requirements and of the corrective action required. This notice, when delivered to the Contractor or the Contractor's representative at the site of the work, shall be deemed sufficient notice of the noncompliance and corrective action required. After receiving the notice, the Contractor shall immediately take corrective action. If the Contractor fails or refuses to take corrective action promptly, the Contracting Officer may issue an order stopping all or part of the work until satisfactory corrective action has been taken. The Contractor shall not base any claim or request for equitable adjustment for additional time or money on any stop order issued under these circumstances. (d) The Contractor shall be responsible for its subcontractors' compliance with this clause. 3. Additional Bond Security (6-402.29, JUN 86) The Contractor shall promptly furnish additional security required to protect the Authority and persons supplying labor or materials under this contract if --

(a) any surety upon any bond furnished with this contract becomes unacceptable to the Authority;

(b) any surety fails to furnish reports on its financial condition as required by the Authority; or

(c) the contract price is increased so that the penal sum of any bond becomes inadequate in the opinion of the Contracting Officer. 4. Administrative Control of Documents (D-400.03, DEC 92)



Contractor correspondence, transmittal letters, etc., forwarded to the Authority and associated with this contract shall be sequentially numbered by the Contractor prior to submission to the Authority for ease of control and cross referencing. Correspondence shall also refer to the contract number identified on the cover sheet of this contract. Correspondence shall be addressed to the appropriate Authority representative, and if it is addressed to any other individual other than the Contracting Officer, a copy of the correspondence shall be provided by the Contractor to the Contracting Officer also. 5. Assignment (6-402.25, JUN 86) The Contractor shall not assign the whole or any part of this contract or any monies due or to become due hereunder without the prior written consent of the Contracting Officer. 6. Authority Designated Holidays (D-200.11E, NOV 05) The Authority designated holidays are: New Year’s Day (January 1); Martin Luther King, Jr., Day (third Monday in January); Presidents' Day (third Monday in February); Memorial Day (last Monday in May); Independence Day (July 4); Labor Day (first Monday in September); Thanksgiving Day (fourth Thursday in November); the day after Thanksgiving (fourth Friday in November); and Christmas Day (December 25). Holidays that fall on a Saturday are observed on the Friday before the holiday. Holidays that fall on a Sunday are observed the following Monday. 7. Authority's Right to Carry Out the Work (6-402.19, JUN 86) If the Contractor fails or refuses to carry out all or any part of the work in accordance with the contract requirements or within the contract schedule and fails or refuses to correct such deficiency within seven days of receipt of written notice thereof from the Authority, the Authority, in its sole discretion and without waiving any other rights it may have, may elect to correct such deficiencies and charge the Contractor the cost of such corrections. Nothing in this clause shall relieve the Contractor of its obligation to perform the remainder of the work in accordance with the contract. 8. Certificate of Current Cost or Pricing Data (D-400.07, DEC 92) (a) When cost or pricing data must be certified, a certificate substantially as set forth below shall be included in the contract file along with any award documentation required under these regulations. The offeror or contractor shall be required to submit the certificate as soon as practicable after agreement is reached on the contract price or adjustment. CERTIFICATE OF CURRENT COST OR PRICING DATA This is to certify that, to the best of my knowledge and belief, cost or pricing data as defined in the DART Procurement Regulations submitted, either actually or by specific identification, in writing, to the Contracting Officer in support of *, are accurate, complete, and current as of (date) (month) (year).** This certification includes the cost or pricing data supporting any advance agreement(s) between the offeror and the Authority which are part of the proposal. Firm ___________________________________________ Name ___________________________________________ Title ___________________________________________ Date of Execution ____/____/_____*** (End of Certificate) *Describe the proposal, quotation, request for price adjustment or other submission involved, giving appropriate identifying number (e.g., RFP No. ________). **The effective date shall be a mutually determined date prior to but as close to the date when price negotiations were concluded and the contract price was agreed to as possible. The responsibility of the offeror or contractor is not limited by the personal knowledge of the offeror's or contractor's negotiator if the offeror or contractor had information reasonably available, at the time of agreement, showing that the negotiated price is not based on accurate, complete, and current data.



***This date should be as soon after the date when the price negotiations were concluded and the contract price was agreed to as practical. (b) Although the certificate pertains to "cost or pricing data," it is not to be construed as a representation as to the accuracy of the offeror's or contractor's judgment on the estimated portion of future costs or projections. It does, however, constitute a representation as to the accuracy of the data upon which the offeror's or contractor's judgment is based. A Certificate of Current Cost or Pricing Data shall not substitute for examination and analysis of the offeror's or contractor's proposal. (c) If such a certificate is required, and data subsequently are found to have been inaccurate, incomplete, or noncurrent as of the date stated in the certificate, the Authority is entitled to an adjustment of the contract price, including profit or fee, to exclude any significant sum by which the price, including profit or fee, was increased because of the defective data. (d) The exercise of an option at the price established in the initial negotiation in which certified cost or pricing were used does not require recertification or further submission of data. 9. Change Order Accounting (D-200.05, DEC 92) In the event an equitable adjustment under the General Provision clause entitled "Changes" as supplemented by the General Provision entitled "Equitable Adjustment" cannot be agreed to in a timely manner, the Contracting Officer may issue a change order and require change order accounting. The Contractor for each change or series of related changes, shall maintain separate accounts, by job order or other suitable accounting procedure, of all incurred, segregable, direct costs (less allocable credits) of work, both changed and not changed, allocable to the change. The Contractor shall maintain such accounts until the parties agree to an equitable adjustment for the changes ordered by the Contracting Officer or the matter is conclusively disposed of in accordance with the "Disputes" clause. 10. Changes (6-402.16, JUN 86) (a) The Contracting Officer may, at any time, without notice to the sureties, if any, by written order designated or indicated to be a change order, make changes in the work within the general scope of the contract, including changes:

(1) in the specifications (including drawings and designs);

(2) in the method or manner of performance of the work;

(3) in the facilities, equipment, materials, services, or site to be furnished by the Authority; or

(4) directing acceleration in the performance of the work. (b) Any other written or oral order (which, as used in this paragraph (b), includes direction, instruction, interpretation, or determination) from the Contracting Officer that causes a change in the Contractor's obligations shall be treated as a change order under this clause; provided, that the Contractor gives the Contracting Officer written notice stating (1) the date, circumstances, and source of the order and (2) that the Contractor regards the order as a change order. (c) Except as provided in this clause, no order, statement, or conduct of the Contracting Officer shall be treated as a change under this clause or entitle the Contractor to an equitable adjustment. (d) If any change under this clause causes an increase or decrease in the Contractor's cost of, or the time required for, the performance of any part of the work under this contract, whether or not changed by any such order, the Contracting Officer shall make an equitable adjustment and modify the contract in writing. However, except for a "proposal for adjustment" (hereafter referred to as proposal) based on defective specifications, no proposal for any change under paragraph (b), above, shall be allowed for any costs incurred more than 20 days before the Contractor gives written notice as required. In the case of defective specifications for which the Authority is responsible, the equitable adjustment shall include the increased cost reasonably incurred by the Contractor in attempting to comply with the defective specifications. (e) The Contractor must submit any proposal under this clause within 30 days after (1) receipt of a written change order under paragraph (a), above, or (2) the furnishing of a written notice under paragraph (b), above, by submitting to the Contracting Officer a written statement describing the general nature and amount of the proposal, unless this period is extended by the Authority. The proposal may be included in the notice under paragraph (b), above. (f) No proposal by the Contractor for an equitable adjustment shall be allowed if asserted after final payment under this contract.



11. Cleaning Up (6-403.15, JUN 86) The Contractor shall at all times keep the work area, including storage areas, free from accumulations of waste materials. Before completing the work, the Contractor shall remove from the work and premises any rubbish, tools, scaffolding, equipment, and materials that are not the property of the Authority. Upon completing the work, the Contractor shall leave the work area in a clean, neat, and orderly condition satisfactory to the Contracting Officer. 12. Construction Schedule (6-403.07, JUN 86) (a) Promptly after contract award, the Contractor shall meet with the Contracting Officer to discuss project scheduling and, at that meeting, shall submit a practicable schedule showing the order in which the Contractor proposes to perform the work and the dates on which the Contractor contemplates starting and completing the several salient features of the work (including acquiring materials, plant, and equipment). The schedule shall be in the form of a network analysis of suitable scale to indicate appropriately the percentage of the Contractor's work breakdown schedule which will be completed by any given date during the period. If the Contractor fails to submit a schedule within the time prescribed, the Contracting Officer may withhold approval of progress payments until the Contractor submits the required schedule. (b) The Contractor shall enter the actual progress on the schedule as directed by the Contracting Officer and, upon doing so, immediately shall deliver a copy of the annotated schedule to the Contracting Officer. If, in the opinion of the Contracting Officer, the Contractor falls behind the approved schedule, the Contractor shall take steps necessary to improve its progress, including those that may be required by the Contracting Officer, without additional cost to the Authority. In this circumstance, the Contracting Officer may require the Contractor to increase the number of shifts, overtime operations, days of work, and/or the amount of construction plant, and to submit for approval any supplementary schedule or schedules in chart form as the Contracting Officer deems necessary to demonstrate how the approved rate of progress will be regained. (c) Failure of the Contractor to comply with the requirements of the Contracting Officer under this clause shall be grounds for a determination by the Contracting Officer that the Contractor is not prosecuting the work with sufficient diligence to ensure completion within the time specified in the contract. Upon making this determination, the Contracting Officer may terminate the Contractor's right to proceed with the work, or any separable part of it, in accordance with the terms of this contract. 13. Default (6-402.18, JUN 86) (a) If the Contractor refuses or fails (i) to commence the work within the time required by this contract, (ii) to prosecute the work or any separable part with the diligence that will ensure its completion within the time specified in this contract, including any extension, (iii) to provide sufficient and properly skilled workmen or proper materials or equipment to complete the work in an acceptable manner and without delay, (iv) to promptly pay its subcontractors, laborers, and materialmen, (v) to perform any of its other obligations under this contract, or (vi) to complete the work within the time specified in this contract ("events of default"), the Authority may, by written notice to the Contractor, terminate the right to proceed with the work (or the separable part of the work). In this event, the Authority may take over the work and complete it by contract or otherwise, and may take possession of and use any materials, appliances, and plant on the work site necessary for completing the work. The Contractor and its sureties shall be liable for any damage to the Authority resulting from events of default, whether or not the Contractor's right to proceed with the work is terminated. This liability includes any increased costs incurred by the Authority in completing the work. (b) The Contractor's right to proceed shall not be terminated because of delays nor the Contractor charged with damages under this clause, if -- (1) the delay in completing the work arises from unforeseeable causes beyond the control and without the fault

or negligence of the Contractor (examples of such causes include (i) acts of God or of the public enemy, (ii) acts of the Authority in either its public or contractual capacity, (iii) acts of another Contractor in the performance of a contract with the Authority, (iv) fires, (v) floods, (vi) epidemics, (vii) quarantine restrictions, (viii) strikes, (ix) freight embargoes, (x) unusually severe weather, or (xi) delays of subcontractors or suppliers at any tier arising from unforeseeable causes beyond the control and without the fault or negligence of both the Contractor and the subcontractors or suppliers); and

(2) the Contractor, within 10 days from the beginning of any delay (unless extended by the Contracting Officer),

notifies the Contracting Officer in writing of the causes of delay. The Contracting Officer shall ascertain the facts and the extent of the delay. If, in the judgment of the Contracting Officer, the findings of fact warrant such action, the time for completing the work shall be extended. The findings of the Contracting Officer shall be final and conclusive on the parties but subject to appeal under the "Disputes" clause.



(c) If, after termination of the Contractor's right to proceed, it is determined that the Contractor was not in default, or that the delay was excusable, the rights and obligations of the parties will be the same as if the termination had been issued for the convenience of the Authority. (d) The rights and remedies of the Authority in this clause are in addition to any other rights and remedies provided by law or under this contract. Time is of the essence for all delivery, performance, submittal, and completion dates in this contract. 14. Differing Site Conditions (6-402.03, JUN 86) (a) The Contractor shall promptly, and before the conditions are disturbed, give written notice to the Contracting Officer of (1) subsurface or latent physical conditions at the site which differ materially from those indicated in this contract, or (2) unknown physical conditions at the site, of an unusual nature, which differ materially from those ordinarily encountered and generally recognized as inhering in work of the character provided for in the contract. (b) The Contracting Officer shall investigate the site conditions promptly after receiving the notice. If the conditions do materially so differ and cause an increase or decrease in the Contractor's cost of, or the time required for, performing any part of the work under this contract, whether or not changed as a result of the conditions, an equitable adjustment shall be made under this clause and the contract modified in writing accordingly. (c) No request by the Contractor for an equitable adjustment to the contract under this clause shall be allowed unless the Contractor has given the written notice required; provided, that the time prescribed in (a), above, for giving written notice may be extended by the Contracting Officer. (d) No request by the Contractor for an equitable adjustment to the contract for differing site conditions shall be allowed if made after final payment under this contract. 15. Disputes (6-202.11, MAR 90) (a) Except as otherwise provided in this contract, any dispute concerning a question of fact or law arising under or related to this contract which is not disposed of by agreement shall be decided by the Contracting Officer, who shall reduce his decision to writing and mail or otherwise furnish a copy thereof to the Contractor. The decision of the Contracting Officer shall be final and conclusive unless, on or before the 90th day from the date of receipt of such copy, the Contractor mails or otherwise furnishes a written appeal addressed to the Authority. The decision of the Authority or its duly authorized representative on such appeal shall be final and conclusive as to questions of fact unless determined by a court of competent jurisdiction to have been fraudulent, capricious, arbitrary, so grossly erroneous as necessarily to imply bad faith, or not supported by substantial evidence. The decision of the Authority or its duly authorized representative shall not be final and conclusive as to questions of law. No action challenging such decision shall be brought more than two years from the date of the Contractor's receipt of such decision. In connection with any appeal of the Contracting Officer's decision, the Contractor shall be afforded an opportunity to be heard and to offer evidence in support of its appeal. Pending the final resolution of a dispute hereunder, the Contractor shall proceed diligently with the performance of the contract and in accordance with the Contracting Officer's decision. (b) If it is determined, on appeal, that the Contracting Officer's interpretation of the contract, direction to the Contractor, or any other action required by the Contracting Officer's decision was an erroneous determination of the rights and obligations of the parties under the contract, the Contractor's remedy shall be the same as if such action were a change order under the "Changes" clause of this contract. 16. Drug-Free Workplace Program (6-402.32, JUN 91) (a) As used in this clause: (1) "Alcohol" means ethyl alcohol and any beverage containing ethyl alcohol.

(2) "Controlled substance(s)" means a substance, including a drug and an immediate precursor listed in Schedules I through V of Subchapter A of the Texas Controlled Substances Act, Tex. Rev. Civ. Stat. Ann. Articles 481.032 - 481.036. These substances include, but are not limited to, marijuana, heroin, LSD, concentrated cannabis or cannabinoids, hashish or hash oil, morphine or its derivatives, mescaline, peyote, phencyclidine (PCP, Angel Dust), opium, opiates, methadone, cocaine, qualudes, amphetamines, "exotic/designer" drugs, benzodiazepines, Seconal, codeine, barbiturates, phenobarbital, or Valium.



(3) "Safety sensitive task" means each category of work performed at a construction workplace which, if performed by a person impaired by the effects of alcohol or a controlled substance:

(i) would pose a serious risk of death or personal injury to the employee or others in the vicinity; or

(ii) could compromise the quality of the construction in such manner as would impose a significant public safety risk in the operation of the Authority's public transportation system.

(4) "Drug-free workplace" means a site for the performance of work done in connection with the Authority's

construction contract at which employees are prohibited from using alcohol or from engaging in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance.

(5) "Employee" means an employee of a Contractor or subcontractor who may be directly engaged in the performance of work under the Authority's construction contract.

(6) "Reasonable suspicion" means the presence or absence of specific criteria identified in the Contractor's drug-free workplace program (indicating the possibility that a person is under the influence of alcohol or a controlled substance) as observed by the Contractor's supervisory personnel with reasonable training in the identification of such criteria.

(b) The program shall provide for mandatory drug testing of employees who are to perform safety sensitive tasks under the following circumstances:

(1) All employees will be tested prior to assignment to the Authority's construction project to ascertain the use of controlled substances if the employee will be performing safety sensitive tasks; and

(2) When there is a reasonable suspicion that an employee is under the influence of alcohol or a controlled

substance at the workplace; and

(3) When an employee has been involved in an accident or unsafe practice (as defined in the Contractor's safety program) at the workplace.

(c) The program may, at the Contractor's discretion, include mandatory employee drug testing under the following circumstances:

(1) As part of or as a follow-up to counseling or rehabilitation for controlled substance use; or

(2) As part of a voluntary employee drug testing program.

(d) A random testing procedure to detect the use of alcohol or a controlled substance by employees performing safety sensitive tasks is required as part of the Contractor's program for the purpose of preventing or deterring hazardous performance. The procedure shall require that, at a minimum, five percent (5%) of the Contractor's employees will be randomly tested within the contract period or within each year of the contract period, whichever period is shorter.

(e) All testing by or on behalf of the Contractor because of a requirement in the Authority's contract shall be conducted only for employees engaged (or to be engaged) in safety sensitive tasks and only for use of alcohol or a controlled substance and shall be conducted in a manner and under written policies that minimize the intrusion on the employee's privacy and personal dignity. This provision shall not preclude the Contractor from adding its own additional testing requirements.

(f) The Contractor shall publish a statement notifying employees that the use of alcohol at the workplace or the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance by employees at any time is prohibited and specifying the actions that will be taken against employees for violations of such prohibition.

(g) The program must require each employee who will perform a safety sensitive task, prior to working under the Authority's contract to:

(1) Acknowledge in writing the Contractor's drug-free workplace program; and

(2) Give advance written consent to any drug testing that may be conducted under the Contractor's program and the use of test results for decisions related to employment, disciplinary action, or continued employment. The Contractor will agree, in connection with the employee's consent, that the results of testing for alcohol and controlled substances will not be voluntarily referred to any law enforcement agency. If the Contractor is subject to a collective bargaining agreement:

(i) the procedure for obtaining the individual employee's acknowledgment and consent must be consistent with the Contractor's obligations under the collective bargaining agreement; and



(ii) employees shall have the right to be accompanied by a union representative when any specimen is obtained for testing.

(h) The Contractor will establish a drug-free awareness program to inform its employees about:

(1) The dangers of drug abuse in the workplace;

(2) The Contractor's policy of maintaining a drug-free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance programs; and (4) The penalties that may be imposed upon employees who refuse to submit to required testing and for other

violations of the drug-free workplace program including, but not limited to, being unable to remain employed at the workplace until approval to return is obtained from the Authority.

(i) The Contractor's drug-free workplace program shall, at a minimum, include: (1) Policies and procedures for specimen collection, chain of custody for specimens, laboratory qualification

standards, laboratory analysis procedures, quality control requirements, and test result reporting procedures which substantially conform to the material requirements of the Mandatory Guidelines for Federal Workplace Drug Testing Programs promulgated by the U.S. Department of Health and Human Services in effect on the date of award of the Authority's construction contract.

(2) Procedures for the Contractor's employees to report their use of prescription drugs used in the course of

medical treatment or which have been prescribed and authorized for use by a licensed medical practitioner. (3) The criteria the Contractor will use for "reasonable suspicion" testing. (4) The levels of alcohol or controlled substances which will be used in conjunction with a determination that an

employee is "under the influence" or is "impaired by the effects of" alcohol or controlled substance(s). (j) The Contractor shall display a notice, prominently placed near each entrance to the workplace, stating that, by entering the premises, persons are consenting to an inspection of themselves and their property including, but not limited to, their clothing, vehicles, briefcases, lunch boxes, tool boxes, purses, and packages. (k) The Contractor agrees to use its best efforts to establish and maintain a work environment free of use by employees of alcohol or controlled substances through implementation of paragraphs (b) through (j) of this clause. The Contractor shall prepare and maintain records in sufficient detail to demonstrate compliance with the requirements of this clause including, but not limited to, certifications from subcontractors and records of drug or alcohol tests conducted during performance of the contract. Such records shall be subject to inspection and audit by the Authority, and the Contractor's noncompliance may authorize the Authority to withhold all or any portion of any payments due the Contractor until the Contractor demonstrates compliance. (l) A Drug-Free Workplace Program clause identical to this clause (except for changes appropriate for designation of the parties), including this subparagraph (l), will be included in every subcontract entered into in connection with this contract. 17. Equal Opportunity (6-402.26, JUN 86) During the performance of this contract, the Contractor agrees that it will, in good faith, afford equal opportunity required by applicable federal, state, or local law to all employees and applicants for employment without regard to race, color, religion, sex, handicapping conditions, or national origin. The Contractor further agrees to afford equal opportunity required by applicable federal, state, or local law to subcontractors and vendors which are "disadvantaged business enterprises" or "women owned enterprises" (both as defined by federal law or regulation in effect on the date of this contract). The Contractor agrees to insert the substance of this clause in all subcontracts and purchase orders. 18. Equitable Adjustments (D-400.04, DEC 92) (a) The provisions of the "Changes" clause in the General Provision are supplemented as follows: (1) Upon written request, the Contractor shall submit a proposal, in accordance with the requirements and

limitations set forth in the "Equitable Adjustments" clause, for work involving contemplated changes covered by the request. The proposal shall be submitted within the time limit indicated in the request for any extension of such time limit as may be subsequently granted. The Contractor's written statement of the monetary extent of a claim for equitable adjustment shall be submitted in the following form:



(i) Proposals totaling $5,000 or less shall be submitted in the form of a lump sum proposal with supporting

information to clearly relate elements of cost with specific items of work involved to the satisfaction of the Contracting Officer, or his/her authorized representative.

(ii) For proposals in excess of $5,000, the claim for equitable adjustment shall be submitted in the form of

a lump sum proposal supported with an itemized breakdown of all increases and decreases in the contract. The itemized breakdown shall, at the least, include the items specified in subparagraph (a)(2), below.

(2) Calculation of Direct Costs (i) Material quantities by trades and unit costs. (Manufacturing burden associated with material

fabrication performed will be considered to be part of the material costs of the fabricated item delivered to the job site.)

(ii) Labor breakdown by trades and unit costs. (Identified with specific item of material to be placed or

operation to be performed.) (iii) Construction equipment exclusively necessary for the change. (iv) Costs of preparation and/or revision to shop drawings resulting from the change. (v) Employment taxes under FICA and FUTA. (vi) Bond Costs -- when size of change warrants revision. (3) Calculation of Overhead, Profit and Commission (i) The allowable overhead shall be determined in accordance with the contract cost principles and

procedures in Chapter 7 of DART's Procurement Regulations in effect on the date of this contract but in no case shall exceed the following. The percentages for profit and commission shall be negotiated and may vary according to the nature, extent and complexity of the work involved, but in no case shall exceed the following:

OVER- HEAD (%)

PROFIT (%)

COMMIS- SION (%)

TO CONTRACTOR ON THE WORK PERFORMED BY OTHER THAN HIS OWN WORKFORCE

0

0

10

TO THE FIRST TIER SUBCONTRACTOR ON WORK PERFORMED BY HIS SUBCONTRACTORS

0

0

10

TO CONTRACTOR AND/OR THE SUBCONTRACTORS FOR THAT PORTION OF THE WORK PERFORMED WITH THEIR RESPECTIVE WORKFORCES

15

10

0

(ii) The Contractor or any subcontractor at any tier shall not be allowed any commission on the allowable

profit or commission of any lower-tiered subcontractor. Equitable adjustments for deleted work shall include credits for overhead, profit and commission. On proposals covering both increases and decreases in the amount of the contract, the application of overhead and profit shall be on the net change in direct costs for the Contractor or subcontractor performing the work.

(4) The Contractor shall submit with the proposal its request for time extension (if any), and shall include

sufficient information and dates to demonstrate whether and to what extent the change will delay the contract in its entirety.

(5) In considering a proposal, the Authority shall check estimates in detail, utilizing unit prices where specified

or agreed upon, with a view to arriving at an equitable adjustment. (6) After receipt of a proposal the Contracting Officer shall act thereon. If the necessity to proceed with a

change does not allow time properly to check a proposal, the change cannot be reasonably estimated, or in the



event of a failure to reach an agreement on a proposal, the Authority may order the Contractor to proceed on the basis of price to be determined at the earliest practicable date. If appropriate, the contractor may be required to proceed in accordance with General Provision entitled Change Order Accounting (commonly referred to as Force Account or Time and Materials).

(7) If a mutually acceptable agreement cannot be reached, the Contracting Officer may determine the price

unilaterally, subject to the "Disputes" clause of the General Provisions. (b) The provisions of the "Differing Site Conditions" clause prescribed by the General Provisions, are supplemented as follows: The Contractor shall submit all claims for equitable adjustment in accordance with, and subject to the requirements and limitations set out in paragraph (a) of this "Equitable Adjustments" clause. 19. Examination and Retention of Records (6-403.20, JUN 86) (a) The Contracting Officer and his representatives shall have the audit and inspection rights described in the applicable paragraphs (b) and (c), below. (b) If this is a cost reimbursement type, incentive, time and materials, labor hour, or price redeterminable contract, or any combination thereof, the Contractor shall maintain, and the Contracting Officer and his representatives shall have the right to examine, all books, records, documents, and other evidence and accounting procedures and practices sufficient to reflect properly all direct and indirect costs of whatever nature claimed to have been incurred and anticipated to be incurred for the performance of this contract. Such right of examination shall include inspection at all reasonable times at the Contractor's plants, or such parts thereof, as may be engaged in or maintain records in connection with the performance of this contract. (c) If the Contractor submitted certified cost or pricing data in connection with the pricing of this contract or if the Contractor's cost of performance is relevant to any change or modification to this contract, the Contracting Officer and his representatives shall have the right to examine all books, records, documents, and other data of the Contractor related to the negotiation, pricing, or performance of such contract, change, or modification for the purpose of evaluating the costs incurred and the accuracy, completeness, and currency of the cost or pricing data submitted. The right of examination shall extend to all documents necessary to permit adequate evaluation of the costs incurred and the cost or pricing data submitted, along with the computations and projections used therein. (d) The materials described in (b) and (c), above, shall be made available at the office of the Contractor at all reasonable times for inspection, audit, or reproduction until the expiration of three (3) years from the date of final payment under this contract, except that: (1) if this contract is completely or partially terminated, the records relating to the work terminated shall be made available for a period of three (3) years from the date of any final settlement; and (2) records which relate to appeals under the Disputes Clause of this contract or litigation, or the settlement of claims arising out of the performance of this contract, shall be made available until such appeals, litigation, or claims have been resolved. (e) The Contractor shall insert a clause containing all the provisions of this clause, including this paragraph (e), in all subcontracts exceeding $10,000 hereunder, altered to reflect the proper identification of the contracting parties and the Contracting Officer under the prime contract. 20. Examination of Bid Documents (6-403.08, MAR 90) The Authority shall have the right to examine and review the Contractor's original bid and estimating documents used in preparing its bid as a reference to aid in the Authority's evaluation of the Contractor's scheduling and construction progress. A certified copy of such documents shall be submitted to the Authority if requested by the Contracting Officer. The Authority shall maintain in confidence all information contained in such bid and estimating documents. It is the Authority's position that the Contractor's estimating documents in support of its original bid are exempt from mandatory release prior to award of contract under the Texas Open Records Act. After award, the documents would require individual review to determine whether or not an exemption from release under the Act is available. 21. Federal, State, and Local Taxes (6-402.24, JUN 86) The contract price includes all applicable federal, state, and local taxes and duties. The Authority is exempt from Texas state and local sales and use taxes, and any such taxes included on any invoice or voucher received by the Authority shall be deducted from the amount of the invoice or voucher for purposes of payment.



22. Governing Law (6-402.31, JUN 86) The rights, obligations, and remedies of the parties shall be governed by the laws of the State of Texas. Whenever there is no applicable state statute or decisional precedent governing the interpretation of, or disputes arising under or related to, this contract, then federal common law, including the law developed by federal boards of contract appeals, the United States Claims Court (formerly the Court of Claims), and the Comptroller General of the United States, shall govern. Venue for any action shall lie exclusively in Dallas County, Texas. This is the complete agreement between the parties. If any provision of the contract is found to be invalid or unenforceable, the remaining provisions shall not be impaired. 23. Indemnification (6-203.22x, NOV 05) The Contractor shall fully indemnify and hold harmless the Authority and all of its directors, officers, employees, and agents from any and all contractual and negligence claims, demands, causes of action, damages, losses, and expenses (including attorney's fees) of whatsoever nature, character, or description that any person or entity has or may have arising out of or related to the breach of or failure to perform the contract or any subagreements thereunder or resulting from any negligent act, omission, misconduct, or fault of the Contractor or subcontractors and their employees and agents. 24. Inspection of Construction (6-402.14, JUN 86) (a) The word "work" includes, but is not limited to, materials, workmanship, and manufacture and fabrication of components. (b) The Contractor shall maintain an adequate inspection system and perform such inspections as will ensure that the work called for by this contract conforms to contract requirements. The Contractor shall maintain complete inspection records and make them available to the Authority. All work shall be conducted under the general direction of the Contracting Officer and is subject to inspection and testing by the Authority at all places and at all reasonable times before acceptance to ensure strict compliance with the terms of the contract. (c) Inspections and tests by the Authority are for the sole benefit of the Authority and do not: (1) relieve the Contractor of responsibility for providing adequate quality control measures; (2) relieve the Contractor of responsibility for damage to or loss of the material before acceptance; (3) constitute or imply acceptance; or (4) affect the continuing rights of the Authority after acceptance of the completed work under paragraph (i) below. (d) The presence or absence of an inspector from the Authority does not relieve the Contractor from any contract requirement, nor is the inspector authorized to change any term or condition of the specifications without the Contracting Officer's written authorization. (e) The Contractor shall promptly furnish, without additional charge, all facilities, labor, and material reasonably needed for performing such safe and convenient inspections and tests as may be required by the Contracting Officer. The Authority may charge to the Contractor any additional cost of inspection or test when work is not ready at the time specified by the Contractor for inspection or test, or when prior rejection makes reinspection or retest necessary. The Authority shall perform all inspections and tests in a manner that will not unnecessarily delay the work. Special, full size, and performance tests shall be performed as described in the contract. (f) The Contractor shall, without charge, replace or correct work found by the Authority not to conform to contract requirements, unless in the public interest the Authority consents to accept the work with an appropriate downward adjustment in contract price. The Contractor shall promptly segregate and remove rejected material from the premises. (g) If the Contractor does not promptly replace or correct rejected work, the Authority may (1) by contract or otherwise, replace or correct the work and charge the cost to the Contractor or (2) terminate for default the Contractor's right to proceed. (h) If, before acceptance of the entire work, the Authority decides to examine already completed work by removing it or tearing it out, the Contractor, on request, shall promptly furnish all necessary facilities, labor, and material. If the work is found to be defective or nonconforming in any material respect due to the fault of the Contractor or its subcontractors, the Contractor shall defray the expenses of the examination and of satisfactory reconstruction. However, if the work is found to meet contract requirements, the Contracting Officer shall make an equitable adjustment for the additional services involved in the examination and reconstruction, including, if completion of the work was thereby delayed, an extension of time.



(i) Unless otherwise specified in the contract, the Authority shall accept, as promptly as practicable after completion and inspection, all work required by the contract or that portion of the work the Contracting Officer determines can be accepted separately. Subject to the provisions of the "Warranty of Construction" clause hereof, acceptance shall be final and conclusive except for latent defects, fraud, gross mistakes amounting to fraud, or the Authority's rights under any warranty or guarantee. 25. Interest of Public Officials (6-402.27, JUN 86) The Contractor represents and warrants that no employee, official, or member of the Board (Executive Committee) of the Authority is or will be pecuniarily interested or benefited directly or indirectly in this contract. The Contractor further represents and warrants that it has not offered or given gratuities (in the form of entertainment, gifts or otherwise) to any employee, official, or member of the Board (Executive Committee) of the Authority with a view toward securing favorable treatment in the awarding, amending, or evaluating the performance of this contract. For breach of any representation or warranty in this clause, the Authority shall have the right to annul this contract without liability and/or have recourse to any other remedy it may have at law. 26. Interest on Contractor Indebtedness (6-303.06, JUN 86) (a) Notwithstanding any other clause of this contract, all amounts that become payable by the Contractor to the Authority under this contract shall bear simple interest from the date due until paid unless paid within 30 days of becoming due. The interest rate shall be the interest rate established by the Secretary of the Treasury as provided in Section 12 of the Contract Disputes Act of 1978 (Public Law 95-563), which is applicable to the period in which the amount becomes due, as provided in paragraph (b) of this clause, and then at the rate applicable for each six-month period as fixed by the Secretary until the amount is paid. In no event shall the interest charged or payable hereunder exceed that allowable under Texas law. (b) Amounts shall be due at the earliest of the following dates: (1) the date fixed under this contract; (2) the date of the first written demand for payment consistent with this contract, including any demand resulting from a default termination; (3) the date the Authority transmits to the Contractor a proposed supplemental agreement to confirm completed negotiations establishing the amount of debt (unless a later date is set forth therein); or (4) if this contract provides for revision of prices, the date of written notice to the Contractor stating the amount of refund payable in connection with a pricing proposal or a negotiated pricing agreement not confirmed by contract modification. 27. Invoicing and Payment (D-200.07A, JUN 01) (a) Invoices may be submitted once per month to:

DART Accounts Payable P.O. Box 223805 Dallas, Texas 75222-3805

and shall conform to policies or regulations adopted from time to time by the Authority. Invoices shall be legible and shall contain, as a minimum, the following information: (1) the contract and order number (if any); (2) a complete itemization of all costs including quantities ordered and delivery order numbers (if any); (3) any discounts offered to the Authority under the terms of the contract; (4) evidence of the acceptance of the supplies or services by the Authority; (5) unique traceable invoice number(s); and (6) any other information necessary to demonstrate entitlement to payment under the terms of the contract. Failure to provide the above critical information may result in the rejection and return of the invoice for resubmission with complete data.

(b) Subject to the withholding provisions of the contract, payment shall be made within 30 days after the Authority's receipt of a properly prepared invoice. 28. Layout of Work (6-403.17, JUN 86) The Contractor shall lay out its work from Authority-established base lines and bench marks indicated on the drawings and shall be responsible for all measurements in connection with the layout. The Contractor shall furnish, at its own expense, all stakes, templates, platforms, equipment, tools, materials, and labor required to lay out any part of the work. The Contractor shall be responsible for executing the work to the lines and grades that may be established or indicated by the Contracting Officer. The Contractor shall also be responsible for maintaining and preserving all stakes and other marks established by the Contracting Officer until authorized to remove them. If such marks are destroyed by the Contractor or through its negligence before their removal is authorized, the Contracting Officer may replace them and deduct the expense of the replacement from any amounts due or to become due to the Contractor.



29. Material and Workmanship (6-402.11, JUN 86) (a) All equipment, material, and articles incorporated into the work covered by this contract shall be new and of the most suitable grade for the purpose intended unless otherwise specifically provided in this contract. References in the specifications to equipment, material, articles, or patented processes by trade name, make, or catalog number shall be regarded as establishing a standard of quality and shall not be construed as limiting competition. The Contractor may, at its option, use any equipment, material, article, or process that, in the judgment of the Contracting Officer, is equal to that named in the specifications, unless otherwise specifically provided in this contract.

(b) The Contractor shall obtain the Contracting Officer's approval of the machinery and mechanical and other equipment to be incorporated into the work. When requesting approval, the Contractor shall furnish to the Contracting Officer the name of the manufacturer, the model number, and other information concerning the performance, capacity, nature, and rating of the machinery and mechanical and other equipment. When required by this contract or by the Contracting Officer, the Contractor also shall obtain the Contracting Officer's approval of the material or articles which the Contractor contemplates incorporating into the work. When requesting approval, the Contractor shall provide full information concerning the material or articles. When directed to do so, the Contractor shall submit samples for approval at the Contractor's expense, with all shipping charges prepaid. Machinery, equipment, material, and articles that do not have the required approval shall be installed or used at the risk of subsequent rejection.

(c) All work under this contract shall be performed in a skillful and workmanlike manner. The Contracting Officer may require, in writing, that the Contractor remove from the work any employee the Contracting Officer deems incompetent, careless, or otherwise objectionable. 30. No Damages for Delay (6-402.20, JUN 86) Unless otherwise specifically provided for by the contract, the Contractor shall not be entitled to damages of any type resulting from hindrances, delays, or any other cause under this contract except when the work is stopped or suspended by a written order signed by the Contracting Officer or by intentional interference by the Authority. 31. Notice of Labor Disputes (6-203.06, JUN 86) (a) If the Contractor has knowledge that any actual or potential labor dispute is delaying or threatens to delay the timely performance of this contract, the Contractor immediately shall give notice, including all relevant information, to the Contracting Officer.

(b) The Contractor agrees to insert the substance of this clause, including this paragraph (b), in any subcontract under which a labor dispute may delay the timely performance of this contract; except that each subcontract shall provide that in the event its timely performance is delayed or threatened by delay by any actual or potential labor dispute, the subcontractor shall immediately notify the next higher tier subcontractor or the Contractor, as the case may be, of all relevant information concerning the dispute. 32. Notice to Proceed (D-200.02A, AUG 90) The Contractor shall not proceed with any work required under this contract without a written Notice to Proceed from the Authority. Any work performed or expenses incurred by the Contractor prior to the Contractor's receipt of Notice to Proceed shall be entirely at the Contractor's risk. 33. Operations and Storage Areas (6-402.08, JUN 86) (a) The Contractor shall confine all operations (including storage of materials) on Authority premises to areas authorized or approved by the Contracting Officer. The Contractor shall hold and save the Authority, and its officers and agents, free and harmless from liability of any nature occasioned by the Contractor's performance.

(b) Temporary buildings (e.g., storage sheds, shops, offices) and utilities may be erected by the Contractor only with the approval of the Contracting Officer and shall be built with labor and materials furnished by the Contractor without expense to the Authority. The temporary buildings and utilities shall remain the property of the Contractor and shall be removed by the Contractor at its expense upon completion of the work. With the written consent of the Contracting Officer, the buildings and utilities may be abandoned and need not be removed.

(c) The Contractor shall, under regulations prescribed by the Contracting Officer, use only established roadways or use temporary roadways constructed by the Contractor when and as authorized by the Contracting Officer. When materials are transported in prosecuting the work, vehicles shall not be loaded beyond the loading capacity recommended by the manufacturer of the vehicle or prescribed by any federal, state, or local law or regulation. When it is necessary to cross curbs or sidewalks, the Contractor shall protect them from damage. The Contractor shall repair or pay for the repair of any damaged curbs, sidewalks, or roads.



34. Order of Precedence (6-402.30, JUN 86) In the event of any inconsistency between the provisions of the solicitation (including any resulting contract), the inconsistency shall be resolved by giving precedence in the following order: (a) the Schedule; (b) Special Solicitation Instructions and Conditions; (c) Solicitation Instructions and Conditions; (d) Special Provisions; (e) General Provisions; (f) other provisions of the contract whether incorporated by reference or otherwise; and (g) the specifications or statement of work. 35. Other Contracts (6-402.06, JUN 86) The Authority may undertake, or award other contracts for, additional work at or near the site of the work under this contract. The Contractor shall fully cooperate with the other contractors and with employees of the Authority and shall carefully adapt scheduling and performing the work under this contract to accommodate the additional work, heeding any direction that may be provided by the Contracting Officer. The Contractor shall not commit or permit any act that will interfere with the performance of work by any other contractor or by employees of the Authority. 36. Payment to Subcontractors (D-400.09, NOV 02) (a) Payments by Contractors to subcontractors associated with Authority contracts are subject to the time periods established in the Texas Government Code, Chapter 2251, Payment for Goods and Services.

(b) A false certification to the Authority under the provisions of the General Provisions clause entitled "Payments" may be a criminal offense in violation of 37.10 of the Texas Penal Code. 37. Payments (6-402.22, JUN 86) (a) The Authority shall pay the Contractor the contract price as provided in this contract.

(b) The Authority shall make progress payments monthly as the work proceeds, or at more frequent intervals as determined by the Contracting Officer, on estimates approved by the Contracting Officer. If requested by the Contracting Officer, the Contractor shall furnish a breakdown of the total contract price showing the amount included therein for each principal category of the work, in such detail as requested, to provide a basis for determining progress payments. In the preparation of estimates, the Contracting Officer may authorize material delivered on the site and preparatory work done to be taken into consideration. Material delivered to the Contractor at locations other than the site may also be taken into consideration if consideration is specifically authorized by this contract and the Contractor furnishes satisfactory evidence that it has acquired title to such material and that the material will be used to perform this contract.

(c) In making these progress payments, there shall be retained 10 percent of the estimated amount until final completion and acceptance of the contract work. However, if the Contracting Officer finds that satisfactory progress was achieved during any period for which a progress payment is to be made, the Contracting Officer may authorize payment to be made in full without retention of a percentage. When the work is substantially complete, the Contracting Officer shall retain an amount that the Contracting Officer considers adequate protection of the Authority and may release to the Contractor all or a portion of any excess amount. Also, on completion and acceptance of each separate building, public work, or other division of the contract for which the price is stated separately in the contract, payment may be made for the completed work without retention of a percentage.

(d) All materials and work covered by progress payments made shall, at the time of the payment, become the sole property of the Authority, but this shall not be construed as relieving the Contractor from the sole responsibility for all material and work upon which payments have been made or the restoration of any damaged work, or waiving the right of the Authority to require the fulfillment of all of the terms of the contract.

(e) The Authority shall, upon request, reimburse the Contractor for the entire amount of premiums paid for performance and payment bonds (including coinsurance and reinsurance agreements, when applicable) after the Contractor furnishes evidence of full payment to the surety. Such reimbursement shall be part of, and not in addition to, the contract price.

(f) The Authority shall pay the amount due the Contractor under this contract after: (1) completion and acceptance of all work; (2) presentation of a properly executed voucher; and (3) presentation of a release of all claims against the Authority arising by virtue of this contract, other than claims, in stated amounts, that the Contractor has specifically excepted from the operation of the release.



(g) Concurrently with the submission of each request for a progress payment under this contract, the Contractor shall certify that all due and payable bills with respect to the contract work either have been paid or will be paid with the proceeds of the current request for progress payment.

(h) The Authority may withhold all or part of any progress payment otherwise due the Contractor if any one or more of the following conditions exist: (1) the Contractor fails to prosecute the work to completion in a diligent, efficient, timely, and workmanlike manner and in strict accordance with the provisions of the contract; (2) the Contractor fails to use an adequate amount or quality of personnel or equipment to complete the work without undue delay; (3) the Contractor fails to make prompt payments to its subcontractors, suppliers, materialmen, or laborers; (4) any part of such payment to the Contractor is attributable to work which is defective or not performed in accordance with the contract requirements; provided, however, such payment shall be made as to the part thereof attributable to work which is performed in accordance with the contract requirements and is not defective; or (5) the Contractor is otherwise in default of any of its obligations under the contract. 38. Performance and Payment Bonds (D-400.01, JAN 98) (a) Performance Bond. The Contractor shall provide a Performance Bond if the contract amount exceeds $100,000.

(b) Payment Bond. The Contractor shall provide a Payment Bond if the contract amount exceeds $25,000.

(c) All required bonds shall be provided on the forms accompanying the solicitation in an amount equal to one hundred percent (100%) of the contract amount. The surety company providing the bonds must be authorized to do business in the State of Texas. The surety company shall be approved for the amount of the bonds and, either hold a certificate of authority from the U.S. Department of Treasury or have obtained reinsurance from a Treasury listed insurer, in accordance with the requirements of Article 7.19-1, Vernon's Texas Insurance Code, as amended.

(d) The Contractor shall be required to submit all required bonds within ten (10) days from the date of Notice of Award. 39. Performance of Work by the Contractor (D-400.02, DEC 92) (a) Contractor Participation. Except as otherwise provided, the Contractor shall perform no less than 25 percent (25%) of the work with his own organization. The on-site production of materials produced by other than the Contractor's forces shall be considered as being subcontracted. If, during the progress of work hereunder, the Contractor requests a reduction in such participation percentage and the Authority determines that it would be to the Authority's advantage, the percentage of the work required to be performed by the Contractor may be reduced; provided, written approval of such reduction is obtained by the Contractor from the Authority. (b) The organization of the specifications into divisions, sections, and articles, and the arrangement and titles of project drawings shall not control the Contractor in dividing the work among subcontractors or in establishing the extent of work to be performed by any trade. 40. Permits and Responsibilities (6-402.04, JUN 86) The Contractor shall, without additional expense to the Authority, be responsible for obtaining any necessary licenses and permits and for complying with any federal, state, county, and municipal laws, codes, and regulations applicable to the performance of the work, including, but not limited to, any laws or regulations requiring the use of licensed contractors to perform parts of the work. The Contractor also shall be responsible for all damages to persons or property that occur as a result of the Contractor's fault or negligence and shall take proper safety and health precautions to protect the work, the workers, the public, and the property of others. The Contractor also shall be responsible for all materials delivered and work performed until completion and acceptance of the entire work, except for any completed unit of work which may have been accepted under the contract. 41. Price Reduction for Defective Cost or Pricing Data (Modifications) (D-400.06, DEC 92) (a) This clause shall become operative only for any modification to this contract involving aggregate increases and/or decreases in costs, plus applicable profits, of more than $100,000, except that this clause does not apply to any modification for which the price is: (1) based on adequate price competition; (2) based on established catalog or market prices of commercial items sold in substantial quantities to the general public; or (3) set by law or regulation. (b) If any price (including profit) or fee negotiated in connection with any modification covered by this clause under paragraph (a), above, was increased by any significant amount because (1) the Contractor or subcontractor furnished cost or pricing data that were not complete, accurate, and current as certified in its respective Certificate of Current Cost or Pricing Data, (2) a subcontractor or prospective subcontractor furnished to the Contractor (in support of the subcontractor cost estimates) cost or pricing data that were not complete, accurate, and current as certified in the



Contractor's Certificate of Current Cost or Pricing Data, or (3) any of these parties furnished data of any description that were not accurate, the price shall be reduced accordingly and the contract shall be modified to reflect the reduction. (c) Any reduction in the contract price under paragraph (b), above, due to defective data from a prospective subcontractor that was not subsequently awarded the subcontract shall be limited to the amount, plus applicable overhead and profit markup, by which (1) the actual subcontract or (2) the actual cost to the Contractor (if there was no subcontract) was less than the prospective subcontract cost estimate submitted by the Contractor; provided, that the actual subcontract price was not itself affected by defective cost or pricing data.

(d) Before awarding any subcontract expected to exceed $100,000 when entered into, or pricing any subcontract modification involving a pricing adjustment expected to exceed $100,000, the Contractor shall require the subcontractor to submit cost or pricing data (actually or by specific identification in writing), unless the price of the subcontract or modification thereto is (1) based on adequate price competition; (2) based on established catalog or market prices of commercial items sold in substantial quantities to the general public; or (3) set by law or regulation.

(e) The Contractor shall require the subcontractor to certify in substantially the form prescribed in section 3-505 of the Authority's procurement regulations that, to the best of its knowledge and belief, the data submitted under paragraph (d), above, were accurate, complete, and current as of the date of agreement on the negotiated price of the subcontract or subcontract modification.

(f) The Contractor shall insert the substance of subparagraphs (d) and (e) and this subparagraph (f) of this clause in each subcontract that exceeds $100,000 when entered into. 42. Pricing of Adjustments (6-203.01, JUN 86) When costs are a factor in any determination of a contract price adjustment pursuant to the "Changes" clause or any other provision of this contract, such costs shall be in accordance with Chapter 7 (Cost Principles) of the Authority's Procurement Regulations in effect on the date of this contract. 43. Prompt Payment (F-129, NOV 99) The Contractor agrees to pay each subcontractor under this Contract for satisfactory performance of its contract no later than 10 (ten) calendar days from receipt of each payment the prime receives from the Authority. The Contractor agrees further to release retainage payments (if applicable) to each subcontractor within ten (10) calendar days after the subcontractor's work is satisfactorily completed and final payment has been made to the subcontractor. Any delay or postponement of payment from the above referenced time frame may occur only for good cause following written approval from the Contracting Officer. 44. Protection of Authority Property (6-203.11, JUN 86) The Contractor shall use reasonable care to avoid damaging existing buildings, equipment, and vegetation on or about premises owned by, or under the control of, the Authority. If the Contractor's failure to use reasonable care causes damage to any of this property, the Contractor shall replace or repair the damage at no expense to the Authority as the Contracting Officer directs. If the Contractor fails or refuses to make such repair or replacement, the Contractor shall be liable for the cost, which may be deducted from the contract price. 45. Protection of Existing Site Conditions (6-402.07, JUN 86) (a) The Contractor shall preserve and protect all structures, equipment, and vegetation (such as trees, shrubs, and grass) on or adjacent to the work site which are not to be removed and which do not unreasonably interfere with the work required under this contract. The Contractor shall remove trees only when specifically authorized to do so and shall avoid damaging vegetation that will remain in place. If any limbs or branches of trees are broken during contract performance, or by the careless operation of equipment, or by workmen, the Contractor shall trim those limbs or branches with a clean cut and paint the cut with a tree-pruning compound as directed by the Contracting Officer.

(b) The Contractor shall protect from damage all existing improvements and utilities (1) at or near the work site and (2) on adjacent property of a third party, the locations of which are made known to or should be known by the Contractor. The Contractor shall repair any damage to those facilities, including those that are the property of a third party, resulting from failure to comply with the requirements of this contract or failure to exercise reasonable care in performing the work. If the Contractor fails or refuses to repair the damage promptly, the Contracting Officer may have the necessary work performed and charge the cost to the Contractor. 46. Publicity Releases (6-403.18, JUN 86)



All publicity releases or releases of reports, papers, articles, maps, or other documents in any way concerning this contract or the work hereunder which the Contractor or any of its subcontractors desires to make for purposes of publication in whole or in part, shall be subject to approval by the Contracting Officer prior to release. 47. Removal of Contract Personnel (D-200.27, APR 03) (a) The Contractor and any subcontractor acknowledge that any person assigned to work under this Contract must perform their duties so as to not unduly impair contract performance. By assigning a person to work under this Contract, the Contractor agrees to be responsible for the behavior of that person during contract performance. (b) The Contractor acknowledges that the Authority has the right to require the removal of any Contractor or subcontractor employee that the Contracting Officer determines, at his sole discretion, to be negatively effecting performance of work under the contract. Examples of such behavior include: (1) conduct which poses a threat to the safety of anyone working under the contract; (2) conduct which is disruptive to contract performance; (3) careless work performance; and (4) other behavior determined by the Contracting Officer to be objectionable or unduly hindering contract performance. (c) Upon receipt of written notice from the Contracting Officer that a person’s behavior is unduly impairing contract performance, the Contractor agrees to remove that person from doing any further work on the contract, and to cause that person to be removed from the worksite. The Contractor agrees that it is not entitled to any additional costs it may incur as a result of the removal of the person named by the Contracting Officer. 48. Royalties and Patents (6-402.23, JUN 86) The Contractor shall pay all royalties and license fees. The Contractor shall defend all suits or claims for infringement of any patent rights and shall save the Authority harmless from loss on account thereof, except when a particular design, process, or product of a particular manufacturer is specified by the Authority; provided, that, if the Contractor has reason to believe that the design, process, or product specified infringes a patent, the Contractor shall be responsible for such loss unless it promptly gives such information to the Contracting Officer. 49. Seasonal Weather Conditions (D-400.08, JUN 07) Seasonal weather conditions shall be considered and included in the planning and scheduling of all work influenced by high and low ambient temperatures, precipitation and/or saturated soil to ensure completion of all work within the contract time. Contract time extensions for abnormal weather will be granted only to the extent that the actual time lost during a particular month exceeds the average lost time as specified elsewhere in Exhibit D. Time extensions granted for abnormal weather are not compensable. 50. Severability (D-400.11, DEC 92) If any provision of this contract, or the application thereof to any person or circumstances is rendered or declared illegal for any reason or shall be invalid or unenforceable, the remainder of this contract and the application of such provision to other persons or circumstances shall not be affected thereby but shall be enforced to the greatest extent permitted by applicable law. The parties agree to negotiate in good faith for a proper amendment to this contract in the event any provision hereof is declared illegal, invalid, or unenforceable. 51. Site Investigation and Conditions Affecting the Work (6-402.02, JUN 86) (a) The Contractor acknowledges that it has taken steps reasonably necessary to ascertain the nature and location of the work and that it has investigated and satisfied itself as to the general and local conditions which can affect the work or its cost, including, but not limited to, (1) conditions bearing upon transportation, disposal, handling, and storage of materials; (2) the availability of labor, water, electric power, and roads; (3) uncertainties of weather, flooding patterns and water drainage, or similar physical conditions at the site; (4) the conformation and conditions of the ground; and (5) the character of equipment and facilities needed preliminary to and during work performance. The Contractor acknowledges that its undertaking to complete the contract within the contract schedule includes an allowance for the normal number of days in which contract work may be partially or totally delayed because of weather during the season and at the location the contract will be performed and that the Contractor shall not be entitled to excusable delays or compensation for such delays. The Contractor also acknowledges that it has satisfied itself as to the character, quality, and quantity of surface and subsurface materials or obstacles to be encountered insofar as this information is reasonably ascertainable from an inspection of the site, access to the site, and territory surrounding the site, including all exploratory work done by the Authority as well as from the drawings and specifications made a part of this contract. Any failure of the Contractor to take the actions described and acknowledged in this paragraph will not



relieve the Contractor from responsibility for estimating properly the difficulty and cost of successfully performing the work or for proceeding to perform the work successfully without additional expense to the Authority. (b) The Authority assumes no responsibility for any conclusions or interpretations made by the Contractor based on the information made available by the Authority. Nor does the Authority assume responsibility for any understanding reached or representation made concerning conditions which can affect the work by any of its officers or agents before the execution of this contract, unless that understanding or representation is expressly stated in this contract. 52. Specifications and Drawings (6-402.05, JUN 86) (a) The Contractor shall keep on the work site a copy of the drawings and specifications and shall at all times give the Contracting Officer access thereto. Anything mentioned in the specifications and not shown on the drawings, or shown on the drawings and not mentioned in the specifications, shall be of like effect as if shown or mentioned in both. In case of difference between drawings and specifications, the specifications shall govern. In case of a discrepancy in the figures, in the drawings, or in the specifications, the matter shall be promptly submitted to the Contracting Officer, who shall promptly make a determination in writing. Any action or adjustment by the Contractor without such a determination shall be at its own risk and expense. The Contracting Officer shall furnish from time to time such detailed drawings and other information as considered necessary, unless otherwise provided. (b) Wherever in the specifications or upon the drawings the words "directed", "required", "ordered", "designated", "prescribed", or words of like import are used, it shall be understood that the "direction", "requirement", "order", " designation", or "prescription", of the Contracting Officer is intended; and similarly the words "approved", "acceptable", "satisfactory", or words of like import shall mean "approved by", or "acceptable to", or "satisfactory to" the Contracting Officer, unless otherwise expressly stated. (c) Where "as shown", "as indicated", "as detailed", or words of similar import are used, it shall be understood that the reference is made to the drawings accompanying this contract unless stated otherwise. The word "provided" as used herein shall be understood to mean "provide complete in place" (that is, "furnished and installed"). (d) Shop drawings means drawings submitted to the Authority by the Contractor, subcontractor, or any lower tier subcontractor pursuant to a construction contract, showing in detail (1) the proposed fabrication and assembly of structural elements and (2) the installation (i.e., form, fit, and attachment details) of materials or equipment. It includes drawings, diagrams, layouts, schematics, descriptive literature, illustrations, schedules, performance and test data, and similar materials furnished by the Contractor to explain in detail specific portions of the work required by the contract. The Authority may duplicate, use, and disclose in any manner and for any purpose shop drawings delivered under this contract. (e) If this contract requires shop drawings, the Contractor shall coordinate all such drawings and review them for accuracy, completeness, and compliance with contract requirements and shall indicate its approval thereon as evidence of such coordination and review. Shop drawings submitted to the Contracting Officer without evidence of the Contractor's approval may be returned for resubmission. The Contracting Officer will indicate an approval or disapproval of the shop drawings and, if not approved as submitted, shall indicate the Authority's reasons therefor. Any work done before such approval shall be at the Contractor's risk. Approval by the Contracting Officer shall not relieve the Contractor from responsibility for any errors or omissions in such drawings or from responsibility for complying with the requirements of this contract, except with respect to variations described and approved in accordance with (f) below. (f) If shop drawings show variations from the contract requirements, the Contractor shall describe such variations in writing, separate from the drawings, at the time of submission. If the Contracting Officer approves any such variation, the Contracting Officer shall issue an appropriate contract modification, except that, if the variation is minor or does not involve a change in price or in time of performance, a modification need not be issued. (g) The Contractor shall submit to the Contracting Office for approval four copies (unless otherwise indicated) of all shop drawings as called for under the various headings of the specifications. Three sets (unless otherwise indicated) of all shop drawings will be retained by the Contracting Officer, and one set will be returned to the Contractor. (h) This clause shall be included in all subcontracts at any tier. 53. Subcontractors (D-400.12, DEC 92) (a) In addition to any other requirements under this contract for the submission of any subcontract agreement, the Contractor shall provide to the Contracting Officer one (1) copy of all executed subcontracts associated with this contract, including any changes or modifications to subcontracts, within three (3) days of their execution.



(b) No subcontractor shall be permitted to perform work associated with the subcontract until the subcontractor (or the Contractor on the subcontractor's behalf) is in compliance with the insurance requirements specified elsewhere in this contract, and has furnished satisfactory evidence of insurance to the Authority. 54. Superintendence by Contractor (6-402.09, JUN 86) At all times during performance of this contract and until the work is completed and accepted, the Contractor shall directly superintend the work or assign and have on the work a competent superintendent who is satisfactory to the Contracting Officer and has authority to act for the Contractor. 55. Suspension of Work (6-302.12, JUN 86) (a) The Contracting Officer may order the Contractor in writing to suspend all or any part of the work for such period of time as he may determine to be appropriate for the convenience of the Authority. (b) If the performance of all or any part of the work is, for an unreasonable period of time, suspended or delayed by an act of the Contracting Officer in the administration of this contract, or by his failure to act within the time specified in this contract (or, if no time is specified, within a reasonable time), an adjustment shall be made for any increase in cost of performance of this contract (excluding profit) necessarily caused by such unreasonable suspension or delay, and the contract modified in writing accordingly. However, no adjustment shall be made under this clause for any suspension or delay to the extent (1) that performance would have been suspended or delayed by any other cause, including the fault or negligence of the Contractor, or (2) for which an equitable adjustment is provided for or excluded under any other provision of this contract. (c) No claim under this clause shall be allowed (1) for any costs incurred more than 20 days before the Contractor shall have notified the Contracting Officer in writing of the act or failure to act involved (but this requirement shall not apply to a claim resulting from a suspension order), and (2) unless the claim, in an amount stated, is asserted in writing as soon as practicable after the termination of such suspension or delay, but not later than the date of final payment. No part of any claim based on the provisions of this clause shall be allowed if not supported by adequate evidence showing that the cost would not have been incurred but for a delay within the provisions of this clause. 56. Termination for Convenience (6-402.17, JUL 91) The Contracting Officer may, whenever the interests of the Authority so require, terminate this contract, in whole or in part, for the convenience of the Authority. The Contracting Officer shall give written notice of the termination to the Contractor specifying the part of the contract terminated and when termination becomes effective. (a) The Contractor shall incur no further obligations in connection with the terminated work, and, on the date set in the notice of termination, the Contractor will stop work to the extent specified. The Contractor shall also terminate outstanding orders and subcontracts as they relate to the terminated work. The Contractor shall settle the liabilities and claims arising out of the termination of subcontracts and orders connected with the terminated work. The Contracting Officer may direct the Contractor to assign the Contractor's right, title, and interest under terminated orders or subcontracts to the Authority. The Contractor must still complete the work not terminated by the notice of termination and may incur obligations as are necessary to do so. (b) The Contracting Officer may require the Contractor to transfer title and deliver to the Authority in the manner and to the extent directed by the Contracting Officer: (i) the fabricated or unfabricated parts, work in process, completed work, supplies, and other material produced or acquired for the work terminated; and (ii) the completed or partially completed plans, drawings, information, and other property that, if the contract had been completed, would be required to be furnished to the Authority. The Contractor shall, upon direction of the Contracting Officer, protect and preserve property in the possession of the Contractor in which the Authority has an interest. If the Contracting Officer does not exercise this right, the Contractor shall use its best efforts to sell such supplies and manufacturing materials. (c) The Authority shall pay the Contractor the following amounts: (1) For contract work performed before the effective date of termination, the total (without duplication of any

items) of -- (i) the cost of this work;

(ii) the cost of settling and paying termination settlement proposals under terminated subcontracts that are properly chargeable to the terminated portion of the contract if not included in subparagraph (i), above; and



(iii) a sum, as profit on (i), above, determined by the Contracting Officer to be fair and reasonable; however, if it appears that the Contractor would have sustained a loss on the entire contract had it been completed, the Contracting Officer shall allow no profit under this subparagraph (iii) and shall reduce the settlement to reflect the indicated rate of loss.

(2) The reasonable costs of settlement of the work terminated, including -- (i) accounting, legal, clerical, and other expenses reasonably necessary for the preparation of termination

settlement proposals and supporting data;

(ii) the termination and settlement of subcontracts (excluding the amounts of such settlements); and

(iii) storage, transportation, and other costs incurred, reasonably necessary for the preservation, protection, or disposition of the termination inventory.

(3) The total sum to be paid the Contractor under this subparagraph shall not exceed the total contract price plus the reasonable settlement costs of the Contractor reduced by the amount of payments otherwise made, the proceeds of any sales of construction, supplies, and construction materials under this subparagraph, and the contract price of work not terminated. 57. Time Extensions (6-403.11, JUN 86) Notwithstanding any other provisions of this contract, the time extensions for changes in the work will depend upon the extent, if any, by which the changes cause delay in the completion of the various elements of construction. The contract modification granting the time extension may provide that the contract completion date will be extended only for those specific elements so delayed and that the remaining contract completion dates for all other portions of the work will not be altered and may further provide for an equitable readjustment of liquidated damages under the new completion schedule. 58. Title to Submittals (6-403.06, JUN 86) All information, drawings, or other submittals required to be furnished by the Contractor to the Authority under this contract shall become the property of the Authority. 59. Use and Possession Prior to Completion (6-402.13, JUN 86) (a) The Authority shall have the right to take possession of or use any completed or partially completed part of the work. Before taking possession of or using any work, the Contracting Officer shall furnish the Contractor a list of items of work remaining to be performed or corrected on those portions of the work that the Authority intends to take possession of or use. However, failure of the Contracting Officer to list any item of work shall not relieve the Contractor of responsibility for complying with the terms of the contract. The Authority's possession or use shall not be deemed an acceptance of any work under the contract. (b) While the Authority has such possession or use, the Contractor shall be relieved of the responsibility for the loss of or damage to the work resulting from the Authority's possession or use, notwithstanding the terms of the "Permits and Responsibilities" clause of this contract. If prior possession or use by the Authority delays the progress of the work or causes additional expense to the Contractor, an equitable adjustment shall be made in the contract price or the time of completion, and the contract shall be modified in writing accordingly. 60. Value Engineering (D-400.10, DEC 92) (a) General. The Contractor is encouraged to develop, prepare, and submit value engineering change proposals (VECP's) voluntarily. The Contractor shall share in any instant contract savings realized from accepted VECP's, in accordance with paragraph (f) below: (b) Definitions. (1) "Collateral costs," as used in this clause, means Authority costs of operation, maintenance, logistic support,

or Authority-furnished property.

(2) "Collateral savings," as used in this clause means those measurable net reductions resulting from a VECP in the Authority's overall projected collateral costs, exclusive of acquisition savings, whether or not the acquisition cost changes.



(3) "Contractor's development and implementation cost," as used in this clause, means those costs the Contractor incurs on a VECP specifically in developing, testing, preparing, and submitting the VECP, as well as those costs the Contractor incurs to make the contractual changes required by the Authority's acceptance of a VECP.

(4) "Authority costs," as used in this clause, means those Authority costs that result directly from any net increases in the cost of testing, operations, maintenance, and logistic support. The term does not include the normal administrative costs of processing the VECP.

(5) "Instant contract savings," as used in this clause, means the estimated reduction in Contractor cost of performance resulting from acceptance of the VECP, minus allowable Contractor's development and implementation costs, including subcontractors' development and implementation costs (see paragraph (h) below).

(6) "Value engineering change proposal (VECP)" means a proposal that; (a) Requires a change to this, the instant contract, to implement; and (b) Results in reducing the contract price or estimated cost without impairing essential functions or characteristics; provided, that it does not involve a change; (i) In deliverable end item quantities only; or (ii) To the contract type only.

(c) VECP Participation. As a minimum, the Contractor shall include in each VECP the information in subparagraphs (1) through (7) below. If the proposed change is affected by contractually required configuration management or similar procedures the instructions in those procedures relating to format, identification, and priority assignment shall govern VECP preparation. The VECP shall include the following: (1) A description of the difference between the existing contract requirement and that proposed, the

comparative advantages and disadvantages of each, a justification when an item's function or characteristics are being altered, and the effect of the change on the end item's performance.

(2) A list and analysis of the contract requirements that must be changed if the VECP is accepted, including any suggested specification revisions.

(3) A separate, detailed cost estimate for: (a) the affected portions of the existing contract requirement and the VECP; (b) the cost reduction associated with the VECP shall take into account the Contractor's allowable development and implementation costs, including any amount attributable to subcontracts under paragraph (h) below.

(4) A description and estimate of costs the Authority may incur in implementing the VECP, such as test and evaluation and operating and supports costs.

(5) A prediction of any effects the proposed change would have on collateral costs to the Authority.

(6) A statement of the time by which a contract modification accepting the VECP must be issued in order to achieve the maximum cost reduction, noting any effect on the contract completion time or delivery schedule.

(7) Identification of any previous submissions of the VECP, including the dates submitted, the agencies and contract numbers involved, and previous Authority actions, if known.

(d) Submission. The Contractor shall submit VECP's to the Resident Construction Manager at the worksite, with a copy to the Contracting Officer. (e) Authority Action. (1) The Contracting Officer shall notify the Contractor of the status of the VECP within 45 calendar days after the

Contracting Officer receives it. If additional time is required, the Contracting Officer shall notify the Contractor within the 45-day period and provide the reason for the delay and the expected date of the decision. The Authority will process VECP's expeditiously; however, it shall not be liable for any delay in acting upon a VECP.

(2) If the VECP is not accepted, the Contracting Officer shall notify the Contractor in writing, explaining the reasons for rejection. The Contractor may withdraw any VECP, in whole or in part, at any time before it is accepted by the Authority. The Contracting Officer may require that the Contractor provide written notification before undertaking significant expenditures for VECP effort.

(3) Any VECP may be accepted, in whole or in part, by the Contracting Officer's issuance of a modification to this contract citing this clause. The Contracting Officer may accept the VECP, even though an agreement on price reduction has not been reached, by issuing the Contractor a notice to proceed with the change. Until a notice to proceed is issued or a contract modification applies a VECP to this contract, the Contractor shall



perform in accordance with the existing contract. The Contracting Officer's decision to accept or reject all or part of any VECP shall be final and not subject to the Disputes clause or otherwise subject to litigation.

(f) Sharing. (1) (Rates) The Authority's share of savings is determined by subtracting Authority costs from instant contract

savings and multiplying the results by (a) 45 percent for fixed-price contracts or, (b) 75 percent for cost-reimbursement contracts.

(2) (Payment) Payment of any share due the Contractor for use of a VECP on this contract shall be authorized by a modification to this contract to (a) Accept the VECP; (b) Reduce the contract price or estimated cost by the amount of instant contract savings; and (c) Provide the Contractor's share of savings by adding the amount calculated to the contract price or fee.

(g) Collateral savings. If a VECP is accepted, the instant contract amount shall be increased by 20 percent of any projected collateral savings determined to be realized in a typical year of use after subtracting any Authority costs not previously offset. However, the Contractor's share of collateral savings shall not exceed: (1) the contract's firm-fixed-price or estimated cost, at the time the VECP is accepted, or; (2) $100,000, whichever is greater. The Contracting Officer shall be the sole determiner of the amount of collateral savings, and that amount shall not be subject to the Disputes clause or otherwise subject to litigation. (h) Subcontracts. The Contractor shall include an appropriate value engineering clause in any subcontract of $50,000 or more and may include one in subcontracts of lesser value. In computing any adjustments in this contract's price under paragraph (f) above, the Contractor's allowable development and implementation costs shall include any subcontractor's allowable development and implementation costs clearly resulting from a VECP engineering incentive payments; provided, that these payments shall not reduce the Authority's share of the savings resulting from the VECP. (i) Data. (1) The Contractor may restrict the Authority's right to use any part of a VECP or the supporting data by marking

the following legend on the affected part: "These data, furnished under the Value Engineering-Construction clause of contract shall not be disclosed

outside the Authority or duplicated, used, or disclosed, in whole or in part for any purpose other than to evaluate a value engineering change proposal submitted under the clause. This restriction does not limit the Authority's right to use information contained in these data if it has been obtained or is otherwise available from the Contractor or from another source without limitations."

(2) If a VECP is accepted, the Contractor hereby grants the Authority unlimited rights in the VECP and

supporting data, except that, with respect to data qualifying and submitted as limited rights technical data, the Authority shall have the rights specified in the contract modification implementing the VECP and shall appropriately mark the data.

61. Variation in Estimated Quantity (6-402.10, JUN 86) If the quantity of a unit-priced item in this contract is an estimated quantity and the actual quantity of the unit-priced item varies more than 15 percent above or below the estimated quantity, an equitable adjustment in the contract price shall be made upon demand of either party. The equitable adjustment shall be based upon any increase or decrease in costs due solely to the variation above 115 percent or below 85 percent of the estimated quantity. If the quantity variation is such as to cause an increase in the time necessary for completion, the Contractor may request (in writing) an extension of time to be received by the Contracting Officer within 10 days from the beginning of the delay, or within such further period as may be granted by the Contracting Officer before the date of final settlement of the contract. Upon the receipt of a written request for an extension, the Contracting Officer shall ascertain the facts and make an adjustment for extending the completion date as, in the judgment of the Contracting Officer, is justified. 62. Warranty of Construction (6-402.15, JUN 86) (a) In addition to any other warranties in this contract, the Contractor warrants, except as provided in paragraph (j) of this clause, that work performed under this contract conforms to the contract requirements and is free of any defect in equipment, material, or design furnished, or workmanship performed, by the Contractor or any subcontractor or supplier at any tier.



(b) This warranty shall continue for a period of one year from the date of final acceptance of the work. If the Authority takes possession of any part of the work before final acceptance, this warranty for such part of the work shall continue for a period of one year from the date the Authority takes possession. (c) The Contractor shall remedy at the Contractor's expense (i) any failure to conform to the contract requirements or (ii) any defect. In addition, the Contractor shall remedy at the Contractor's expense any damage to real or personal property owned or controlled by the Authority, when the damage is the result of: (1) the Contractor's failure to conform to contract requirements; or (2) any defect of equipment, material, workmanship, or design furnished. (d) The Contractor shall restore any work damaged in fulfilling the terms and conditions of this clause. The Contractor's warranty with respect to work repaired or replaced will run for one year from the date of repair or replacement. (e) The Contracting Officer shall notify the Contractor, in writing, within a reasonable time after the discovery of any failure, defect, or damage. (f) If the Contractor fails to remedy any failure, defect, or damage within a reasonable time after receipt of notice, the Authority shall have the right to replace, remove, or otherwise remedy the failure, defect, or damage at the Contractor's expense. (g) With respect to all warranties, express or implied, from subcontractors, manufacturers, or suppliers for work performed and materials furnished under this contract, the Contractor shall: (1) obtain all warranties that would be given in normal commercial practice; (2) require all warranties to be executed, in writing, for the benefit of the Authority, if directed by the Contracting Officer; and (3) enforce all warranties for the benefit of the Authority, if directed by the Contracting Officer. (h) In the event the Contractor's warranty under paragraph (b) of this clause has expired, the Authority may bring suit at its expense to enforce a subcontractor's, manufacturer's, or supplier's warranty. (i) Unless a defect is caused by the negligence of the Contractor or subcontractor or supplier at any tier, the Contractor shall not be liable for the repair of any defects of material or design furnished by the Authority or for the repair of any damage that results from any defect in material or designs furnished by the Authority. (j) This warranty shall not limit the Authority's rights under the "Inspection of Construction" clause of this contract with respect to latent defects, gross mistakes, or fraud. 63. Wage Rates (6-402.28, FEB 96) All persons employed in the performance of the work under this contract, or any subcontracts hereunder, shall be paid not less than the general rates of per diem, holiday, and overtime wages prevailing in the locality for work of a similar character (which wages are specified in an attachment to this contract). Failure to comply with this provision shall subject the Contractor to the penalties prescribed in the Texas Government Code, Chapter 2258, Prevailing Wage Rates, as amended.

B-1020513


EXHIBIT G

DISADVANTAGED BUSINESS ENTERPRISE PROVISIONS


Form 33.212 (09/04) Page 1 of 8 Exhibit G

For assistance in identifying subcontracting opportunities or with questions concerning the provisions in this Exhibit ONLY, contact Gabriel Beltran at (214) 749-3542 in the Diversity and Economic Opportunity Department.


EXHIBIT G DISADVANTAGED BUSINESS ENTERPRISE PROVISIONS

(FEDERALLY ASSISTED CONTRACT) TABLE OF CONTENTS

1. Definitions and Interpretations (M-101, NOV 99) ................................................................................................ ....... 1 2. Banks and Financial Institutions (M-109, JUL 01) ................................................................................................ ..... 2 3. Certification of DBEs (M-106, JUN 03) ................................................................................................ ...................... 2 4. Credit Toward Goals (M-104, NOV 99)................................................................................................ ...................... 2 5. DBE Modifications or Substitutions (M-107, JUL 01)................................................................................................ . 2 6. Demonstration of Good Faith Effort (M-105, NOV 99)................................................................ ............................... 3 7. Offeror's DBE Obligation (M-102, NOV 99) ................................................................................................ ............... 4 8. Payment Documentation (M-108, MAY 04) ................................................................................................ ............... 5 9. Sanctions for Noncompliance with the Authority's DBE Program Provisions (M-110, NOV 99) ............................... 5

10. Submission of DBE Utilization Forms and Related Documentation (M-103, NOV 99) ................................ ............. 5 INTENT TO PERFORM AS A SUBCONTRACTOR ................................................................................................ ......... 6 VENDOR PAYMENT REPORT ................................................................................................................................ ......... 8 1. Definitions and Interpretations (M-101, NOV 99) The Authority will utilize the following definitions to identify Disadvantaged Business Enterprise (DBE) Program eligibility standards. The following definitions and any other definitions related to the DBE program have the same meaning as defined in 49 CFR Part 26. (a) "Disadvantaged Business Enterprise" or "DBE" means a for profit small business concern: (1) which is at least 51 percent owned by one or more socially or economically disadvantaged individuals, or in the case of a corporation in which 51 percent of the stock is owned by one or more such individuals; and (2) whose management and daily business operation are controlled by one or more of the socially and economically disadvantaged individuals who own it. (b) "Small Business Concern" means, with respect to firms seeking to participate as DBEs in DOT-assisted contracts, a small business as defined pursuant to Section 3 of the Small Business Act and Small Business Administration regulations implementing it (13 CFR Part 121) that also does not exceed the cap on average annual gross receipts specified in section 26.65(b). (c) "Socially and Economically Disadvantaged Individual" means any individual who is a citizen (or lawfully admitted permanent resident) of the United States and includes any individual in the following groups, members of which are rebuttably presumed to be socially and economically disadvantaged: (1) "Black Americans," which includes persons having origins in any of the Black racial groups of Africa; (2) "Hispanic Americans," which includes persons of Mexican, Puerto Rican, Cuban, Dominican, Central or

South American, or other Spanish or Portuguese cultures or origin, regardless of race; (3) "Native Americans," which includes persons who are American Indians, Eskimos, Aleuts, or Native

Hawaiians; (4) "Asian-Pacific Americans," which includes persons whose origins are from Japan, China, Taiwan, Korea,

Burma (Myanmar), Vietnam, Laos, Cambodia (Kampuchea), Thailand, Malaysia, Indonesia, the Philippines, Brunei, Samoa, Guam, the U.S. Trust Territories of the Pacific Islands, Republic of Palau, the Commonwealth of the Northern Marianas Islands, Macao, Fiji, Tonga, Kiribati, Tuvalu, Nauru, Federated States of Micronesia, or Hong Kong;



(5) "Subcontinent Asian Americans," which includes persons whose origins are from India, Pakistan, Bangladesh, Bhutan, the Maldives Islands, Nepal, or Sri Lanka;

(6) Women; (7) "Tribally-owned concern" means any concern at least 51 percent owned by an Indian tribe; (8) "Any individual groups whose members are designated as socially and economically disadvantaged by the

Small Business Administration (SBA) at such times as the SBA designation becomes effective; and (9) Any individual who the Authority finds to be socially and economically disadvantaged on a case-by-case

basis. (d) "DOT" means the U.S. Department of Transportation including the Federal Transit Administration (FTA). (e) "Good Faith Efforts" means efforts to achieve a DBE goal or other requirement that, by their scope, intensity and appropriateness to the objective, can reasonably be expected to fulfill the DBE program requirement. 2. Banks and Financial Institutions (M-109, JUL 01) The Contractor is encouraged to utilize the services of disadvantaged, minority and woman-owned banks and financial institutions. The identity of such banks is available, upon request, from the Authority's DEO Department. 3. Certification of DBEs (M-106, JUN 03) (a) All prospective DBEs must submit the certification application and the appropriate forms to the North Central Texas Regional Certification Agency (NCTRCA). Application forms may be obtained from the Authority's DEO Department or the NCTRCA at www.nctrca.org. All such firms shall cooperate in supplying additional information as requested by the NCTRCA or the Authority's DEO Department. NCTRCA is a regional certification agency that was created to perform centralized certification services for DBEs in the Dallas/Fort Worth area. The Authority will rely upon the certification of the NCTRCA to determine the eligibility of the DBE firms. With the advent of the Texas Unified Certification Program (TUCP), the NCTRCA will also accept DBE certifications from other DBE certification agencies within the State (South Central Texas Regional Certification Agency, TX DOT, City of Austin, Corpus Christi Regional Transportation Authority and the City of Houston). However, the Authority's DEO Department reserves the right to certify eligible DBEs. (b) The DBE firm should be prepared to provide, upon request, appropriate documentation, e.g., tribal roll, birth certificates, visa, passport, etc., necessary to clearly support its claim of "disadvantaged" status. (c) The eligibility of a DBE certified joint venture will be determined on a project-by-project basis by the Authority's DEO Department. Appropriate forms to apply for DBE certification are available from the Authority's DEO Department or the NCTRCA. (d) Information concerning DBEs currently certified through the local centralized DBE Certification Program may be obtained from the Authority's DEO Department. Notwithstanding other DBE certification or registration, firms identified to participate as DBEs on Authority contracts are subject to the certification review process. Offerors are reminded that only certified DBEs may participate in Authority contracts in such capacities. If Offerors propose using a DBE not currently certified, it is strongly urged that the Authority's DEO Department be contacted well in advance of the date set for receipt of offers in order to enable review of the proposed DBE's eligibility. 4. Credit Toward Goals (M-104, NOV 99) The Authority will count DBE participation toward the overall and contract goals as provided in 49 CFR 26.55. 5. DBE Modifications or Substitutions (M-107, JUL 01) This Provision applies to all modifications and substitutions under this Contract. The Contractor will be required to comply with this Provision to the extent needed to achieve the DBE goals agreed to at the time of contract award. (a) If a prime contractor wishes to terminate or substitute a DBE subcontractor listed as fulfilling its contract goal, and then performs the work of the terminated DBE subcontractor with its own forces, an affiliate, a non-DBE subcontractor



or with another DBE subcontractor, it must submit written documentation prior to the termination or substitution of the DBE subcontractor to the Contracting Officer. This will include any changes to items of work, material, services, or DBE firms that differ from those identified on the Intent to Perform As A Subcontractor form(s) on file with the Contracting Officer. The Offeror/Contractor must provide any and all documentation and information as may be requested with respect to the requested change. (b) The Offeror's/Contractor’s documentation shall include the specific reasons for the proposed change. Specific reasons that are acceptable include, but are not limited to: the DBE was not able to perform; the DBE was unable to produce acceptable work; and/or the DBE has submitted an unreasonable escalation in price. In the case of a DBE subcontractor being substituted by another DBE subcontractor, the Contractor should include the name, address, certification number and principal office of the proposed DBE firm. After providing an opportunity to the DEO Department to make a recommendation, the Contracting Officer will approve or disapprove the change. (c) If the change involves a subcontractor substitution, the Offeror/Contractor must make good faith effort to replace one DBE with another DBE. The substitute DBE firm must be certified by the NCTRCA or the DEO Department in order for the Offeror/Contractor to receive credit toward fulfilling its DBE participation goal for the contract. In the event that the Offeror/Contractor is unable to contract with another DBE firm, good faith effort documentation must be provided to the Contracting Officer describing the unsuccessful attempts to locate a substitute DBE. In all situations, the Contractor may not terminate or substitute a DBE subcontractor without the prior written consent of the Contracting Officer. (d) The Offeror/Contractor must submit a new Intent to Perform as a Subcontractor form for the substitute DBE firm(s) with the request for change, to verify that the new DBE firm(s) is certified by NCTRCA or the DEO Department. The Contracting Officer shall notify the Offeror/Contractor in writing of his decision as expeditiously as possible. If the contract has been awarded and the Contracting Officer approves the proposed substitution in writing, the Contractor shall provide a copy of the executed subcontract agreement with the proposed DBE firm to the Contracting Officer within ten (10) business days of its receipt of the substitution approval. (e) If the change involves a modification, the Contractor must submit, if applicable, the Intent to Perform as a Subcontractor form specified for contract modifications for any DBE subcontractor affected by this change. This form may be obtained from the Contracting Officer. (f) If the Contractor does not comply with this Provision, the Authority may elect to apply contract remedies as defined in 49 CFR Part 26, or other contract remedies, as appropriate. Additionally, the Contracting Officer may order that the profits from the terminated portion of the DBE subcontract be forfeited by the Contractor. 6. Demonstration of Good Faith Effort (M-105, NOV 99) (a) If an Offeror does not meet the DBE goal, it shall nevertheless be eligible for award of the contract if it can demonstrate to the Contracting Officer that it has made a good faith effort to meet the DBE goal. This good faith efforts documentation should be submitted when the initial response to the Authority's solicitation is due. All contractors, including DBE prime contractors, are required to submit good faith efforts documentation, if necessary. In evaluating an Offeror's good faith effort submission, the Authority will only consider those documented efforts that occurred prior to the good faith efforts determination. (b) In the event that a firm submitted by an Offeror in accordance with the requirements of the Submission of DBE Utilization Forms and Related Documentation (M-103, NOV 99) provision cannot be certified, the Offeror will be notified and given an opportunity to substitute that firm with a certified DBE firm. The Offeror will have ten (10) calendar days from the date of notification to accomplish the substitution. In the event the Offeror is unable to contract with another substitute DBE firm, the good faith efforts that the Offeror made in attempting to contract with a substitute DBE firm must be documented to the Contracting Officer at the end of the same ten (10) calendar day period. (c) In making a determination that the Offeror has made a good faith effort to meet the DBE goal, the Offeror shall furnish to the Authority, as part of its DBE utilization information provided under the Submission of DBE Utilization Forms and Related Documentation (M-103, NOV 99) provision, such specific documentation concerning the steps it has taken to obtain DBE participation. By way of illustration and not limitation, the Authority will consider the following information: (1) Whether the Offeror attended any pre-bid or pre-proposal meetings scheduled by the Authority to discuss,

among other matters, DBE participation opportunities and acknowledged receipt of DBE certified vendor lists;



(2) Whether the Offeror advertised in general circulation, trade association, and/or minority/women-focus media concerning subcontracting opportunities;

(3) Whether the Offeror provided written notice to a reasonable number of DBEs that their interest in the

contract was being solicited in sufficient time to allow DBEs to participate effectively; (4) Whether the Offeror followed up initial solicitations of interest by contacting DBEs to determine with certainty

whether the DBEs were interested; (5) Whether the Offeror selected portions of the work to be performed by DBEs in order to increase the

likelihood of meeting the DBE goals (including, where appropriate, breaking down the contract into economically feasible subcontracts to facilitate DBE participation);

(6) Whether the Offeror provided interested DBEs with adequate information about the plans, specifications,

scope of work and requirements of the contract; (7) Whether the Offeror negotiated in good faith with interested DBEs regarding their capabilities, not rejecting

DBEs as unqualified without sound reasons based on a thorough investigation; (8) Whether the Offeror negotiated in good faith with interested DBEs regarding price, using good business

judgment and not rejecting reasonable quotes from interested DBE firms; (9) Whether the Offeror made efforts to assist interested DBEs in obtaining bonding, lines of credit, insurance,

etc., as required by the Authority or the Offeror; (10) Whether the Offeror made efforts to assist interested DBEs in obtaining necessary equipment, supplies,

materials, or related assistance or services; (11) Whether the Offeror effectively used the services of available minority and women community organizations;

contractor groups; local, State, and Federal business assistance offices; and other organizations that provide assistance in the identification of DBEs;

(12) Whether the Offeror obtained written documentation from the Authority Surety Support Program Consultant

or a bona fide surety company indicating that bonding was denied and for what reason(s), prior to the DBE being rejected as a potential subcontractor for failing to obtain Offeror-required bonding. Documentation furnished by a surety company will be subject to verification by the Authority; and

(13) Whether other Offerors have attained a sufficient level of DBE participation to meet the contract goals. (d) The Authority will look not only at the different kinds of efforts that the Offeror has made, but also the quantity and intensity of those efforts. Efforts that are merely pro forma are not good faith efforts to meet the goal (even if they are sincerely motivated) if, given all relevant circumstances, the Offeror's efforts could not reasonably be expected to produce a level of DBE participation sufficient to meet the goal. (e) Offerors are reminded that the issue of whether or not the Offeror has met or exceeded the established goal and/or demonstrated good faith efforts is considered a matter of the Offeror's responsibility. The Authority will only award contracts to Offerors determined to be responsible. The Contracting Officer, after affording the Authority's DEO Department an opportunity to make a recommendation, shall be responsible for determining the sufficiency of an Offeror's good faith effort to meet contract goals. (f) An Offeror that the Contracting Officer determines is not responsible may request administrative review and reconsideration under the Authority's Procurement Regulations. As part of any reconsideration, if requested, the Offeror may elect to meet in person with the Reconsideration Official (President/Executive Director of the Authority) to discuss credit toward meeting the DBE goal or whether the Offeror made adequate good faith efforts. 7. Offeror's DBE Obligation (M-102, NOV 99) The Offeror's DBE Obligation is outlined in an Exhibit C provision entitled Disadvantaged Business Enterprise (DBE) Participation, and the provision entitled Non-Discrimination Assurance found in Exhibit E of this Contract.



8. Payment Documentation (M-108, MAY 04) Concurrently with the submission of each invoice or request for a progress payment under this contract, the Contractor shall provide a breakdown of the amounts paid to DBEs identified by the Contractor to participate in this contract. The breakdown shall be provided on the DEO Vendor Payment Report form which is available at http://www.dart.org/deo.asp?, or a photocopy of the attached Vendor Payment Report. As provided elsewhere in this Contract, the Authority may withhold all or part of any payment otherwise due the Contractor if the Contractor fails to submit the Vendor Payment Report form and/or make prompt payments to its subcontractors, suppliers, materialmen or laborers. 9. Sanctions for Noncompliance with the Authority's DBE Program Provisions (M-110, NOV 99) Failure of the Contractor to carry out the Authority's DBE program provisions shall constitute a breach of contract and may result in termination of the Contractor for default or such remedy as the Authority may deem appropriate. The Authority reserves the right to apply legal and contract remedies available under Federal, state and local law, including but not limited to, responsibility determinations in future contracts, suspension and debarment procedures as outlined in 49 CFR Part 29, and forfeiture of profits as provided for elsewhere. The Authority will bring to the attention of the Department of Transportation any false, fraudulent, or dishonest conduct in connection with the program, so that DOT can take steps provided in 49 CFR Section 26.107. 10. Submission of DBE Utilization Forms and Related Documentation (M-103, NOV 99) (a) Each Offeror should submit to the Authority an executed Intent to Perform As a Subcontractor form (Attachment 1) for each proposed DBE subcontractor when the initial response to the Authority's solicitation is due. Good faith documentation (if necessary) should also be submitted at this time. The submission of this information is considered an issue of responsibility, and the Authority will not award a contract to any Offeror who has not supplied this documentation. (b) The Intent to Perform As A Subcontractor form for each proposed DBE subcontractor shall constitute a representation by the Offeror to the Authority that it believes such firm is certified as a DBE, and is ready, willing, and able to perform the work indicated. It shall also represent a commitment by the Offeror that if it is awarded the contract, it will enter into a subcontract with such DBE firm for the work described at the approximate price set forth in the Intent to Perform As A Subcontractor form. (c) If the DBE Subcontractor participation changes after the forms have been submitted, but prior to award of the contract, the Offeror will be required to immediately notify the Contracting Officer of the changed amount and the reason(s) for the change. The modification and substitutions of DBE firms that occur shall be governed by DBE Modification or Substitutions (M-107, JUL 01) provision of this Exhibit. (d) Except as authorized by the Contracting Officer, the successful Offeror shall enter into formal agreements with the DBE firms shown in the submitted Intent to Perform As A Subcontractor form(s) within ten(10) business days after receipt of a contract executed by the Authority. The successful offeror (Contractor) shall provide the Contracting Officer two copies of each agreement within three (3) business days of execution. (e) If an Offeror is a DBE and lists itself on the Intent to Perform As A Subcontractor form, it is required to perform the work indicated with its own work force.

http://www.dart.org/deo.asp?�


ATTACHMENT 1 TO EXHIBIT G

DALLAS AREA RAPID TRANSIT - D/M/WBE FORM

SOLICITATION NUMBER: ____________________

INTENT TO PERFORM AS A SUBCONTRACTOR FOR A CONTRACT AWARD

Pursuant to DART Board policy, DBE firms participating in the Authority's DBE Program must have "current" certification status with the Authority prior to award of this contract. The Authority's DBE certification of any firm is effective for three (3) years from the date of written notification of certification. If the Authority determines that the firm is not an eligible DBE firm for DART contracts and subcontracts, such firms must immediately submit a completed and signed Certification Affidavit to the North Central Texas Regional Certification Agency, 616 Six Flags Drive, Suite 128, Arlington, TX 76011; or if a joint venture, submit a Joint Venture Certification Application to the DART Diversity & Economic Opportunity Department, P.O. Box 660163, Dallas, Texas 75266-7217. 1. Name of Offeror / Prime Contractor ______________________________________________. 2. The undersigned has been certified by DART via NCTRCA Certification #_________________. 3. The undersigned is prepared to perform the following described work and/or supply the material listed in

connection with the above project (where applicable specify "supply" or "install" or both): ______________________________________________________________________________

and at the following price $ _______________. With respect to the proposed subcontract described above, ________% of the dollar value of such subcontract will

be sublet and/or awarded to non-DBE contractors. NOTICE: If the DBE firm is not sub-subcontracting any of the work described above, a zero (0) must be shown in the

blank above. _____________________ BY: _____________________________ DATE: _____/_____/_____ (Name of DBE Firm) (Signature of Owner, President or Authorized Agent ) PHONE: ______________ _____________________________ (Print or Type - Name of Signature of Owner, President or Authorized Agent of DBE firm)

DECLARATION OF PRIME CONTRACTOR I HEREBY DECLARE AND AFFIRM that I am the ______________________________ (Title of Declarant) and a duly authorized representative of _________________________________________________ (Name of Prime Contractor) to make this declaration and that I have personally reviewed the material and facts set forth in this Intent to Perform form. To the best of my knowledge, information and belief, the facts and representations contained in this form are true, the owner or authorized agent of the DBE firm signed this form in the place indicated, and no material facts have been omitted. Except as authorized by the Contracting Officer, the undersigned will enter into a formal agreement with the listed DBE firm for work as indicated by this form within ten (10) business days after receipt of the contract executed by the Dallas Area Rapid Transit Authority. The undersigned will provide the Contracting Officer a copy of that agreement within three (3) business days of execution. The Prime contractor designated the following person as their DBE Liaison Officer: ___________________________________________________ ______________________ (Name-Please Print) (Phone) Pursuant to 49 CFR Section 26.107, any person [entity] who makes a false or fraudulent statement in connection with participation of a DBE in any DOT-assisted program or otherwise violates applicable Federal statutes and may be referred to the Department of Transportation, and possibly the Department of Justice, for prosecution.

_____________________________ (Name of Declarant) ___________________________ _ __ _____________________________

(Signature) (Date)



DALLAS AREA RAPID TRANSIT - D/M/WBE FORM INSTRUCTIONS FOR CONTRACTORS

"HOW TO FILL OUT VENDOR PAYMENT REPORT"

The Vendor Payment Report is to be filled out by the Contractor and submitted with each invoice. The instructions below correspond to each item on the reverse side of the report. Please follow the instructions. 1. Invoice No. Fill in the invoice number accompanying this report. 2. Report No. Fill in the number of the report you are sending in

sequence. For example: If this is the second invoice you are submitting, you are sending in Report No. 2.

3. Reporting Period This is to be filled in to state the period of time you are

reporting. Example: From: April 1, 1991 To: April 30, 1991.

4. DART Contract Number Fill in the contract number assigned to your project by

DART. 5. Type of Contract Designate the type of contract that has been awarded

your company by DART. 6. Contractor's Business Name, Address and

Telephone Number Fill in your company's name, address, and telephone

number. 7. Date of Contract Award Fill in the date contract was executed by both you and

DART. 8. Scheduled Date of Completion Fill in completion date of contract as written in contract. 9. Original Contract Amount Fill in dollar amount of original contract agreed upon by

you and DART. 10. Current Amended Contract Amount and Date Fill in dollar amount of original contract plus/minus the

dollar amount agreed upon at a later date as a result of contract modifications, if applicable. Include date modification was executed.

11. Total Amount Received to Date Fill in the dollar amount you have received from DART

to-date. 12. Total Amount Owed Fill in the dollar amount of the contract minus amount

paid to you by DART. 13. Committed Disadvantaged/Minority/Women-Owned

Participation

Fill in the percentage of D/M/WBE participation you committed to obtain in the contract.

14. Instructions for Calculation of

Disadvantaged/Minority/Women-Owned Business Enterprise Percentage

15. Actual Disadvantaged/Minority/Women-Owned

Business Enterprise Percent Paid-to-Date Fill in the calculated dollar amount paid to the

D/M/WBE divided by the dollar amount you received from DART.

16. Name of Subcontractors Name all D/M/WBE subcontractors. (Use additional

sheets as necessary.) 17. Disadvantaged/Minority/Women-Owned Business Enterprise State whether the subcontractor is a DBE/MBE/WBE. 18. Description of Work State the work performed by the D/M/WBE

subcontractor. 19. Amount and Date of Last Payment State the amount and date of last payment made to

each D/M/WBE subcontractor. Submit evidence of payment, i.e., cancelled check, check register, etc.

20. Subcontract Value (Dollars) State the committed dollar value to the D/M/WBE

subcontractor for the duration of the contract. 21. Total Amount Paid-to-Date (Dollars) Add all amounts paid to each D/M/WBE subcontractor

to date. 22. Percent of Earned Progress to Date State dollar amount paid to the D/M/WBE

subcontractor divided by the amount committed to them.

23. Amount of This Invoice Allocated to the

Subcontractor Fill in how much of this invoice will be paid to each

D/M/WBE subcontractor.



DALLAS AREA RAPID TRANSIT - D/M/WBE FORM

VENDOR PAYMENT REPORT Dallas Area Rapid Transit Department of Diversity & Economic Opportunity P.O. Box 660163 Dallas, Texas 75266-7217

For Official Office Use Only 1) Invoice No. 2) Report No.

3) Reporting Period From:

To:

(214) 749-2507

Instructions: All prime contractors are required to complete and submit this report as specified in the contract, or as requested by the Contracts Specialist, until final payment of the contract. Note: Failure to comply with DART's Disadvantaged, Minority, and Women-Owned Business enterprise provisions may result in contract termination, or the suspension or debarment of the contractor from doing business with DART in the future in accordance with the procedures set forth in DART's Procurement Regulations. To complete this report, see detailed instructions on the proceeding page of Exhibit G, This report must be submitted with invoice.

4) DART Contract Number 5) Type of Contract (X) 6) Contractor's Business Name, Address and Telephone Number Construction ٱ

Professional ٱ Service ٱ Supply ٱ

7) Date of Contract Award 8) Schedule Date of Completion 9) Original Contract Amount 10) Current Contract Amount, Including Modifications ($ and date) (State amount & date of most recent modification)

$ $ _____ /_____ /_____

11) Total Amount Received To Date $

12) Total Amount Owed 13) Committed Disadvantaged, Minority, and Women

Disadvantaged-Minority-Women ______% ______% ______%

14) D/M/WBE Instruction for Calculation of Percentage: Dollar amount paid to D/M/WBE divided by dollar amount received by Contractor from DART.

15) Actual Disadvantaged, Minority and Woman-Owned Business Participation % to Date

Disadvantaged-Minority-Women _______% _______% _______%

$

Amount of This Invoice $

16) Name of Subcontractor

17) DBE / MBE / WBE

18) Description of Work

19) Amount & Date of Payment(s) Made During Current Invoice Period

20) Subcontract Dollars

21) Amount Paid to Date (Dollars)

22) % Paid to Date

23) Amount of This Invoice Allocated to Subcontractor

$

$

$

$

$

$

$

$

$

$

$

$

$

$

Company Official's Signature & Title Date Signed Name & Title of Individual Completing Report / /

B-1020513


EXHIBIT I

SPECIFICATIONS

EXHIBIT I

THE LANGUAGE BELOW IS STATED IN EXHIBIT B

The electronic files of Exhibit I and Exhibit J will be made available to interested vendors by contacting Cedric Seay at [email protected]. Interested vendors are to make the request by email only. Provide the solicitation # and title when requesting the electronic files to ensure that your firm receives the documents for this solicitation “Construction of a Park & Ride Facility in Northwest Plano”. In the case there are any amendments that reference a revision to Exhibit I or Exhibit J, interested vendors are solely responsible for requesting the revised electronic files. No media formats will be mailed, delivered, etc. at DART’s expense. Vendors are reminded that all of the other solicitation documents are available for download via a DART registered vendor’s account at http://dart.org/procurement/doingbusiness.asp.

Distribution of electronic files for Exhibit I and Exhibit J

B-1020513


EXHIBIT J

DRAWINGS

EXHIBIT J

THE LANGUAGE BELOW IS STATED IN EXHIBIT B

The electronic files of Exhibit I and Exhibit J will be made available to interested vendors by contacting Cedric Seay at [email protected]. Interested vendors are to make the request by email only. Provide the solicitation # and title when requesting the electronic files to ensure that your firm receives the documents for this solicitation “Construction of a Park & Ride Facility in Northwest Plano”. In the case there are any amendments that reference a revision to Exhibit I or Exhibit J, interested vendors are solely responsible for requesting the revised electronic files. No media formats will be mailed, delivered, etc. at DART’s expense. Vendors are reminded that all of the other solicitation documents are available for download via a DART registered vendor’s account at http://dart.org/procurement/doingbusiness.asp.

Distribution of electronic files for Exhibit I and Exhibit J

B-1020513


EXHIBIT K

GEOTECHNICAL REPORT

GEOTECHNICAL INVESTIGATION DART TRACK 3

NW PLANO PARK & RIDE PLANO, TEXAS

SUBMITTED TO LOCKWOOD, ANDREWS & NEWNAM, INC.

8350 NORTH CENTRAL EXPRESSWAY, SUITE 1400 DALLAS, TEXAS 75206

BY

HVJ ASSOCIATES, INC. DALLAS, TEXAS

MARCH 31, 2011

REPORT NO. DG-08-15194

March 31, 2011 Mr. Milton Richter, PE Lockwood, Andrews & Newnam, Inc. 8350 North Central Expressway, Suite 1400 Dallas, TX 75206 Re: Geotechnical Investigation

DART TRACK 3 Northwest Plano Park & Ride Plano, Texas

Owner: DART HVJ Project No. DG0815194 Dear Mr. Richter: Submitted herein is the report of our geotechnical investigation for the above referenced project. The study was conducted in general accordance with our proposal number DG-08-15194 dated June 30, 2010 and is subject to the limitations presented in this report. We appreciate the opportunity of working with you on this project. Please read the entire report and notify us if there are questions concerning this report or if we may be of further assistance. Sincerely, HVJ ASSOCIATES, INC. Texas Firm Registration No. F-000646 Fadi N. Faraj, PE Ravi Teja Elepe, MS Senior Project Manager Staff Engineer FF/RE 03/31/2011 The seal appearing on this document was authorized by Fadi N. Faraj, P.E. 96707 on March 31, 2011. Alteration of a sealed document without proper notification to the responsible engineer is an offense under the Texas Engineering Practice Act.

The following lists the pages which complete this report: � Main Text – 13 pages � Appendix A – 2 pages� Plates – 8 pages � Appendix B – 4 pages

� Appendix C – 9 pages

Houston 8701 John Carpenter Freeway, Suite 250

Austin Dallas, Texas 75247-4640

Dallas 214.678.0227 Ph

San Antonio 214.678.0228 Fax

El Paso www.hvj.com

CONTENTS

Page

1 EXECUTIVE SUMMARY ................................................................................................ I

2 INTRODUCTION ............................................................................................................1 2.1 Project Description.............................................................................................................1 2.2 Geotechnical Investigation Program ...................................................................................1

3 FIELD INVESTIGATION ...............................................................................................1 3.1 Geotechnical Borings..........................................................................................................1 3.2 Sampling Methods ..............................................................................................................1

4 LABORATORY TESTING...............................................................................................2 4.1 Geotechnical Laboratory Testing ........................................................................................2

5 SITE CHARACTERIZATION .........................................................................................2 5.1 General Geology.................................................................................................................2 5.2 Soil Stratigraphy..................................................................................................................2 5.3 Groundwater Conditions ....................................................................................................3

6 PARKING LOT PAVEMENT THICKNESS RECOMMENDATIONS.........................3 6.1 General...............................................................................................................................3 6.2 Rigid Pavement Section ......................................................................................................3 6.3 Rigid Pavement Thickness and Load Capacity ....................................................................4 6.4 Preparation of Subgrade .....................................................................................................4

7 FOUNDATION RECOMMENDATIONS ......................................................................5 7.1 General...............................................................................................................................5 7.2 Potential Vertical Movement ..............................................................................................5 7.3 Foundation Selection ..........................................................................................................6 7.4 Drilled Shafts......................................................................................................................6 7.5 Building Settlement.............................................................................................................6 7.6 Floor Slab ...........................................................................................................................7 7.7 Construction Considerations...............................................................................................7 7.8 Drainage .............................................................................................................................7 7.9 Site Preparation and Structural Fill......................................................................................7 7.10 Monitoring..........................................................................................................................8

8 DESIGN REVIEW ...........................................................................................................8

9 LIMITATIONS..................................................................................................................8

ILLUSTRATIONS Plate

SITE VICINITY MAP ..................................................................................................................................... 1

GEOLOGY MAP ............................................................................................................................................. 2

PLAN OF BORINGS ...................................................................................................................................... 3

BORING LOGS............................................................................................................................................ 4-6

KEY TO TERMS & SYMBOLS USED ON BORING LOGS ............................................................... 7

APPENDIX Appendix

SUMMARY OF LABORATORY TEST RESULTS ................................................................................. A

SWELL TEST RESULTS ............................................................................................................................... B

SULFATES, CHLORIDES & PH TEST RESULTS ................................................................................ C

i

1 EXECUTIVE SUMMARY

HVJ Associates, Inc. was retained by Lockwood, Andrews & Newnam, Inc. to provide geotechnical study for the proposed Park & Ride in Plano, Texas. We understand that the project is for DART TRACK 3 which involves a parking lot with 500 to 716 parking spaces, bus transfer area, 12ftx25ft bus shelter, and a crew room. The purpose of this study is to perform geotechnical investigation at the proposed parking area, perform laboratory testing, provide pavement thickness design for the proposed parking lot, and provide foundation recommendations for the crew building.

Subsurface conditions at the site were evaluated by drilling and sampling a total of three (3) soil borings. A brief summary of the investigational findings are as follow:

1. The subsurface soils at boring B-1 generally consist of stiff to very stiff cohesive soils to a depth of 4 feet, followed by 3 feet of weathered limestone, and very hard limestone to the maximum termination depth of 15 feet.

2. The subsurface soils at boring B-2 generally consist of stiff to very stiff cohesive soils to a depth of 4 feet, followed by very hard limestone to the maximum termination depth of 15 feet.

3. The subsurface soils at boring B-3 generally consist of stiff to very stiff cohesive soils to a depth of 4 feet, followed by hard to very hard limestone to the maximum termination depth of 15 feet.

4. Groundwater was not encountered in any boring during or after drilling operations. However, it should be noted that groundwater levels might fluctuate seasonally and with other climatic conditions.

5. Moisture contents, Atterberg limits, minus 200 sieve analysis, free swell, and unconfined compressive strength tests were performed on select soil samples. The testing results were summarized and included in Appendix A. The test results for free swell were included in Appendix B.

6. The sulfate, chlorides analyses revealed that the total sulfate are generally within acceptable limits and total chloride contents are below reporting limits. The testing results for sulfates, chlorides, and pH were included in Appendix C.

7. Traffic loading data was not available at the time of writing this report. We have calculated the Equivalent Single Axial Load (ESAL) for concrete slab thicknesses of 6, 8, and 10 inches.

8. Based on the PVR values the swell potential is considered to be moderate to high.

Please note that this executive summary does not fully relate our findings and opinions. Those findings and opinions are only presented through our full report.

1

2 INTRODUCTION

2.1 Project Description

HVJ Associates, Inc. was retained by Lockwood, Andrews & Newnam, Inc. to provide geotechnical study for the proposed Park & Ride in Plano, Texas. We understand that the project is for DART TRACK 3 which involves a parking lot with 500 to 716 parking spaces, bus transfer area, 12ftx25ft bus shelter, and a crew room. The purpose of this study is to perform geotechnical investigation at the proposed parking area, perform laboratory testing, provide pavement thickness design for the proposed parking lot, and provide foundation recommendations for the crew building. A Site Vicinity map is presented on Plate 1.

2.2 Geotechnical Investigation Program

The primary objectives of this study were to gather information on subsurface conditions at the site and to provide parking lot pavement thickness recommendations and foundation recommendations for the proposed park & ride. The objectives were accomplished by:

1. Drilling three (3) soil borings to determine soil stratigraphy and to obtain samples for laboratory testing;

2. Performing laboratory tests to determine physical and engineering characteristics of the soils; and

3. Performing engineering analyses to develop design guidelines and recommendations.

Subsequent sections of this report contain descriptions of the field exploration, laboratory-testing program, general subsurface conditions, parking lot pavement thickness recommendations, foundation design recommendations, general earthwork, and construction considerations.

3 FIELD INVESTIGATION

3.1 Geotechnical Borings

The field exploration program undertaken at the project site was performed on September 15, 2010. Subsurface conditions were investigated by drilling a total of three (3) borings to depth 15 feet below the existing ground surface. Borings were backfilled with soil cuttings and bentonite chips after completion of drilling operations. A site plan showing the approximate boring locations is presented on the Plan of Borings, Plate 3.

3.2 Sampling Methods

Soil samples were obtained continuously to a depth of 4 feet, rock encountered at 4 feet was augured continuously to the maximum termination depth of 15 feet, and evaluated by TxDOT cone penetration test at every 5-foot to determine the consistency of strata encountered. Cohesive soil samples were obtained with a three-inch thin-walled (Shelby) tube sampler in general accordance with ASTM D-1587 standard. Cohesion less soils were sampled with the Standard Penetration Test (SPT) sampler in accordance with ASTM D1586 standard. Each sample was removed from the sampler in the field, carefully examined and then classified. Suitable portions of each sample were sealed and packaged for transportation to our laboratory. Detailed descriptions of the soils encountered in the borings are given on the boring logs presented on Plates 4 through 6.

2

4 LABORATORY TESTING

4.1 Geotechnical Laboratory Testing

Selected soil samples were tested in the laboratory to determine applicable physical and engineering properties. All tests were performed according to the relevant ASTM Standards. These tests consisted of moisture content measurements, Atterberg limits, minus 200, free swell, unconfined compression, and dry unit weight. The shear strength of the cohesive soils was estimated by a hand penetrometer in the field

The Atterberg limit tests were utilized to verify field classification by the Unified Soils Classification System. The hand penetrometer and unconfined compression tests were performed to obtain the undrained shear strength of the soil.

The type and number of tests performed for this investigation are summarized below:

Type of Test Number of Tests Moisture Content (ASTM D2216) 6 Atterberg Limits (ASTM D4318) 6 Percent Passing No. 200 Sieve (ASTM D1140) 6 Hand Penetrometer 6 Unconfined Compression (UC) (ASTM D2166) 3 Dry Unit Weight (ASTM D2166) 3 Free Swell (ASTM D4546 Method B) 3

A summary of the laboratory testing results were included in Appendix A. Free Swell test results were included in Appendix B. Sulfates, Chlorides & pH test results were provided in Appendix C.

5 SITE CHARACTERIZATION

5.1 General Geology

According to the University of Texas at Austin, Bureau of Economic Geology “Geologic Atlas of Texas Dallas Sheet,” the project site area is located in region of Austin Chalk (map symbol Kau) formation. Austin Chalk (Kau) which dominantly consists of chalk, mostly microgranular calcite, and some interbeds and partings of calcareous clay in the upper and lower parts. Middle part mostly consists of thin-bedded marl with interbeds of massive chalk, locally burrowed, weathers and megafossils. A geology map is presented on Plate 2.

5.2 Soil Stratigraphy

Our interpretation of soil conditions at the project site is based on information obtained at the boring locations below the existing pavement only. This information has been used as the basis for our conclusions and recommendations. Significant variations at areas not explored by the project boring may require reevaluation of our findings and conclusions.

Boring B-1: The subsurface soils at this site generally consist of stiff to very stiff cohesive soils to a depth of 4 feet, followed by 3 feet of weathered limestone, and very hard limestone to the maximum termination depth of 15 feet.

3

Boring B-2: The subsurface soils at this site generally consist of stiff to very stiff cohesive soils to a depth of 4 feet, followed by very hard limestone to the maximum termination depth of 15 feet.

Boring B-3: The subsurface soils at this site generally consist of stiff to very stiff cohesive soils to a depth of 4 feet, followed by hard to very hard limestone to the maximum termination depth of 15 feet.

Details of the subsurface stratigraphy encountered in the borings are shown on the boring logs presented on Plates 4 thru 6. A key to the soil & rock terms and symbols used in the boring logs is presented on Plate 7A & 7B.

5.3 Groundwater Conditions

Groundwater was not encountered in any boring during and after drilling operations. However, it should be noted that groundwater levels might fluctuate seasonally and with other climatic conditions.

6 PARKING LOT PAVEMENT THICKNESS RECOMMENDATIONS

6.1 General

We understand that the project will involve the construction of a new parking lot at the Park & Ride in Plano, Texas. A rigid pavement design is being considered for this project. The design recommendations presented in this report were developed in accordance with the “AASHTO Guide for Design of Pavement Structures”, 1993 Edition.

6.2 Rigid Pavement Section

The traffic loading data was not available at the time of writing this report. We have calculated the traffic capacity in terms of 18-kip Equivalent Single Axial Load (ESAL) for different concrete slab thicknesses. The categories required for the design of pavement includes: (a) design variables, (b) performance criteria, (c) pavement structural characteristics, (d) material properties for structural design, and (e) reinforcement variables. Parameters relative to these categories are discussed below.

Reliability Level and Overall Standard Deviation. A reliability level (R) of 95 percent was selected for the pavement design performance. A mean value of the overall standard deviation (So) was selected to be 0.34 for rigid pavement.

Serviceability. The serviceability of a pavement is defined as its ability to serve the type of traffic that uses the facility. The condition of the pavement after the performance period is characterized by a Terminal Serviceability Index (Pt), which is a function of the pavement structure. We recommend that a Terminal Serviceability Index of 2.5 be used for all pavements. Since the time at which a given pavement structure reaches its terminal serviceability depends on traffic volume and the original or initial serviceability (Po), some consideration also must be given to the selection of Po. As obtained at the AASHTO Road Test, a Po value of 4.5 was selected.

Drainage. The treatment for the expected level of drainage for a rigid pavement is through the use of a drainage coefficient, Cd. A Cd value of 1.2 was selected for good quality of drainage. We have assumed that good quality drainage will be used on this project.

Load Transfer. The load transfer coefficient, J, is a factor used in rigid pavement design to account for the ability of a concrete pavement structure to transfer load across discontinuities, such as joints.

4

Based on the values developed by AASHTO, a mean value of the load transfer coefficient (J) of 3.2 was selected for the design of jointed reinforced concrete pavement with tied curbs.

Loss of Support. This factor, LS, was included in the design of rigid pavement to account for the potential loss of support arising from subbase erosion and/or differential vertical soil movement. An LS value of 1.0 was selected according to the AASHTO suggestion for the condition of stabilized soils beneath the pavement.

Effective Modulus of Subgrade Reaction. We have estimated a subgrade resilient modulus (MR) of 2,000 psi. Based on the loss of support factor (LS) described previously (LS=1.0), an effective modulus of subgrade reaction (k) was found to be 57 psi

Concrete Elastic Modulus and Modulus of Rupture. A mean value of 620 psi for S'c was selected for the design.

A value of 3.6 x 106 psi was used for the modulus of elasticity of the concrete (Ec) using the correlation recommended by the American Concrete Institute.

Ec = 57,000(f’c) 0.5

Where, Ec = elastic modulus of concrete in psi and, f’c = compressive strength of concrete in psi; a value of 4000 psi is used here. Traffic Load and Design Period. We calculated the 18-kip ESAL’s for different thicknesses of concrete slab. The following table summarizes our findings:

Concrete Slab thickness Capacity in terms of 18-kip ESAL’S

6 inches 430,000 8 inches 2,300,000 10 inches 9,600,000

6.3 Rigid Pavement Thickness and Load Capacity

Based on the above design parameters, a minimum of 6 to 10 inch thick concrete pavement is recommended for the parking lot. In addition, we recommend 6 inches of the subgrade soils be stabilized with lime. For estimation purposes we recommend using 6% lime by dry weight, which is equivalent to 40 pounds per square yard. The above amounts for stabilization are provided for estimation purposes. The exact amount of lime should be determined by testing the exposed subgrade during construction.

6.4 Preparation of Subgrade

The subgrade soils along the project alignment generally consist of cohesive soils. We recommend that at least six inches of the subgrade be stabilized. Stabilization of the subgrade should increase the modulus of subgrade reaction and provide subgrade stability for construction during inclement weather. In addition, subgrade stabilization should enhance long-term pavement performance by reducing the tendency of the soil to displace by pumping. We recommend the following procedures for subgrade preparation.

5

1. Strip the surface soil to suitable depths. In areas where soft, compressible or loose soils are encountered, additional stripping may be required. Stripping should extend a minimum of two feet beyond the edge of the proposed pavement where possible.

2. Surfaces exposed after stripping should be proof-rolled in accordance with TxDOT Standard Specification Item 216 or equivalent specification. If rutting develops, tire pressures should be reduced. The purpose of the proof-rolling operation is to identify any underlying zones or pockets of soft soils and to remove such weak materials.

3. Before stabilizing the subgrade, scarify the upper eight inches of exposed surface as required, mix with lime if subgrade soils are cohesive or lime and fly ash if subgrade soils are cohesionless, and compact it to 95 percent of standard proctor maximum dry density (ASTM D698). The amount of lime shall be determined for subgrade soils by conducting laboratory tests on the exposed subgrade material during construction

7 FOUNDATION RECOMMENDATIONS

7.1 General

We understand that the project involves the construction of a crew room building. One of the major design factors for the structure within the general project area is the shrinking and swelling potential of fine-grained soils. The shrink/swell movements can be estimated through the use of the Plasticity Index (PI). Generally, the higher the PI of a material is, the greater the potential for soil movements during moisture changes. Based on the soil conditions encountered in the borings drilled in this study, the soils at this site seem to have a moderate to high expansion potential (Effective PI = 20 to 40).

7.2 Potential Vertical Movement

Potential Vertical Rise (PVR) values were estimated by means of the TEX 124-E method for the upper 7 feet of soils at the site, using both worst condition (i.e. dry state) and average condition. The PVR represents the potential of a soil material to swell at a specific density, moisture and loading condition. The PVR that was calculated for this application indicates the potential movement of the soils that may be realized if the soils become wet following a relatively dry moisture condition.

The estimated PVR values for the soils encountered at the borings drilled during this study:

PVR Conditions Boring no.

BH-1 BH-2 BH-3

Existing 0.63 0.61 0.61

Dry 1.00 1.38 1.28

Average 0.87 1.09 1.04

Wet 0.63 0.61 0.61

6

This swell potential is considered moderate to high. The PVR values provided to demonstrate the relative severity of the swell potential of the clayey soils at the site; however, this value is not intended to be used directly as a design parameter. The actual amount of swell the slab may experience depends on many variables that are not known at the time of this study, such as the time of year the slab is poured.

7.3 Foundation Selection

Foundations for the structure must satisfy two basic design criteria. First, bearing pressure transmitted to the foundation soils should not exceed the allowable bearing pressures computed using an adequate factor of safety. Second, foundation movement due to soil volume change must be within desirable limits.

The results of the Atterberg Limits tests indicate that the soils at the site have a moderate to high expansion potential. Therefore, we recommended a foundation system founded below the zone of seasonal moisture change, such as drilled footings.

7.4 Drilled Shafts

Based on the subsurface soils encountered, if higher loads are anticipated for the structure drilled shafts penetrating either two times the shaft diameter or 5 feet into the hard rock, whichever is greater, can be used as a foundation system to support the structure. The drilled shaft may be designed for an allowable net total load end-bearing pressure of 15 tsf. These bearing pressures contain a factor of safety of 2. Side friction should only be considered at depths deeper than 10 feet into the bedrock and, because we do not anticipate a need for such depths, side frictional resistance is not accounted for within this report.

It is also important to account for uplift pressure on the upper portion of the shaft in contact with clay soils that are present within the top 5 feet. We estimate the uplift pressure due to the presence of these soils to be approximately 1500 psf. The side frictional resistance provided by the bedrock will provide uplift resistance. The skin friction that will be made available by the drilled shafts’ contact with the rock to allow the structure to resist uplift pressures will be 1.33 tsf.

Drilled Shaft Design and Construction Considerations. The drilled shaft diameters should be wide enough for cleaning and inspection purposes. Care should be taken prior to concrete placement to assure that drilled shaft is both dry and free of debris. Although there was no groundwater present at the time of drilling, groundwater seepage may still occur at the time of construction. In the event that seepage rates exceed an amount that prevents pier installation, the engineer should be contacted so that a suitable construction alternative may be provided.

Each shaft should be provided with sufficient vertical steel reinforcement extending from the top to within six inches of the bottom of the shaft to resist tension stresses created by any swelling soil uplift pressures.

7.5 Building Settlement

With the indicated bearing pressures and loads for a lightly loaded building, settlement is estimated to be primarily elastic, with total settlements amounting to one (1) inch or less. Differential settlement will result from variances in subsurface condition, loading conditions and construction procedures, such as cleanliness of the bearing area. Differential movement between adjacent columns is estimated to be about one-half of the total settlement.

7

7.6 Floor Slab

The most effective means to positively eliminate damage to a foundation slab due to shrinkage and swelling soils is to isolate the interior floor slab and grade beams from the soil by means of a structurally suspended floor system. For a structural slab, a minimum crawl space of 8 inches or larger is recommended to separate the subsurface clay soils from the grade beams. Positive drainage must be provided under the floor slab in the crawl space area at all times. However, a slab-on-grade floor with grade beams is both more common and cheaper than the structurally supported floor for lightly loaded building construction in the area.

The interior floor slab may be supported on a slab-on-grade system provided that the recommendations to reduce the potential shrink-swell movements discussed in this section are followed. It should be noted that some risks are involved when a slab-on-grade floor is utilized. Some vertical movements of the floor slab are still possible during seasonal soil moisture variations. These movements could cause cracking of interior and exterior finishes, and operating problems such as doors which do not open and close freely. However, if the recommendations provided below are followed, we expect these movements to be less than 1 inch and not severe enough to cause serious damage to the slab.

To reduce the PVR to about one inch, we recommend placing the floor slab on a 2-foot thick pad prepared with properly compacted and moisture-conditioned structural fill. We recommend that the pad extend horizontally at least 5 feet beyond the edge of the new building. The exposed surface should be checked and tested if necessary by qualified geotechnical professionals to identify any soft or weak areas, and debris or undesirable materials, which should be removed and replaced with select fill.

7.7 Construction Considerations

The clay soils encountered at the site can be excavated using normal construction equipment. However, any limestone intervals encountered within the clay strata may require equipments capable of excavating rock. Soil that is exposed in the bottoms of all foundation excavations should be protected against disturbances or any other detrimental changes in conditions, such as excessive wetting or drying.

7.8 Drainage

When a slab-on-grade floor system is selected, drainage around the structure perimeter becomes an important consideration in the performance of the structure. If an area of poor drainage is allowed to exist around the structure, the soils beneath the slab in that area have greater access to water. This may cause the soils in that area to exhibit higher shrink-swell movements compared to soils away from the area of poor drainage. Over time, these cycles of shrinking and swelling may cause damage to interior and exterior finishes, operating problems such as doors which do not open freely, and possible structural damage to the slab itself. The owner must take care to maintain good drainage over the life of the structure to reduce the chances of shrink-swell problems with a slab-on-grade floor. Surface runoff should be drained away from structural excavations so as to prevent ponding and concrete for grade beams should be placed as soon after completion of the excavations as possible.

7.9 Site Preparation and Structural Fill

The building area should be stripped of all vegetation and any other deleterious materials or gravels. Stripped areas should be appropriately graded and shaped so as to prevent the ponding of water. Pumping may be required if the site becomes wet. Structural fill required to raise the grade or backfill grub holes should consist of lean silty or sandy clay with a Liquid Limit of less than 40 and a

8

Plasticity Index that is between 7 and 20. All structural fill should be free of organics and debris and should contain no material exceeding one inch in diameter. Fill material that is used should be placed in loose lifts not exceeding eight inches and should be compacted to 95 percent of the maximum dry density at a moisture content between optimum and 3% wet of optimum as determined by ASTM D 698. Water required to bring the material to the water content that is necessary for proper compaction should be evenly applied through each layer by such methods as may be necessary. Select fill should not extend outside of the limits of the structure in grassy or landscaped areas.

7.10 Monitoring

We recommend that any fill placed beneath the structure be monitored to determine compliance with the plasticity and compaction requirements discussed above by an accredited construction materials testing laboratory. HVJ Associates would be pleased to provide this service. It is recommended that slab area be inspected by a person knowledgeable in slab foundation construction to verify that the bearing soils are competent and that the bearing area is properly prepared prior to concrete placement.

It is recommended that each foundation excavation be inspected by the Project Engineer, Architect, or Owner’s Representative prior to placing concrete. The excavation should be checked to verify that a) the excavation has been constructed to the specified dimensions at the correct depth and into appropriate stratum as recommended in this report, b) the drilled shafts are concentric with columns, and c) the loose cuttings and any soft-compressible materials have been removed from the bottom of the excavation. Placement of concrete should be accomplished as soon as possible to reduce changes in the state of the stress and caving of the foundation soils. No piers should be poured without the prior approval of the Project Engineer, Architect, or Owner’s Representative.

8 DESIGN REVIEW

HVJ Associates, Inc. should review the design and construction plans and specifications prior to release to make certain that the geotechnical recommendations and design criteria presented herein have been properly interpreted.

9 LIMITATIONS

This investigation was performed for the exclusive use of Lockwood, Andrews & Newnam, Inc for the proposed Park & Ride in Plano, Texas. HVJ Associates, Inc. has endeavored to comply with generally accepted geotechnical engineering practice common in the local area. HVJ Associates, Inc. makes no warranty, express or implied. The analyses and recommendations contained in this report are based on data obtained from subsurface exploration, laboratory testing, the project information provided to us and our experience with similar soils and site conditions. The methods used indicate subsurface conditions only at the specific locations where samples were obtained, only at the time they were obtained, and only to the depths penetrated. Samples cannot be relied on to accurately reflect the strata variations that usually exist between sampling locations. Should any subsurface conditions other than those described in our boring logs be encountered, HVJ Associates, Inc. should be immediately notified so that further investigation and supplemental recommendations can be provided.

PLATES

6120 S. Dairy Ashford RoadHouston, Texas 77072-1010281.933.7388 Ph281.933.7293 Fax

DRAWING NO.:PROJECT NO.:

APPROVED BY: PREPARED BY:DATE: 9/27/2010

SITE VICINITY MAPNW PLANO PARK & RIDE

PLATE 1DG-08-15194

REFF

NW Plano Park & Ride

8701 John Carpenter Fwy Suite 250 Dallas, TX 75247 214-678-0227 Ph 214-678-0228 Fax

N



APPROVED BY: PREPARED BY: REFF


DATE: 9/27/2010

GEOLOGY MAPNW PLANO PARK & RIDE

DG-08-15194 PLATE 2

N

Source: Geologic Atlas of Texas Dallas Sheet

UT Austin Bureau of Economic Geology




APPROVED BY: PREPARED BY:

PLAN OF BORINGSNW PLANO PARK & RIDE

Approximate Boring location

DATE: 9/27/2010FF RE

DG-08-15194 PLATE 3

N


BH-3

BH-2

BH-1

D

ALL

AS

NO

RTH

TO

LL

WA

Y

W SPRING CREEK PKWY

TENNYSON PKWY

Democracy Dr

(42/6")-(50/3")

Stiff, dark brown, FAT CLAY (CH)

LOG

OF

SO

IL B

OR

ING

DG

-08-

1519

4 N

W P

LAN

O P

AR

K &

RID

E.G

PJ

HV

J.G

DT

9/2

7/10

89

(50/1.25")-(50/0.25")

(50/0.75")-(50/0")

See Plate 3 for boring location.

= UU Triaxial

SOIL/ROCK CLASSIFICATION

Very stiff, tan-brown, SANDY LEAN CLAY (CLS)-w/ calcareous and limestone deposits

Soft, tan, weathered, LIMESTONE

Very hard, gray, LIMESTONE

97

59

= TorvaneShear Types:

0.5 1.0 1.5 2.0

PLATE 4

DR

Y D

EN

SIT

YP

CF

= Unconf. Comp.

% P

AS

SIN

GN

O. 2

00 S

IEV

E

0

5

10

15

20

ELEV.

DEPTH,

FEET

SOIL SYMBOLS

SAMPLER SYMBOLS

AND FIELD TEST DATA

LIQUID LIMIT

Project No.: DG-08-15194Elevation:Station: --Offset: --

Project: NW Plano Park & RideBoring No.: BH-1Groundwater during drilling: DryGroundwater after drilling: Dry

LOG OF BORING

CONTENT, %MOISTURE

SHEAR STRENGTH, TSF

10 20 30 40 50 60 70 80 90PLASTIC LIMIT

= Hand Penet.

Drill Date: 9/15/2010Northing: --Easting: --

(50/0.75")-(50/0.5")

% P

AS

SIN

GN

O. 2

00 S

IEV

E

Stiff, dark brown, FAT CLAY (CH)

LOG

OF

SO

IL B

OR

ING

DG

-08-

1519

4 N

W P

LAN

O P

AR

K &

RID

E.G

PJ

HV

J.G

DT

9/2

7/10

(50/0.75")-(50/0.5")


= UU Triaxial


(50/0.75")-(50/0.25")

Very stiff, tan-brown, LEAN CLAY WITH SAND (CL)-w/ calcareous and limestone deposits

Very hard, tan-gray, LIMESTONE

96

81

87


= Torvane

PLATE 5

SOIL SYMBOLS

SAMPLER SYMBOLS

AND FIELD TEST DATA0.5 1.0 1.5 2.0


DR

Y D

EN

SIT

YP

CF

= Unconf. Comp.

0

5

10

15

20

ELEV.

DEPTH,

FEET

= Hand Penet.

LIQUID LIMIT

Shear Types:


LOG OF BORING

PLASTIC LIMITMOISTURE

SHEAR STRENGTH, TSF

10 20 30 40 50 60 70 80 90

CONTENT, %

Stiff to very stiff, dark brown-tan, FAT CLAY (CH)-w/ calcareous and limestone deposits @ 4'

(50/2.25")-(50/1.25")

(50/0.625")-(50/0.5")


= UU Triaxial


% P

AS

SIN

GN

O. 2

00 S

IEV

E

LOG

OF

SO

IL B

OR

ING

DG

-08-

1519

4 N

W P

LAN

O P

AR

K &

RID

E.G

PJ

HV

J.G

DT

9/2

7/10

Hard to very hard, tan-gray, LIMESTONE

99

92

(50/2")-(50/1.75")


= TorvaneShear Types:

PLATE 6

SOIL SYMBOLS

SAMPLER SYMBOLS

AND FIELD TEST DATA


85

= Unconf. Comp.

DR

Y D

EN

SIT

YP

CF

PLASTIC LIMIT

0

5

10

15

20

ELEV.

DEPTH,

FEET

= Hand Penet.

LIQUID LIMIT


0.5 1.0 1.5 2.0

LOG OF BORING

CONTENT, %

SHEAR STRENGTH, TSF

10 20 30 40 50 60 70 80 90

MOISTURE



KEY TO TERMS AND SYMBOLSUSED ON BORING LOGS

Sampler penetrated full depth under weight of drill rods and hammer

SOIL GRAIN SIZE

PENETRATION RESISTANCE

TERMS DESCRIBING SOIL STRUCTURE

* The N value is taken as the blows required to penetrate the final 12 inches

If more than 50 blows are required, driving is discontinued and penetration at 50 blows is noted

Blows required to penetrate each of three consecutive 6-inch increments per ASTM D-1586 *

ConcreteCementPortland

Cemented

75 - 200 mm4.75 - 75 mm

0.075 - 4.75 mm0.002 - 0.075 mm

< 0.002 mm

Particle Size

DENSITY OF COHESIONLESS SOILS

Descriptive

Very Dense

Medium Dense

Very Loose

0/18"

50/4"

3/6

Fracture planes appear polished or

seams or layers of different soil typeSoil sample composed of alternating

partings of different soil typeSoil sample composed of alternating

extending through the sampleInclusion greater than 3 inches thick

extending through the sampleInclusion 1/4 inch to 3 inches thick

extending through the sampleInclusion less than 1/4 inch thick

as small lenses of sand scatteredSmall pockets of different soils, such

with little resistance to fracturingBreaks along definite planes of fracture

glossy, sometimes striated

through a mass of clay

Resistance "N" *

Dense

Loose

Term Blows/Foot

Penetration

> 5030 - 5010 - 304 - 100 - 4

ConcreteAsphaltic

Clayey

Clay

Construction Materials

Classification

Silt

BoulderCobbleGravelSand

Clay

StabilizedBase

Silty

DebrisFill or

Sandy

SOIL SYMBOLSSoil Types

Silt

Modifiers

Sand Gravel

CONSISTENCY OF COHESIVE SOILS

A small mass of irregular shape

Having appreciable quantities of iron

Having appreciable quantities of calcium

stratified structure is not evidentdifferent soil type and laminated orSoil sample composed of pockets of

carbonate

Very Stiff

Very Soft

Consistency

Hard

StiffFirmSoft

> 2.01.0 - 2.00.5 - 1.00.25 - 0.5

0.125 - 0.250 - 0.125

Strength (tsf)Undrained Shear

SAMPLER TYPES

WATER LEVEL SYMBOLS

open borehole or piezometerGroundwater level after drilling in

Groundwater level determined during

> 8 in.3 in. - 8 in.

#4 sieve - 3 in.#200 sieve - #4 sieve

0.002 mm - #200 sieve< 0.002 mm

No. (U.S. Standard)Particle Size or Sieve

Liner Tube

> 200 mm

drilling operations

Split Barrel

Shelby TubeThin Walled

Jar Sample

Auger

No Recovery

PLATE 7ADG-08-15194

9200 King Arthur Dr.Dallas, TX 75247214-678-0227214 678 0228 F


(4/6”) Blows required to penetrate each of two consecutive 6-inches per TEX- 132-E

3/6”

�



KEY TO TERMS AND SYMBOLSUSED ON BORING LOGS

HorizontalShallow

ModerateSteep

Vertical

Information on each boring log is a compilation of subsurface conditions and soil and rock classifications obtained from the field as well as from laboratory testing of samples. Strata have been interpreted by commonly accepted procedures. The stratum lines on the logs may be transitional and approximate in nature. Water level measurements refer only to those observed at the times and places indicated, and may vary with time, geologic condition or construction activity.

REFERENCES:

(1) British Standard (1981) Code of Practice for Site Investigation, BS 5930.

(2) The Bridge Div., Tx. Highway Dept. Foundation Exploration & Design Manual, 2nd Division, revised June, 1974.

JOINT DESCRIPTION

Interstice; a general term for pore space or other openings in rock.

Small solutional concavities.

Containing small cavities, usually lined with a mineral of different composition from that of the surrounding rock.

Containing numerous small, unlined cavities, formed by expansion of gas bubbles or steam during solidification of the rock.

Containing pores, interstices, or other openings which may or may not interconnect.

Containing cavities or caverns, sometimes quite large. Most frequent in limestones and dolomites.

Void

Cavities

Vuggy

Vesicular

Porous

Cavernous

Very CloseClose

Medium CloseWide

<2"2"-12"12"-3'>3'

SPACING

SOLUTION AND VOID CONDITIONS

Highly Weathered Limestone

Weathered Limestone

Limestone

Dolomite

ROCK TYPES

Weathered Shale

Shale

Slightly

Moderately

Highly

Completely

Residual Soil

Discoloration indicates weathering of rock material and discontinuity surfaces.

Less than half of the rock material is decomposed or disintegrated to a soil.

More than half of the rock material is decomposed or disintegrated to a soil.

All rock material is decomposed and/or disintegrated into soil. The original mass structure is still largely intact.

All rock material is converted to soil. The mass structure and material fabric are destroyed.

SlickensidedSmoothIrregularRough

BEDDING THICKNESSVery Thick

ThickThin

Very ThinLaminated

Thinly Laminated

INCLINATION

0-55-3535-6565-8585-90

(2)

>4'2'-4'2"-2'

1/2"-2"0.08"-1/2"

<0.08"

Polished, groovedPlanar

Undulating or granularJagged or pitted

SURFACES

THD Cone PenetrationTest

Standard PenetrationTest

Thin-WalledTube

WEATHERING GRADES OF ROCKMASS

HARDNESSCrumbles under hand pressureCan be carved with a knifeCan be scratched easily with a knifeCannot be scratched with a knife

SAMPLER TYPES

FriableLow HardnessModerately HardVery Hard

Granite

Weathered Sandstone

Sandstone

Bag Sample

(1)

Rock Core

Auger Sample

PLATE 7 BDG-08-15194


APPENDIX A

SUMMARY OF LABORATORY TEST RESULTS



APPROVED BY: PREPARED BY:

SUMMARY OF LAB TEST RESULTSNW PLANO PARK & RIDE

Borehole Depth Liquid

Limit

Plastic

Limit PI

Percent

Finer

Than #200

Sieve

Moisture

Content

(%)

Dry Unit

Weight

(pcf)

Shear

Strength (UC)

(tsf)

Shear

Str. (Pkt

Pen) (tsf)

BH-1 1 61 22 39 97 30.8 89.2 0.76 0.83 BH-1 3 30 18 12 59 17.7 1.25 BH-2 1 56 23 33 96 31.2 86.9 0.55 0.83 BH-2 3 48 20 28 81 26.9 1.5 BH-3 1 62 25 37 99 32.4 84.8 0.61 1 BH-3 3 50 26 24 92 32.8 1.5 Total Number of

Tests: 6 6 6 6 6 3 3 6


DATE: 9/27/2010 FF RE

DG-08-15194 PLATE A

APPENDIX B

SWELL TEST RESULTS

HVJ ASSOCIATES, INC.

SWELL TEST ASTM D-4546

METHOD B

Project Name: NW Plano Park & Ride Boring No. BH-1Project No. DG-08-15194 Sample Depth. 2-4Date Tested: 9/20/2010 Ring No. 21Technician: KM Date Calculated: 9/24/2010

Swell Sample Data Initial Final Test Data Initial Final

Sample Height (in) 1.005 1.003 Wet + Ring (g) 229.07 231.22Diameter (in) 2.085 2.085 Dry + Ring (g) 211.69 211.69Volume (cc) 56.230 56.096 Ring Wt. (g) 117.58 117.58Height of Solids (in) 0.623 0.623 Moisture Data (Trimmings) 2.000 LL

Specific Gravity 2.700 2.700 Wet + Tare (g) 145.04 30Moisture Content (%) 18.5 20.8 Dry + Tare (g) 127.85 PI

Wet Density (pcf) 123.7 126.4 Tare (g) 30.88 18Dry Density (pcf) 104.4 104.7 Moisture Content (%) 17.7Sample Description Hand Penetrometer (tsf) 1.25

Elapsed Swell

Date Time Time Load Readings

(min) (psf) (in) Swell Calculation

9/20/2010 14:20 0.0 0 0.0435 Initial Swell Readings (in) 0.0434

9/20/2010 14:25 5.0 0 0.0428 Final Swell Readings (in) 0.0410

9/20/2010 14:25 5.0 500 0.0428 Swell (%) -0.2

9/20/2010 14:30 10.0 500 0.0434 Dry Unit Weight of Sample

9/20/2010 17:00 160.0 500 0.0418 Sample Height (in)

9/21/2010 7:00 1000.0 500 0.0410 Sample Deameter (in)

9/21/2010 15:30 1510.0 500 0.0410 Sample Weight (g)

9/22/2010 7:00 2440.0 500 0.0410 Wet Density (pcf)

Dry Density (pcf)

Comments

Calculated by: REComuted by: REChecked by: FF

Sandy Lean Clay



METHOD B






Elapsed Swell





9/20/2010 14:50 5.0 500 0.0335 Swell (%) 0.2


9/20/2010 17:00 135.0 500 0.0345 Sample Height (in)


9/21/2010 15:30 1485.0 500 0.0360 Sample Weight (g)

9/22/2010 7:00 2415.0 500 0.0360 Wet Density (pcf)

Dry Density (pcf)

Comments


Lean Clay with sand



METHOD B






Elapsed Swell





9/20/2010 14:05 5.0 500 0.0361 Swell (%) 1.2


9/20/2010 17:00 180.0 500 0.0456 Sample Height (in)


9/21/2010 15:30 1530.0 500 0.0478 Sample Weight (g)

9/22/2010 7:00 2460.0 500 0.0480 Wet Density (pcf)

Dry Density (pcf)

Comments


Fat Clay

APPENDIX C

SULFATES, CHLORIDES & PH TEST RESULTS

Analytical Report 391267for

HVJ Associates-Dallas

Project Manager: Fadi Faraj


28-SEP-10

DG-08-15194

9701 Harry Hines Blvd, Dallas, TX 75220Ph:(214) 902-0300 Fax:(214) 351-9139

Xenco-Houston (EPA Lab code: TX00122):Texas (T104704215-10-6-TX), Arizona (AZ0738), Arkansas (08-039-0), Connecticut (PH-0102), Florida (E871002)

Illinois (002082), Indiana (C-TX-02), Iowa (392), Kansas (E-10380), Kentucky (45), Louisiana (03054)New Hampshire (297408), New Jersey (TX007), New York (11763), Oklahoma (9218), Pennsylvania (68-03610)

Rhode Island (LAO00312), USDA (S-44102)

Xenco-Atlanta (EPA Lab Code: GA00046):Florida (E87429), North Carolina (483), South Carolina (98015), Utah (AALI1), West Virginia (362), Kentucky (85)

Louisiana (04176), USDA (P330-07-00105)

Xenco-Miami (EPA Lab code: FL01152): Florida (E86678), Maryland (330)Xenco-Tampa Mobile (EPA Lab code: FL01212): Florida (E84900)Xenco-Odessa (EPA Lab code: TX00158): Texas (T104704400-TX)Xenco-Dallas (EPA Lab code: TX01468): Texas (T104704295-TX)

Xenco-Corpus Christi (EPA Lab code: TX02613): Texas (T104704370)Xenco-Boca Raton (EPA Lab Code: FL01273):

Florida(E86240),South Carolina(96031001), Louisiana(04154), Georgia(917)North Carolina(444), Texas(T104704468-TX), Illinois(002295), Florida(E86349)

Xenco Phoenix (EPA Lab Code: AZ00901): Arizona(AZ0757), California(06244CA), Texas(104704435-10-2), Nevada(NAC-445A), DoD(65816)

Xenco-Phoenix Mobile (EPA Lab code: AZ00901): Arizona (AZM757)Xenco Tucson (EPA Lab code:AZ000989): Arizona (AZ0758)

Celebrating 20 Years of commitment to excellence in Environmental Testing Services

Page 1 of 8 Final 1.000

Houston - Dallas - San Antonio - Austin - Tampa - Miami - Atlanta - Corpus Christi - Latin America

Recipient of the Prestigious Small Business Administration Award of Excellence in 1994.Certified and approved by numerous States and Agencies.

A Small Business and Minority Status Company that delivers SERVICE and QUALITY

Project Manager: Fadi FarajHVJ Associates-Dallas9200 King Arthur Dr.Dallas, TX 75247

Reference: XENCO Report No: 391267NW Plano Park & Ride

Project Address: --

Fadi Faraj:

We are reporting to you the results of the analyses performed on the samples received under the project namereferenced above and identified with the XENCO Report Number 391267. All results being reported underthis Report Number apply to the samples analyzed and properly identified with a Laboratory ID number.Subcontracted analyses are identified in this report with either the NELAC certification number of thesubcontract lab in the analyst ID field, or the complete subcontracted report attached to this report.

Unless otherwise noted in a Case Narrative, all data reported in this Analytical Report are in compliance withNELAC standards. Estimation of data uncertainty for this report is found in the quality control section of thisreport unless otherwise noted. Should insufficient sample be provided to the laboratory to meet the methodand NELAC Matrix Duplicate and Matrix Spike requirements, then the data will be analyzed, evaluated andreported using all other available quality control measures.

The validity and integrity of this report will remain intact as long as it is accompanied by this letter andreproduced in full, unless written approval is granted by XENCO Laboratories. This report will be filed for atleast 5 years in our archives after which time it will be destroyed without further notice, unless otherwisearranged with you. The samples received, and described as recorded in Report No. 391267 will be filed for60 days, and after that time they will be properly disposed without further notice, unless otherwise arrangedwith you. We reserve the right to return to you any unused samples, extracts or solutions related to them if weconsider so necessary (e.g., samples identified as hazardous waste, sample sizes exceeding analytical standardpractices, controlled substances under regulated protocols, etc).

We thank you for selecting XENCO Laboratories to serve your analytical needs. If you have any questionsconcerning this report, please feel free to contact us at any time.

Respectfully,

28-SEP-10

Managing Director, TexasCarlos Castro


CASE NARRATIVE

391267Work Order Number:28-SEP-10Report Date: DG-08-15194Project ID:

Project Name: NW Plano Park & Ride

Date Received:

Client Name: HVJ Associates-Dallas

09/24/2010

None

None

LBA-824780

LBA-824840

LBA-824847

Batch:

Batch:

Batch:

None

None

None

Soil pH by SW-846 9045C

Sulfate by SW-846 9038

Total Chloride by EPA 325.3

Sample receipt non conformances and Comments:

Sample receipt Non Conformances and Comments per Sample:

Analytical Non Conformances and Comments:


DG

-08-

1519

4Pr

ojec

t Id:

HV

J A

ssoc

iate

s-D

alla

s, D

alla

s, T

X

Fadi

Far

ajC

onta

ct:

--Pr

ojec

t Loc

atio

n:

Fri S

ep-2

4-10

03:

45 p

m

28-S

EP-1

0M

onic

a To

bar

Dat

e R

ecei

ved

in L

ab:

Rep

ort D

ate:

Proj

ect M

anag

er:

Proj

ect N

ame:

NW

Pla

no P

ark

& R

ide

This

ana

lytic

al re

port,

and

the

entir

e da

ta p

acka

ge it

repr

esen

ts, h

as b

een

mad

e fo

r you

r exc

lusi

ve a

nd c

onfid

entia

l use

.Th

e in

terp

reta

tions

and

resu

lts e

xpre

ssed

thro

ugho

ut th

is a

naly

tical

repo

rt re

pres

ent t

he b

est j

udgm

ent o

f XEN

CO

Lab

orat

orie

s.X

ENC

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abor

ator

ies a

ssum

es n

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spon

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and

mak

es n

o w

arra

nty

to th

e en

d us

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the

data

her

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pres

ente

d.O

ur li

abili

ty is

lim

ited

to th

e am

ount

invo

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for t

his w

ork

orde

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ess o

ther

wis

e ag

reed

to in

writ

ing.

Hou

ston

- D

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s - S

an A

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io -

Atla

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- Tam

pa -

Boc

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- La

tin A

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- Ode

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- Cor

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ti__

____

____

____

____

____

____

____

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Man

agin

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or, T

exas

Car

los C

astro

Cer

tific

ate

of A

naly

sis S

umm

ary

3912

67

Soil

pH b

y SW

-846

904

5C

Sulfa

te b

y SW

-846

903

8

Tot

al C

hlor

ide

by

EPA

325

.3

Sep-

27-1

0 11

:53

Sep-

27-1

0 14

:55

Sep-

27-1

0 15

:45

SU mg/

kg

mg/

kg

Uni

ts/R

L:

Uni

ts/R

L:

Uni

ts/R

L:

Ext

ract

ed:

Ext

ract

ed:

Ext

ract

ed:

Ana

lysi

s Req

uest

ed

3912

67-0

01La

b Id

:

Fie

ld Id

: B

H-1

, 2, 3

0-2

ft

SOIL

Sep-

24-1

0 14

:45

Dep

th:

Mat

rix:

Sam

pled

:

8.04

13.8

BR

L

10.0

50.0

pH Sulfa

te

Chl

orid

e

RL

RL

RL

Ana

l yze

d:

Ana

l yze

d:

Ana

l yze

d:

Pag

e 4

of 8

Fi

nal 1

.000

Houston - Dallas - San Antonio - Corpus Christi - Midland/Odessa - Tampa - Miami - Latin America

4143 Greenbriar Dr, Stafford, Tx 774779701 Harry Hines Blvd , Dallas, TX 752205332 Blackberry Drive, San Antonio TX 782382505 North Falkenburg Rd, Tampa, FL 336195757 NW 158th St, Miami Lakes, FL 3301412600 West I-20 East, Odessa, TX 79765842 Cantwell Lane, Corpus Christi, TX 78408

Phone Fax(281) 240-4200 (281) 240-4280(214) 902 0300 (214) 351-9139(210) 509-3334 (210) 509-3335(813) 620-2000 (813) 620-2033(305) 823-8500 (305) 823-8555(432) 563-1800 (432) 563-1713(361) 884-0371 (361) 884-9116

Recipient of the Prestigious Small Business Administration Award of Excellence in 1994.Certified and approved by numerous States and Agencies.

A Small Business and Minority Status Company that delivers SERVICE and QUALITY

Flagging Criteria

X In our quality control review of the data a QC deficiency was observed and flagged as noted. MS/MSD recoveries were found to be outside of the laboratory control limits due to possible matrix /chemical interference, or a concentration of target analyte high enough to effect the recovery of the spike concentration. This condition could also effect the relative percent difference in the MS/MSD.

B A target analyte or common laboratory contaminant was identified in the method blank. Its presence indicates possible field or laboratory contamination.

D The sample(s) were diluted due to targets detected over the highest point of the calibration curve, or due to matrix interference. Dilution factors are included in the final results. The result is from a diluted sample.

E The data exceeds the upper calibration limit; therefore, the concentration is reported as estimated.

F RPD exceeded lab control limits.

J The target analyte was positively identified below the MQL and above the SQL.

U Analyte was not detected.

L The LCS data for this analytical batch was reported below the laboratory control limits for this analyte. The department supervisor and QA Director reviewed data. The samples were either reanalyzed or flagged as estimated concentrations.

H The LCS data for this analytical batch was reported above the laboratory control limits. Supporting QC Data were reviewed by the Department Supervisor and QA Director. Data were determined to be valid for reporting.

K Sample analyzed outside of recommended hold time.

JN A combination of the "N" and the "J" qualifier. The analysis indicates that the analyte is "tentativelyidentified" and the associated numerical value may not be consistent with the amount actually present in theenvironmental sample.

BRL Below Reporting Limit.

RL Reporting Limit

MDL Method Detection Limit

PQL Practical Quantitation Limit

* Outside XENCO's scope of NELAC Accreditation.


BS

/ BSD

Rec

over

ies

3912

67D

G-0

8-15

194

NW

Pla

no P

ark

& R

ide

Proj

ect N

ame:

Proj

ect I

D:

Rel

ativ

e Pe

rcen

t Diff

eren

ce R

PD =

200

*|(C

-F)/(

C+F

)|B

lank

Spi

ke R

ecov

ery

[D] =

100

*(C

)/[B

]B

lank

Spi

ke D

uplic

ate

Rec

over

y [G

] = 1

00*(

F)/[E

]A

ll re

sults

are

bas

ed o

n M

DL

and

Val

idat

ed fo

r QC

Pur

pose

s

Wor

k O

rder

#:

Sulfa

te b

y SW

-846

903

8

Tot

al C

hlor

ide

by

EPA

325

.3

Sulfa

te

Chl

orid

e

<1.0

0

<5.0

0

20.0

50.0

99

104

2 4

20 30

80-1

20

75-1

25

Spik

eA

dded

[B]

Spik

eA

dded

[B]

97

100

Bla

nkSp

ike

%R

[D]

Bla

nkSp

ike

%R

[D]

RPD % RPD %

Con

trol

Lim

its%

RPD

Con

trol

Lim

its%

RPD

Flag

Flag

Con

trol

Lim

its %

R

Con

trol

Lim

its %

R

Bla

nkSp

ike

Res

ult

[C]

Bla

nkSp

ike

Res

ult

[C]

Blk

. Spk

Dup

.%

R[G

]

Blk

. Spk

Dup

.%

R[G

]

Bla

nkSp

ike

Dup

licat

eR

esul

t [F]

Bla

nkSp

ike

Dup

licat

eR

esul

t [F]

19.3

50.0

19.7

52.0

8248

40

8248

47

Lab

Bat

ch ID

:

Lab

Bat

ch ID

:

Mat

rix:

Mat

rix:

Solid

Solid

BL

AN

K /B

LA

NK

SPI

KE

/ B

LA

NK

SPI

KE

DU

PLIC

AT

E R

EC

OV

ER

Y S

TU

DY

BL

AN

K /B

LA

NK

SPI

KE

/ B

LA

NK

SPI

KE

DU

PLIC

AT

E R

EC

OV

ER

Y S

TU

DY

mg/

kg

mg/

kg

Uni

ts:

Uni

ts:

8248

40-1

-BK

S

8248

47-1

-BK

S

Sam

ple:

Sam

ple:

1 1

Bat

ch #

:

Bat

ch #

:

20

50

Spik

eA

dded

[E]

Spik

eA

dded

[E]

Bla

nkSa

mpl

e R

esul

t[A

]

Bla

nkSa

mpl

e R

esul

t[A

]

Ana

lyte

s

Ana

lyte

sJOR

JOR

Ana

lyst

:

Ana

lyst

:

Dat

e A

naly

zed:

Dat

e A

naly

zed:

09/2

7/20

10

09/2

7/20

10

09/2

7/20

10

09/2

7/20

10

Dat

e Pr

epar

ed:

Dat

e Pr

epar

ed:

Pag

e 6

of 8

Fi

nal 1

.000

Form

3 -

MS

/ MSD

Rec

over

ies

Mat

rix S

pike

Per

cent

Rec

over

y [

D] =

100

*(C

-A)/B

M

atrix

Spi

ke D

uplic

ate

Perc

ent R

ecov

ery

[G

] = 1

00*(

F-A

)/ER

elat

ive

Perc

ent D

iffer

ence

R

PD =

200

*|(C

-F)/(

C+F

)|

ND

= N

ot D

etec

ted,

J =

Pres

ent B

elow

Rep

ortin

g Li

mit,

B =

Pre

sent

in B

lank

, NR

= N

ot R

eque

sted

, I =

Inte

rfere

nce,

NA

= N

otA

pplic

able

N =

See

Nar

rativ

e, E

QL

= Es

timat

ed Q

uant

itatio

n Li

mit

3912

67D

G-0

8-15

194

NW

Pla

no P

ark

& R

ide

Proj

ect N

ame:

Proj

ect I

D:

Wor

k O

rder

# :

Sulfa

te

Chl

orid

e

27.9

<50.

0

200

500

95 110

2 4

20 30

80-1

20

75-1

25

Spik

eA

dded

[B]

Spik

eA

dded

[B]

Spik

edSa

mpl

e%

R[D

]

Spik

edSa

mpl

e%

R[D

]

RPD % RPD %

Con

trol

Lim

its%

RPD

Con

trol

Lim

its%

RPD

Con

trol

Lim

its %

R

Con

trol

Lim

its %

R

Spik

ed S

ampl

eR

esul

t[C

]

Spik

ed S

ampl

eR

esul

t[C

]

Spik

edD

up.

%R

[G]

Spik

edD

up.

%R

[G]

Dup

licat

eSp

iked

Sam

ple

Res

ult [

F]

Dup

licat

eSp

iked

Sam

ple

Res

ult [

F]

93 106

214

530

218

550

Sulfa

te b

y SW

-846

903

8

Tot

al C

hlor

ide

by

EPA

325

.3

3911

92-0

01 S

3912

67-0

01 S

QC

- Sam

ple

ID:

QC

- Sam

ple

ID:

Lab

Bat

ch ID

:

Lab

Bat

ch ID

:

8248

40

8248

47

Mat

rix:

Mat

rix:

Soil

Soil

MA

TR

IX S

PIK

E /

MA

TR

IX S

PIK

E D

UPL

ICA

TE

RE

CO

VE

RY

ST

UD

Y

MA

TR

IX S

PIK

E /

MA

TR

IX S

PIK

E D

UPL

ICA

TE

RE

CO

VE

RY

ST

UD

Y

mg/

kg

mg/

kg

Rep

ortin

g U

nits

:

Rep

ortin

g U

nits

:

200

500

Spik

eA

dded

[E]

Spik

eA

dded

[E]

Pare

ntSa

mpl

eR

esul

t[A

]

Pare

ntSa

mpl

eR

esul

t[A

]

Flag

Flag

Ana

lyte

s

Ana

lyte

s

1 1

Bat

ch #

:

Bat

ch #

:

JOR

JOR

Ana

lyst

:

Ana

lyst

:

Dat

e A

naly

zed:

Dat

e A

naly

zed:

09/2

7/20

10

09/2

7/20

10

09/2

7/20

10

09/2

7/20

10

Dat

e Pr

epar

ed:

Dat

e Pr

epar

ed:

Pag

e 7

of 8

Fi

nal 1

.000

Sample Duplicate Recovery

DG-08-15194


Project ID:

Spike Relative Difference RPD 200 * | (B-A)/(B+A) |All Results are based on MDL and validated for QC purposes.

391267Work Order #:

BRL - Below Reporting Limit

Project Name:

Soil pH by SW-846 9045C

391265-001 DQC- Sample ID:

Lab Batch #: 824780

pH 7.78

RPD

20

ControlLimits%RPD

SampleDuplicate

Result[B]

07.78

SAMPLE / SAMPLE DUPLICATE RECOVERYMatrix: Soil

SUReporting Units:

Parent SampleResult

[A]Flag

Analyte

1Batch #:ANAAnalyst:Date Analyzed: 09/27/2010 09/27/2010Date Prepared:


B-1020513


EXHIBIT L

BUSINESS

QUESTIONNAIRE


FORM 33.251 (09/04) Page 1 of 5 Exhibit L

Dallas Area Rapid Transit

EXHIBIT L BUSINESS QUESTIONNAIRE

(CONSTRUCTION)

This questionnaire, the requested list of references, and the authorization to release financial information are used in part to assist in determining a potential contractor’s responsibility. Offerors shall submit the Exhibit L information within two (2) work days from the date of notification by the Authority, or with the offer, if so indicated in the Table of Contents page 2 of the Solicitation, Offer and Award Form, and in accordance with applicable provision(s) in Exhibit B, if any. All information must be current and traceable. Each venturer of a joint venture must submit a separate signed form. DART reserves the right to make additional inquiries based on information submitted, or the lack thereof. Questions concerning this questionnaire or the authorization form should be directed to the contact person identified on the Solicitation, Offer and Award Form. 1. Name of Offeror ("Business"): ___________________________________________________ 2. List name(s) and business address of officers and directors for corporations, partners for

partnerships, and venturers for joint ventures (attach additional pages as necessary). ___________________________________________________________________________

___________________________________________________________________________ ___________________________________________________________________________

3. Number of years in business under present business name: _________ 4. If applicable, list all other names under which the Business identified above operated in the last

5 years. ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________

5. Annual Gross Revenue (Past year): (M represents millions, K represents thousands)

$100K or less $100K-$500K $500K-$1M $1M-$5M $5M-$10M $10M-$16M $16M or Over

6. Number of current employees: __________ 7. Has the Business, or any officer or partner thereof, failed to complete a contract? Yes No 8. Is any litigation pending against the Business? Yes No 9. Has the Business ever been declared "not responsible" for the purpose of any governmental

agency contract award? Yes No 10. Has the Business been debarred, suspended, proposed for debarment, declared ineligible,

voluntarily excluded or otherwise disqualified from bidding, proposing, or contracting? Yes No 11. Are there any proceedings pending relating to the Business' responsibility, debarment,

suspension, voluntary exclusion, or qualification to receive a public contract? Yes No 12. Has the government or other public entity requested or required enforcement of any of its rights

under a surety agreement on the basis of a default or in lieu of declaring the Business in default? Yes No



13. Is the Business in arrears on any contract or debt? Yes No 14. Has the Business been a defaulter, as a principal, surety, or otherwise? Yes No 15. Have liquidated damages or penalty provisions been assessed against the Business for failure to

complete work on time or for any other reason? Yes No 16. If a "yes" response is given under questions 8 through 17, please provide a detailed explanation

including dates, reference to contract information, contacts, etc. (attach additional pages as necessary).

___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________

17. Name and address of Surety Company to be used by the Business to provide applicable

performance and payment bonds. ________________________________________________ ___________________________________________________________________________

18. Does the Business maintain a drug-free workplace? Yes No 19. Does the Business have a safety program? Yes No 20. Does the Business have a quality control program? Yes No SAFETY INFORMATION (Use additional pages as necessary.) 1. Provide the Business’s interstate Worker’s Compensation Experience Modification Rate (EMR)

for the last three (3) rating periods. This information is obtainable from the Business’s insurance company(s). If the interstate rating is unknown, obtain the intrastate EMR for the same periods. Current policy year: _______ 1 Year previously: _______ 2 Years previously: _______

2. To verify the above, provide one of the following forms of documentation and submit it with this

questionnaire. Check which form of documentation the Business is submitting. Certified letter from the Business’s insurance company(s) verifying the EMR Photocopy of the Business’s EMR calculation sheets for the last three (3) rating years Photocopy of the Business’s insurance policy identifying the modification rate and coverage

period for the last three (3) years 3. Is the Business self-insured for Worker’s Compensation? Yes No 4. Provide the following information about the Business’s OSHA recordable, reportable, and non-

reportable incidents and inspection reports for the last three (3) years, and submit it with this questionnaire:

a. Copies of the Business’s OSHA Form 200/300 or state equivalent reporting form. b. Number of violations issued by the Department of Labor (OSHA), an explanation of violation

type (e.g., willful, serious, de minims, repeat, etc.), penalty assessed, status, and measures taken to prevent incident(s) from recurring. _______________________________________ ________________________________________________________________________ ________________________________________________________________________

c. Approximate number of “non-reportable” first aid/one time treatment injuries or incidents. ________________________________________________________________________



5. For the last three (3) years, provide the approximate number of incidents, e.g., injuries, fatalities,

and vehicle accidents involving subcontractor employees while operating on projects the Business managed. ___________________________________________________________

6. For the last three (3) years, provide the total number of citations/violations issued by any other

federal, state and/or municipal authority including, but not limited to, the Texas Commission on Environmental Quality (TCEQ), Texas Worker’s Compensation Commission (TWCC), City of Dallas, etc. Provide violation date(s), a brief explanation and current status of each violation (attach additional pages as necessary).

___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________

7. Provide brief synopsis of the Business’s safety education and training programs, safety incentive

programs, modified duties and return to work programs, corporate safety team compositions and hierarchy (use additional pages as necessary). _____________________________________

___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________

8. If the Business has performed work involved with or immediately adjacent to active railroad

systems within the last three (3) years, provide (or submit, as applicable) the following information, if not otherwise requested elsewhere in this questionnaire.

a. Name of governing railroad, location, and type of work performed. ____________________

________________________________________________________________________ ________________________________________________________________________

b. Detailed explanation of any accidents/incidents that affected rail movement/operations, involved injuries to railroad employees, or damage to facilities and/or equipment.

________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________

c. Current copy of the Business’s safety programs/plans directly related to work on or around railroads, e.g., “On-Track” safety programs/plans, Roadway Worker Protection (RWP) program, etc.

d. Total number of Federal Railroad Administration (FRA) citations issued. Provide violation date(s), a brief explanation, current status of each violation, and measures taken to prevent incident(s) from recurring. ____________________________________________________ ________________________________________________________________________ ________________________________________________________________________ ________________________________________________________________________

I, individually and on behalf of the business named in this Business Questionnaire, do by my signature below, certify that the information provided in this questionnaire is true and correct. I understand that any false statements or misrepresentations regarding the Business named above may result in: 1) termination of any or all contracts which DART has or may have with the Business; 2) disqualification of the Business from consideration for contracts; 3) removal of the Business from DART’s bidders’ list; or/and 4) legal action(s) applicable under federal, state or local law. Printed Name: Title: _____________________________ Signature: Date: (Owner, CEO, President, Majority Stockholder, or Designated Representative)



LIST OF REFERENCES FOR SIMILAR PROJECTS

Use additional pages as necessary. 1. Project: Date of Completion (if applicable): Contact Person: Company Name: Address: Telephone Number: Fax Number: E-mail Address:

2. Project: Date of Completion (if applicable): Contact Person: Company Name: Address: Telephone Number: Fax Number: E-mail Address:





Dallas Area Rapid Transit

AUTHORIZATION FOR RELEASE OF FINANCIAL INFORMATION This authorization will be used to obtain information to assist DART in determining a potential contractor’s financial responsibility. Your signature authorizes the release of financial information to the DART Procurement Department for this purpose. All information must be current and traceable. Each venturer of joint venture must submit a separate signed form. This authorization form shall be submitted in accordance with the applicable provision(s) in Exhibit B, or as otherwise requested. DART reserves the right to make additional inquiries based on information submitted, or the lack thereof. Name of Bank/Financial Institution Account Number ________________________________________ __________________________________ Address Account Type: e.g., Savings, Checking, Other (Identify) ________________________________________ City, State, Zip Code ________________________________________ Name of Bank Officer Familiar with the Account ________________ Telephone Fax E-mail Address ____ Name of Business Address City State Zip Code I, individually and on behalf of the business named above, do by my signature below, certify that the information provided is true and correct, and authorize the release of financial information for verification of financial responsibility. I understand that any false statements or misrepresentations regarding the Business named above may result in: 1) termination of any or all contracts which DART has or may have with the Business; 2) disqualification of the Business from consideration for contracts; 3) removal of the Business from DART’s bidders list; or/and 4) legal action(s) applicable under federal, state, or local law. Name: __ Title: ____________________________ __ Signature: ____ ______ Date: _________________ (Owner, CEO, President, Majority Stockholder, or Designated Representative)

B-1020513


EXHIBIT M

CONSTRUCTION SAFETY and SECURITY PROGRAM

CONSTRUCTION

SAFETY AND SECURITY PROGRAM

AR5Y-007-00-0311

March 2011

CONSTRUCTION SAFETY AND SECURITY PROGRAM

DART Construction Safety and Security Program

Revision History

As of March 2011

Revision Revision Date Description of Changes Document Number Number

0 March-11 Initial Issue, Rev 0, Dated 03/2011 AR5Y-007-00-0311

Page 1 of 85

TABLE OF CONTENTS

1.0 CONSTRUCTION SAFETY AND SECURITY PROGRAM 3

1.1 PROGRAM OBJECTIVES 3

1.2 DRUG FREE WORKPLACE 3

1.3 SAFETY AND SECURITY RESPONSIBILITIES 4

1.3.1 DART, DIRECTOR, QA AND CONSTRUCTION SAFETY 4

1.3.2 DART, RISK MANAGEMENT DIVISION (DRMD) 4

1.3.3 DART, CONSTRUCTION SAFETY MANAGER (CSM) 5

1.3.4 RESIDENT CONSTRUCTION MANAGER (RCM) OR CONTRACTING OFFICERS REPRESENTATIVE (COR) 6

1.3.5 PRIME/GENERAL CONTRACTOR 7

1.3.6 CONTRACTORS PROJECT MANAGER (PM) 8 1.3.7 CONTRACTORS SAFETY SUPERVISOR (CSS) – SEE APPLICABLE APPENDIX (ADDED) 9

1.3.8 CONTRACTOR AND SUBCONTRACTOR TRAINING 9

1.3.9 JOB FOREMEN 9

1.3.10 INSURANCE ADMINISTRATORS - SEE APPLICABLE APPENDIX (ADDED) 10

1.3.11 INSURERS - SEE APPLICABLE APPENDIX (ADDED) 10

1.3.12 CONSTRUCTION SAFETY AND SECURITY ADVISORY (CSSA) COMMITTEE 10

2.0 SAFETY AND SECURITY REQUIREMENTS 11

2.1 GENERAL SAFETY PROVISIONS 11

2.2 WORK PREPARATION 12

2.3 CONTRACTOR PERSONNEL REQUIREMENTS 13

2.4 CONSTRUCTION SITE SECURITY PROGRAM 14

2.4.2 PERSONNEL SECURITY PROGRAM – SEE APPLICABLE APPENDIX (ADDED) 15

2.5 TRENCHES, EXCAVATIONS AND STOCKPILED MATERIALS 15


Page 2 of 85

2.6 CRANES 16

2.7 MOTOR VEHICLE OPERATIONS 18 2.8 RAILROAD/LRT “ON-TRACK” SAFETY REQUIREMENTS 19

2.9 FALL PROTECTION AND SCAFFOLDING SYSTEMS 22

2.10 REPORTING ACCIDENTS /INCIDENT AND OTHER HAZARDS 23

2.11 PROTECTION OF THE PUBLIC AND PROPERTY 25

2.12 SAFETY GUIDELINES FOR AUTHORITY TOURS 26

2.13 NONCOMPLIANCE 27

2.14 DRUG FREE WORKPLACE PROGRAM (WITH 28

DRUG-FREE WORKPLACE PROGRAM CERTIFICATION) 31 APPENDICES APPENDIX A: CAPITAL “LRT/MAJOR” PROJECTS (OCIP) 32 APPENDIX B: CAPITAL “NON-LRT” PROJECTS (NON-OCIP) 40 APPENDIX C: MISCELLAENOUS “LRT” PROJECTS (OCIP) 45 APPENDIX D: MISCELLAENOUS “LRT” PROJECTS (NON-OCIP) 52 APPENDIX E: MISCELLAENOUS “NON-LRT” PROJECTS (NON-OCIP) 56 APPENDIX F: TRINITY RAILWAY EXPRESS (TRE) PROJECTS (OCIP) 60 (WITH ATTACHMENT - TRE “CONTRACTOR SAFETY BRIEFING GUIDELINES”) APPENDIX G: TRINITY RAILWAY EXPRESS (TRE) PROJECTS (NON-OCIP) 73 (WITH ATTACHMENT - TRE “CONTRACTOR SAFETY BRIEFING GUIDELINES”) ACRONYMS – DEFINTIONS 82 • Definition: Owner Controlled Insurance Program (OCIP)


Page 3 of 85

1.0 CONSTRUCTION SAFETY AND SECURITY PROGRAM 1.1 PROGRAM OBJECTIVES The Construction Safety and Security Program is established by the Dallas Area Rapid Transit (DART), (may also be referred to as the “Authority”) and/or Trinity Railway Express (TRE) to promote safety, security and to mitigate and control hazards and risks associated with the construction of Capital Development Program projects and all other construction, repair, maintenance, and related services required by the Authority. Project specific Construction Safety and Security Program goals are as follows: (1) Prevent personal injuries and property damage

(2) Achieve greater efficiency

(3) Reduce direct and indirect mishap related costs

(4) Provide safe and secure work environment

The effectiveness of the Construction Safety and Security Program depends upon active participation, cooperation, and adherence of contractor’s (and sub-contractors) project managers, superintendents, supervisors, employees and direct coordination with the Authority in carrying out the following basic procedures: (1) Plan all work to prevent personal injury, property damage, and loss of productive time;

(2) Comply with federal, state and local laws, ordinances, regulations, industry consensus standards; and Authority regulations, policies and requirements;

(3) Maintain a system of prompt detection and correction/abatement of unsafe and unhealthy practices and conditions;

(4) Establish and conduct an educational program to stimulate and maintain the interest and

cooperation of all employees through safety meetings and safety training programs. (5) Proper utilization of Personal Protective Equipment (PPE) and applicable safety

equipment/devices. (6) Prompt notification and investigation of all accidents or claims to determine causes and

take necessary corrective action.

(7) Employ capable/competent personnel and develop processes for providing safe and secure working environments for construction work force, management facilities, the affected public, private businesses and their properties.

(8) Employ a comprehensive security program encompassing personnel, facility, and site

management in conjunction with emergency planning and response procedures. 1.2 DRUG FREE WORKPLACE A key element of this Construction Safety and Security Program is DART’s Drug Free Workplace Program (See Section 2.14). Each Contractor shall develop a program of testing, education, notices, disciplinary actions and recordkeeping, which meets DART criteria.


Page 4 of 85

(1) In Section 2.14, para a (3) of the Drug-Free Workplace Program: The phrase employees who are to perform a safety sensitive task; means every employee assigned to the project.

(2) In Section 2.14, para a (3) of the Drug-Free Workplace Program: The phrase “prior to

assignment to a DART construction project” is defined as not exceed ten (10) calendar days preceding initial assignment.

(3) Drug-Free Workplace Program Certification (Section 2.14): Contractor certifies that all

employees and all subcontractor employees performing any work under contract governed by this program will conform to all provisions of the program. See “Appendix A, entitled “Drug-Free Workplace Program.”

(4) Contractor shall provide written pre-employment and post accident testing verification.

Written document/verification shall contain individual name(s), testing laboratory, Specimen ID number and date of test. Information shall be provided to DART Construction Safety Manager (CSM) within three (3) business days (if applicable). Note: Individuals testing positive at any time i.e., pre-employment, random or post accident shall not be permitted nor allowed to remain on the project site of any Authority construction project. Note: DART does not sanction nor permit any return to work policies/programs, etc.

1.3 SAFETY AND SECURITY RESPONSIBILITIES 1.3.1 DART, Director, Quality Assurance (QA) and Construction Safety The Director of QA and Construction Safety has the primary responsibility for ensuring implementation of, and compliance with, the DART’s Construction Safety and Security Program. The incumbent supervises the DART, Sr. Manager Construction Safety, who provides overall administrative and enforcement aspects of both the Contractor’s occupational safety and health programs and DART policies which include:

(1) Implementation of acceptable policies, work practices, and standards to promote the goals of the safety and security program.

(2) Strict compliance with existing federal, state and municipal statutory and regulatory

safety and health laws, standards, codes, regulations, etc. 1.3.2 DART, Risk Management Division (DRMD) The DART Risk Management Division will advise and support all DART Divisions, Consultants, Contractors, Insurers and the Insurance Administrators in the areas of Loss Control, Safety and Insurance. Either the Risk Manager or his/her representative will perform the following:

(1) Review and evaluate all exposures of potential loss and monitor safety performance and enforcement of safety standards of all operations within and under contract to the DART i.e., review and evaluations to include personnel safety, liability exposure, public safety, emergency planning, fire protection, and other related areas;

(2) Coordinate and maintain regular communication with all parties involved in safety and

loss control efforts provided by DART, Consultants, Insurers, and the Insurance Administrators involved in management of projects or other contracts;


Page 5 of 85

(3) Analyze loss trends prepare safety and loss control reports, including analysis of accident frequency, severity and causes. Provide recommendations to increase effectiveness of the DART’s Construction Safety Program; and

(4) Review contractor’s safety plans and programs, descriptions of the hazards peculiar to

their work, and their nominees for the contractor’s Safety Supervisor position as required by the contract.

1.3.3. DART, Construction Safety Managers The DART Construction Safety personnel report to the Director of QA and Construction Safety and are responsible for development, implementation, administration, enforcement, and coordination of the DART’s construction safety policies, security requirements and recognized statutory and regulatory programs and requirements. The duties include, but are not limited to:

(1) Participating in preparing construction safety and security plans, program and procedures;

(2) Administering the DARTs Construction Safety and Security Program by conducting

accident prevention assessments, site surveys/inspections, and making recommendations as required;

(3) Conducting studies on construction safety and security issues and reviewing construction

activities from a safety management perspective;

(4) Providing technical support and direction to Contracting Officers Representative (COR) and/or Resident Construction Manager (RCM) on occupational safety and health matters;

(5) Reviewing and approving contractors submittals of Contractor’s Project Safety and

Security Plans and Programs;

(6) Interviewing and approving contractor’s nominees for Constructors Safety Supervisor (as specified by contract);

(7) Reviewing codes, guidelines and regulations to identify construction safety engineering

requirements, and recommending change requests to baseline documents;

(8) Accompanying federal, state and municipal safety inspectors during worksite inspections, visits, investigations, etc.;

(9) Stopping any construction site activity when, in his/her opinion, such stoppage is

warranted for the protection of life and/or property;

(10) Require the immediate removal from Authority property of any employee/individual or equipment deemed unsafe, unhealthy or objectionable;

(11) Providing safety training for appropriate DART staff and contractor employees for

adhering to safety regulations, policies and, procedures, etc.

(12) Recommending reasonable corrective/abatement action when unsafe and/or unhealthy working conditions are detected or identified;


Page 6 of 85

(13) Reviewing and evaluating exposures of potential loss and monitor safety performance, compliance and enforcement of published statutory/regulatory safety laws, standards, and, DART safety programs, policies and procedures;

(14) Notifying COR, RCM, contractor, DRMD and others as appropriate, of serious incidents,

and/or violations regarding non-compliance with prescribed occupational safety and health requirements; and

(15) Participating in meetings with bidders (such as pre-proposal, pre-award and pre-

construction conferences) to outline and explain the Construction Safety Program and other safety and security related aspects of the contracts as appropriate.

1.3.4 Resident Construction Manager (RCM) / Contracting Officers Representative (COR) Responsible for day-to-day monitoring of contractor’s application of safety, security and accident prevention procedures and policies for all activities and personnel working at the construction sites, including the Authority, Consultants, Subcontractors, visitors, and material or equipment suppliers, and will perform the following:

(1) Stop construction activities when stoppage is warranted for protection of life and/or property;

(2) Ensure that contractor provides effective safety and security enforcement on the project.

Management all reports, documents and correspondence between DART safety officials and Contractors.

(3) Notify contractor when unsafe working conditions are detected (i.e., lack of good

housekeeping practices, use of equipment in obviously poor condition, failure to adhere to statutory construction regulations, etc.);

(4) Correct first-time infringement by immediate verbal referral of the incident to the

contractor; (5) Notify the Contractor, CSM, and DRMD as applicable, in writing, of noncompliance with

any of the safety and security requirements contained in the contract documents or Construction Safety Program;

(6) Maintain written documentation of communications with the Contractor’s Safety

Supervisor concerning accident prevention to preclude any misunderstandings even though it is recognized that many potential hazards will be promptly corrected by oral communication;

(7) Review copies of the Contractor’s Daily Reports, Equipment Maintenance Log, Accident

Reports, and other forms/logs as they apply. These reports are to be monitored in a timely manner to ensure that the contractor takes prompt action to correct safety deficiencies. Provide copies of records, forms and logs to the CSM or DRMD upon request, and;

(8) Require the immediate removal from DART property of any employee/individual or

piece of equipment deemed unsafe, unhealthy or objectionable.


Page 7 of 85

1.3.5 Prime/General Contractor THE PRIME CONTRACTOR IS RESPONSIBLE FOR ACCIDENT PREVENTION AND JOB SITE SAFETY AND SECURITY. Safety management and enforcement shall be administered by an employee (direct hire) of the prime/general contractor. This responsibility shall not be delegated nor contracted out to subcontractors, suppliers, consultant service/company, or any other persons/agency without written approval from DART. In compliance with these provisions, the Prime Contractor shall perform the following:

(1) Stop construction activity when, such stoppage is warranted for the protection of life and/or property;

(2) Plan and execute all work is in compliance with the stated objectives and safety

requirements contained in the DART’s Safety and Security Program, Contractor’s Safety Plan, contract provisions; federal, state and local laws, regulations; and industry consensus standards;

(3) Within ten (10) working days following receipt of formal Notice-to-Proceed (NTP),

develop and submit, in writing, a Contractor’s (site specific) Safety and Security Plan to the RCM/COR. Documents shall be reviewed and approved by CSM. Delays in submitting and obtaining final approval shall not constitute grounds for a contract schedule extension or delay claim. Note: Contractor shall not be authorized to proceed with any on-site activities i.e., Mobilization, surveying, excavations, etc. until this plan is approved by DART CSM. Along with contractors site-specific safety plan, include two (2) copies of Company’s Corporate Safety Plan, not for review but for reference use by the DART;

(4) Submit a résumé of experience and qualifications for the proposed Contractor’s Safety

Supervisor to Resident Construction Manager/Contracting Officers Representative. Résumé’s will be reviewed by CSM, and when applicable DRMD and Insurance Administrator. A personal interview shall be required. Only a qualified individual shall be approved as Contractor’s Safety Supervisor;

(5) Ensure the project Construction Safety Supervisor has no other assigned duties or

responsibilities e.g., Environmental Compliance, Quality Control/Assurance, Etc., unless approved (in writing) by Authority Construction Safety management officials;

(6) Ensure compliance by all subcontractors and visitors with contractors with DART safety

and security plans and programs;

(7) Immediately notify CSM and RCM/COR if an inspector/official from any governmental agency arrives at the job site for a formal inspection;

(8) Ensure that when conflicts occur between Contractor’s Safety Program and DART’s

Safety program the policy, procedure, actions, etc., that are more stringent will be complied with;

(9) Ensure all subcontractors, suppliers, etc. are provided with a copy of this Construction

Safety and Security Program and Contractors Safety Plan (site-specific) and are properly informed of their obligations with regards to compliance;


Page 8 of 85

(10) Develop, administer and properly conduct all applicable statutory, safety education/training programs mandated by US. Dept. of Labor (OSHA);

(11) Provide contractor’s Safety Supervisor with a Cellular Telephone that provides direct and

immediate contact with Authority Safety Personnel; (12) Develop a comprehensive “Return to Work” program. Duties shall be identified which

provide suitable work activities and/or environment to permit injured individuals to return to work who have been identified by “Competent Medical Authority” as being able to return to work in a modified, limited, or restricted status/condition;

(13) Develop a Disciplinary Action Plan/Program when any employee commits an unsafe

act(s), causes damage to property/equipment and/or fails to comply with contractual safety and security procedures/requirements. A pre-determined series of punitive actions ranging from simple verbal reprimand to permanent removal from the project will be established. This information shall be provided to all employees during initial orientation/training, properly posted and reiterated during subsequent safety meetings and training sessions; and

(14) Maintain a current listing of OSHA defined “Competent Persons” for those tasks e.g.,

excavation, scaffolding, etc., which are being conducted on the project. Competent Person certifications shall be provided to DART upon demand. Activities that require “Competent Persons” shall be immediately halted/terminated if no ‘Competent” person is readily available or applicable OSHA standard not adhered to.

(15) Develop and provide proper responses when applicable e.g., Mishap Reports and

Investigations, Site Assessments and Inspections, and other correspondence and requests.

Contractor developed plans/program(s) shall be classified as formal submittals and will be reviewed and approved by CSM, DRMD and other applicable Authority agents. Example(s) of such OSHA mandated plans/programs are shown below. Fall Protection Plan Confined Space Entry Scaffold Safety Program Fire Protection Plan Trench Safety Plan Ladder Safety Training Respiratory Protection Plan Hazard Communication Program Note: DART reserves the right to audit (upon demand) contractor plans and training attendance records. 1.3.6 Contractor’s Project Manager (PM) The PM will ensure compliance with all provisions of the contract, including the DART’s Construction Safety Program, OSHA, and other agency and industry safety requirements and standards. Additional duties of the Project Manager shall include the following:

(1) Review and direct immediate action to correct all substandard safety and security conditions brought to his/her attention;

(2) Take an active part in all supervisory safety meetings, including the discussion of

observed unsafe work practices and corrective actions, and encouragement of safety and security suggestions from employees;


Page 9 of 85

(3) Ensure that a job-site “Safety Bulletin Board” is established and maintained to include all legally required postings and relevant safety posters/information; and

(4) Cooperate with Authority, Consultants and safety representatives of the Insurance

Administrators or the Insurers.

1.3.7 Construction Safety Supervisor (CSS): Refer to contract “Special Provisions” for determining project specifications for this position. See applicable APPENDIX for requirements.

1.3.8 Contractor and Subcontractor Training As required by Federal OSHA regulations, each contractor and subcontractor shall provide training for their employees and properly train employees prior to being assigned tasks that are unfamiliar. They shall be responsible for development, implementation and management of all OSHA required training programs e.g. fall protection, PPE, ladders, etc. Safety Supervisor shall monitor for compliance and assist as warranted. Listed below, but not limited to, are areas which training is required by Federal OSHA.

(1) The recognition and avoidance of unsafe conditions, the regulations applicable to their work environment regarding the safe handling and use of poisons, caustics, and other harmful substances when the employee is required to handle or use them.

(2) The employee will be made aware of the potential hazards, personal hygiene and personal

protective measures required.

(3) Employees required to physically handling or use flammable gases liquids or toxic materials shall be instructed in safe handling of these materials.

(4) Employees required to enter confined or enclosed spaces should be instructed as to the

nature of the hazards involved, the necessary precautions to be taken, and the use of protective and emergency equipment required.

(5) All employees are to be trained in the recognition, selection, and use of proper fire

extinguishers to be used in the event of fire. (6) Employees who are exposed to harmful dusts, mists, vapors or gases shall be trained in

the selection, care, use and maintenance of respirators. (7) Safe use and daily inspection of ladders and scaffolds. (8) Obtain from employer documentation/records to reflect training accomplishment i.e., Fall

Protection, Scaffolding, Confined Space Entry, etc. Provide to Authority upon demand.

(9) Employees required to use powder-actuated tools are to be trained and certified on their use, maintenance. Repairs shall be in accordance with state, federal and local laws.

1.3.9 Job Foreman The Contractor’s Job Foremen is an integral component of an effective safety program, and the amount of effort they put into accident prevention on their daily assignments will be reflected in the Project accident records. Responsibilities of the Job Foreman shall include the following:


Page 10 of 85

(1) Instructing personnel under their supervision in safe work practices and work methods at the time employees are given work assignments;

(2) Ensuring that their employees have and use the proper personal protective equipment and

suitable tools for the job; (3) Continuous monitoring to ensure that no unsafe practices or conditions are allowed to exist

on the job sites; (4) Correcting and reporting immediately to the Job Superintendent any unsafe conditions,

practices or violations of job security; (5) Assist in and/or complete formal investigation of all accidents and taking corrective actions

to prevent recurrence; (6) Holding weekly “tool box” safety meetings with work crews to (a) discuss any observed

unsafe work practices or conditions, (b) review the accident experience of the crew and discuss corrective action to prevent future accidents, and (c) encourage safety suggestions from the employees and report their recommendations to the Contractors Safety Supervisor;

(7) Ensuring that appropriate first-aid, medical treatment is promptly provided and administered

to injured employees; and (8) Directing stoppage of construction activities when such stoppage is warranted for protection

of life and/or property.

1.3.10 Insurance Administrators – Refer to contract “Special Provisions” for determining project specifications for this function. See applicable Appendix (Added)

1.3.11 Insurers - Refer to contract “Special Provisions” for determining project specifications for this position. See applicable Appendix (Added)

1.3.12 Construction Safety and Security Advisory Committee The Authority’s Construction Safety and Security Advisory Committee shall:

(1) Provide coordination, formal training, leadership and direction for the Construction Safety and Security Program;

(2) Monitor the management of the Construction Safety and Security Program to ensure that the

program is maintained and enforced by all responsible personnel; The Committee shall meet monthly, or specified by the Chairperson. Members may request Chairperson to call a meeting when the need arises. Minimum membership of Committee is project related personnel including the following: DART Construction Safety Manager Insurance Administrators Safety Consultant Insurers Loss Control Representative DART Director of QA and Construction Safety DART Senior Manager, OCIP Programs General Engineering Consultant (GEC) Systems Consultant(s) (SDC & SIC) Contractors Project Manager/Superintendent Contractors Safety Supervisors/Representative Resident Construction Manager (RCM) Contracting Officers Representative (COR) DART, Police


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2.0 SAFETY AND SECURITY REQUIREMENTS 2.1 GENERAL SAFETY PROVISIONS 2.1.1 The Contractor shall protect the health and safety of its employees, subcontractors, suppliers,

Authority, the public and other persons, and prevent damage to property, materials, supplies, and equipment. Listed below are minimum requirements that the Contractor must achieve.

(1) Compliance with all federal, state and local safety laws and regulations and industry

standards including, but not limited to, the application of Regulations (29 CFR Part 1926 - Safety and Health Regulations for Construction; 29 CFR Part 1910 - Occupational Safety and Health Standards); the DART’s Construction Safety Program, Rail System Safety and Security Program, DART Rail Book of Rules (as developed), regulations and orders; and document as required. And shall enforce compliance of the foregoing by all contractors, subcontractors and suppliers at every tier;

(2) General Order and Housekeeping: Check storage of new and waste materials. Keep

walkway and traffic areas clear. The contractor or subcontractor shall be fully responsible for ensuring that it and its employees, lower-tier subcontractors, and other persons performing work at the work site, keep buildings, work areas, and adjoining premises free at all times from accumulations of all waste materials, rubbish, debris, broken concrete, and other scrap resulting from performance of work; prevent trash, water, snow, dirt, debris, or other transient materials from entering into or remaining in the construction and/or maintenance areas;

(3) Furthermore, Contractor shall not allow any material or equipment to obscure pavement

markings, pavement edges, or restricts visibility; (4) Use electrical tools, cords, appliances, etc., which comply with applicable OSHA and the

National Electrical Code (NEC) standards; (5) Secure all material and equipment, such as lightweight construction materials, to prevent

displacement by high winds; (6) Conduct and maintain a “weekly” inspection log of temporary electrical service equipped

with Ground Fault Circuit Interrupters (G.F.C.I.). Note: The OSHA approved “Assured Grounding Program” may be used in conjunction with the utilization of G.F.C.I’s, but not in lieu of;

(7) Provide adequate and proper fencing, barricading, marking, and lighting of construction,

maintenance or other sections that are temporarily closed to normal use; (8) Inspect all ladders prior to use. Defective ladders must be immediately removed from

service. All ladders shall be constructed and utilized in accordance with current federal standards and manufacture requirements. Ladders (straight, extension & step) should not be used as working surfaces, except where 3-point contact with the ladder can be maintained. If ladders are to be used as workstations for performing tasks greater than 6 feet (or any height where the likelihood of a serious or fatal injury exists), then fall hazards must be evaluated and controlled. Where applicable; develop and implement the OSHA prescribed Ladder Safety Program;


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(9) Ensure no welding or cutting operations, which may provide an open flame or hot surface, are performed until the Contractor’s Safety Supervisor has been notified. The Contractor’s Safety Supervisor shall inspect any indoor area in which work is to be performed and determine that adequate fire and safety precautions have been taken;

(10) Properly secure compressed gas cylinders in upright position at all times. Valve caps shall

be in place when not in use. They shall be transported and stored in accordance with governing consensus/federal standards;

(11) Provide safety devices on all air compressors with hoses exceeding one and a half inch

inside diameter at the source of supply or branch line to reduce pressure in case of hose failure. Provide all compressed air hoses and line connectors with safety chains and/or safety pins. Additionally, ensure all guards are in place over exposed belt and/or chain driven pulleys;

(12) Control dust by using water trucks, sweeping and other methods as approved by the DART; (13) Train employees in accordance with Hazard Communication (HAZCOM) program and

ensure Material Safety Data Sheets (MSDS) and current chemical inventory list are current and readily available to all employees;

(14) Develop and utilize comprehensive Job Hazard Analysis (JHA) for all hazardous operations

prior to their commencement and discuss/train all applicable employees; (15) Implement any additional measures the RCM/COR, DRMD, CSM, determines to be

reasonably necessary to ensure project safety; (16) Contact Environmental Compliance if regulated/hazardous materials are encountered or

spilled during construction activities, and; (17) Chain slings shall not be authorized/permitted for any basic lifting operation. Chain type

slings are authorized/permitted for carrying and transporting material and equipment, limited to ground level only. Chain slings shall be inspected prior to each use and must be designed/rated for intended use.

2.1.2 The Contractor shall not receive additional payment or reimbursement for safety items and procedures which have been identified as required by the DART’s Construction Safety Program, DART Contracts, and all applicable laws, regulations and orders. 2.2 WORK PREPARATION The Contractor shall perform the following before commencing with any on-site construction activities. Contractors are not authorized to proceed with any job site activities, i.e., mobilization, surveying, excavation, etc. until the specified safety plans, programs and résumé of the Contractor’s Safety Supervisor are formally submitted and approved by applicable Authority agents.

(1) Submit résumé for proposed Contractor’s Safety Supervisor as required by the DART’s Construction Safety Program. Indicate work experience and qualifications (See applicable Appendix). Résumé’s for Contractor Safety Supervisor’s shall be reviewed and approved by DRMD, CSM and Insurance Administrators Safety Consultants.


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(2) Meet with CSM and Insurance Administrator Safety Consultant to discuss and develop a comprehensive, written, jobsite Contractor Safety Plan. Formal plan requires formal approval by applicable Authority safety personnel. The plan shall be submitted to the CSM for review and approval.

(3) Develop and submit a written Hazard Communication Program. The plan shall be submitted

to the CSM for review and approval. (4) Develop and submit a written Fire Prevention Plan referencing OSHA, and NFPA standards

to the RCM. The Plan, as a minimum shall address fire fighting system and locations, assembly locations, emergency vehicle access routes, hazardous/flammable chemicals/materials storage locations, etc. Plan shall be submitted to the CSM for review and approval.

(5) When applicable; develop and submit a written Site Traffic Control Plan. Plan shall contain

a project map highlighting employee parking locations, traffic control signs, entrance and exit locations, routes of travel, speed limits, barricades, lighting, fencing, etc. as appropriate. Plan shall be submitted to the CSM for review and approval.

(6) When applicable; develop and submit written Construction Project/Facility Security Plan.

The plan shall be submitted to the CSM and CEM/SEM for review and approval. (7) When applicable, develop and submit a written Railroad On-Track Safety Program to the

RCM/COR. The plan shall be submitted to the CSM for review and approval; (See item 2.8, Railroad/Light Rail Train (LRT) On-Track Safety Requirements).

(8) When applicable, provide approved Trench Safety Plans. Plans shall be submitted to CSM

for review prior to the start of any excavation type work. 2.3 Contractor Personnel Requirements It is the Authority’s desire to maintain a healthy and safe place to work. The Contractor and Subcontractor are responsible for training/orienting employees on specific safety rules that must be followed by all persons working on the project. Any individual employee found to be in violation of these safety rules or other DART policies or procedures is subject to immediate removal from the job site. Lists of minimum requirements are:

(1) Contractor shall be responsible for providing and requiring the use of required personal protective equipment (PPE) for its employees.

(2) Approved (current ANSI Z89.1) hard hats shall be worn at all times while on the construction

site. Hard hats shall be worn properly with bill forward unless the wearing of eye protection prevents this.

(3) Respirators, appropriate gloves, and hearing protection shall be worn when required.

(4) Serviceable pair of safety “Steeled Toed” work boots that meet current ANSI-Z41, Class 75

requirements made of leather or similar material shall be worn. Tennis shoes, sandals and other similar shoes are not permitted. Note: footwear must at a minimum cover the anklebone. Utilize “Metatarsal” guards/protection when operating equipment/machinery which have potential of impacting workers feet areas e.g., Jack-Hammering, Tamping, etc.


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(5) Approved eye protection shall be worn at all times while on the construction site. Approved eyewear shall consist of prescription or non-prescription safety glasses, with side shields (with or without tint), which meet current ANSI Z87.1 requirements. When operations grinds, saws, cuts, welds, works with chemicals/hazardous liquids, or any activity which produces flying debris, hips, sparks, dust etc., additional protection shall be utilized, such as goggles, face shields, etc.

(6) Full-length pants without excessive length or flared bottoms will be required. Shirts must

cover the entire mid-section and sleeves must cover the entire shoulder. Tank tops, mesh, muscleman, and half type shirts, etc., are not authorized for wear on-site.

(7) Long hair (to include ponytails) shall be contained under a hardhat or net.

(8) Gambling, fighting or horseplay shall not be tolerated. Offending personnel shall be

immediately dismissed and/or removed from their immediate project and all DART projects. (9) No employee shall possess, carry or transport any type of firearm or any other type of

inappropriate weapon onto DART property or projects.

(10) No employee shall possess, use, consume or be under the influence of a controlled Substance or alcohol while working on project site. (Reference to Drug-Free Workplace program for DART construction contracts Appendix A). Offending personnel shall be immediately removed from project.

(11) OSHA’s regulations on Personal Protective Equipment (PPE) require employers to “provide training to employees on identifying when such equipment is necessary, how to use the gear, and on proper care and maintenance of equipment”.

(12) No employee shall refuse to seek or obtain competent medical treatment following an injury

accident. Such refusal shall be sufficient grounds to warrant permanent removal from jobsite.

2.4 CONSTRUCTION SECURITY PROGRAM 2.4.1 Construction Site Security Program

(1) Contractor, in accordance with contract specifications, shall be responsible for development,

and management of overall project-wide security. This includes (but is not limited to) facilities, utility plants, equipment, materials, vehicles, employees, work-sites, etc., during the entire contract period.

(2) Contractor shall develop submittals. Submittals/plans shall identify proposed locations and

sizes of staging areas, offices, storage areas, security fencing, vehicle parking (project and employees), temporary lighting and fire protection. Plan elements shall address:

Positive measures taken to prevent entry into work sites, facilities and storage areas by

children, animals and unauthorized adults.

Requirements for placement of fences, signage, barricades etc., as necessary for maintaining public safety and security of the site.


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Providing (when warranted) contract security personnel for protection of facilities/offices, storage areas, protection of contractor employee, parking areas, etc.

Furnishing, installing and maintaining temporary lighting to afford proper illumination

in all appropriate areas i.e., parking areas, field offices, storage locations, etc.

• Developing and maintaining current emergency notification procedures for local Law Enforcement, EMS, Fire Departments and applicable Authority officials e.g., DART Police and Construction Management.

2.4.2 Personnel Security Program: (See applicable Appendix for specific requirements) 2.5 TRENCHES, EXCAVATIONS AND STOCKPILED MATERIALS OSHA Construction, Safety, Health and Fire protection Standards, defines a trench as a narrow excavation in which the depth is greater that the width, although the width is not greater than 15 feet. An excavation is any man-made cavity or depression in the earth’s surface. This can include excavations for anything from cellars to highways. Contractors and Subcontractors shall comply with 29 CFR 1926, Subpart P- Excavations. The following guidelines are required for all trenches, excavations, and stockpiled materials.

(1) All Trench Plans shall be formally submitted to the RCM/COR for review and reference prior to work in accordance with DART Specifications.

(2) All trench banks exceeding five feet (5 ft.) in depth shall be sloped or benched to the proper

angle of repose. If the angle of repose cannot be achieved, the trench shall be shored. All trenches less than five feet (5 ft.) in depth will be inspected daily by the Contractor’s Safety Supervisor and/or Contractors “Competent Person.”

(3) Open trenches, excavations, and stockpiled material at the construction site shall be

prominently marked with barricades as required and lighted during hours of restricted visibility and/or darkness. Fencing is required if a danger to visitors or the public exists.

(4) Barricades around open holes, trenches, drop-offs, etc. shall be weighted or secured to the

ground to prevent displacement by the weight of the heaviest vehicle operating in the area. Barricades shall be adequately secured to prevent any displacement by wind or any other weather related condition.

(5) Coverings for open trenches or excavations shall be of sufficient strength to support the

weight of the heaviest vehicle crossing over. (6) Materials and equipment shall be stored in approved areas when not in use and where they

will not constitute a hazard to the public or any other operations. Contractor shall inspect all construction and storage areas as often as necessary to be aware of conditions.

(7) Daily inspections of excavations, adjacent areas and protective systems shall be made by an

OSHA defined “Competent Person” for evidence of situations that could result in possible cave-in, indications of failure of protective systems, hazardous atmospheres or other hazards. Additionally, inspections shall be accomplished by a “Competent Person” following every rainstorm or other natural phenomena, which may increase or cause a hazardous or unsafe condition.


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2.6 CRANES 2.6.1 The Contractor shall maintain a copy of the current Safety Inspection Certificate for each crane and boom mounted type vehicle brought onto the jobsite. If six (6) months has elapsed since last annual inspection, the crane shall be re-inspected by either a master mechanic or certified manufacturer’s representative. A crane-lifting test shall be performed in the presence of the Contractor’s Safety Supervisor prior to the start of lifting operations. Lift test shall consist of lifting 110% of proposed lift. General/Prime Contractor will maintain documentation reflecting test activity, dates, results, etc., until contract completion. CSS shall maintain written documentation/record of Lift Tests to verify completion. 2.6.2 Critical Lift definition: A non-routine (Critical) crane lift that requires detail planning and additional or unusual safety precautions. Critical lifts include lifts made when the load weight exceeds 75% of the rated capacity of the crane; multiple crane lifts; lifts that require the load to be lifted, swung, or placed out of the operator’s view; or lifts made with more than one crane; lifts involving non-routine or technically difficult rigging arrangement; hoisting personnel with a crane or derrick; or any lift that the lift or crane operator believe should be considered critical. Critical Lift Plans: Prior to making a critical lift, a critical lift plan shall be prepared by crane operator, lift supervisor, and rigger. The plan shall be documented and provided to the CSM. The plan shall be reviewed and signed by all personnel involved with the lift. The plan shall specify the exact size and weight of the load to be lifted as well as all crane and rigging components, which add to the weight. The plan shall specify the lift geometry and procedures, including the crane position, height of the lift, the load radius, and the boom length and angle, for the entire range of the lift. The plan shall designate the crane operator, lift supervisor and rigger and state their qualifications. The plan shall include; a rigging plan, which shows the lift points and describes rigging procedures and hardware requirements, describe the ground conditions, outrigger or crawler track requirements, and if necessary, the design of mats, necessary to achieve a level, stable foundation of sufficient bearing capacity for the lift. For floating cranes or derricks, the plan shall describe the operating base (platform) condition. Additional items to be included and management of Lift Plans: (1) Formal lift plans shall be transmitted to CSM (for review purposes only) no later than twenty-one (21) days prior to scheduled lift.

(2) The plan will specify coordination and communication requirements for the lift operation.

(3) For tandem or tailing crane lifts, the plan will specify the make and model of the cranes, the line, boom, and swing speeds, and requirements for an equalizer beam.

(4) The plan will list environmental conditions under which lift operations are to be stopped (5) Contractors whose activities require the use of cranes shall be responsible for their proper

set up and operation and shall advise DART prior to cranes arrival on-site. (6) Include traffic management/control plans e.g., detour plans, parking/staging plans, and

coordination documents with affected franchise utilities, local governments, etc.


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2.6.3 INSPECTIONS Prior to initial usage on DART property, contractors shall provide to DART, evidence of inspection by an “independent” third (3rd) party inspection agency not under the control or ownership of the crane and who is certified by the U.S. Department of Labor, OSHA. 2.6.4 DAILY INSPECTIONS Inspections shall be performed by a individual designated by the contractor in accordance with the manufacture’s recommendation and applicable standard for the type of crane being inspected and most current version. 2.6.5 OPERATIONS If one year has elapsed or if the crane or its associated rigging has sustained any incident, which may have resulted in damage, the crane and its associated rigging shall be fully re-inspected with proof of inspection provided to DART. This certification will be for each crane lifting device and associated rigging equipment brought onto site. NOTE: No work shall proceed without evidence of a current annual inspection meeting DART requirements. No claims will be accepted for losses sustained by the contractor for delays caused by failure to comply with these requirements.

(1) The operator shall inspect Cranes and other powered lifting devices, after set up and prior to initial lift, and before each shift.

(2) After every malfunction 2.6.6 All records pertaining to inspections shall be kept with the vehicle or in the prime contractors’ site office. If during any safety inspection, the operator or supervisor cannot produce the required safety inspection document, the equipment shall be shut down until it has passed inspection. 2.6.7 Aerial Lifts and Mobile cranes (boom trucks, rubber tire cranes, etc.) shall not be operated without a “Ground Safety Person” present at all times to give operator directions, direct other traffic, provide proper surveillance, and ensure that minimum vertical and horizontal clearances are maintained. 2.6.8 Lighting, flagging, raising and lowering of crane booms shall be done in accordance with safe policies and procedures. 2.6.9 All sling and crane load line hooks shall have safety latches, installed or shall be moused. (This does not apply to specialty slings and hooks, such as storing or shake out slings or self-adjusting pipe slings). Specialty slings and hooks shall not be used to set steel or move materials over workers. Chain slings are not permitted to be used for any lifting operation. 2.6.10 No person shall operate a crane until his or her qualifications have been reviewed and approved by Contractor’s Safety Supervisor. A copy of the approval shall be kept in the job files. Operators and support personnel shall wear prescribed personal protective equipment (PPE) while physically operating on DART construction site. 2.6.11 All cranes and equipment operated near electrical equipment and/or overhead or below-grade electrical power lines shall comply with all federal, state and local laws.


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2.6.12 All required audio/visual warning devices shall be operational at all times the equipment is in use. 2.6.13 Chain slings shall not be authorized/permitted for any basic lifting operation. Chain type slings are authorized/permitted for carrying and transporting material and equipment, limited to ground level only. Chain slings shall be inspected prior to each use and must be designed/rated for intended use 2.7 MOTOR VEHICLE OPERATIONS 2.7.1 Each Contractor/Subcontractor or supplier employee operating/driving motor vehicles on DART projects shall have a valid driver’s license with appropriate vehicle classification and each motor vehicle shall display the required annual safety and emissions inspection stickers. 2.7.2 Only properly identified company vehicles with valid proof of proper insurance shall be allowed in project work area. Vehicles shall have required identification properly displayed on each side of vehicle. Markings can be either decal, magnetic or painted on vehicle. All vehicles must be properly insured, and documentation available upon request. Signs shall be sufficient size to be readable from 100 ft. At a minimum, vehicle signs shall contain:

• Company Name • Company Address • Local Company Telephone Number

2.7.3 The Contractor will furnish/utilize qualified traffic Flaggers as necessary to control the work traffic, unless otherwise directed. Flaggers shall wear appropriate personal protective equipment (PPE) i.e., hard-hat, reflectorized vest, safety glasses with fixed side shields and steel toed boots. 2.7.4 No vehicle or equipment operator shall dismount any equipment without first turning off engine and/or securing the equipment from movement, and donning the prescribed personal protective equipment (PPE) i.e., hard hat, safety glasses with side shields and steel toed safety boots. 2.7.5 All vehicles with obstructed view to the rear and all other vehicles as required by law shall be equipped with a functioning back-up alarm. 2.7.6 Employee vehicle and/or equipment parking shall be as designated in approved parking locations only. Illegally parked vehicles/equipment is subject to removal/towed. The Authority shall not assume any costs respective of towing fees, vehicle damage and/or any costs associated with this action 2.7.7 All construction equipment windshields and side windows shall be clean and unbroken. Safety equipment such as head, tail, brake, and clearance lights, etc., shall be kept clean and tested daily, or at the beginning of each shift. 2.7.8 All operators of construction equipment shall be properly trained and certified by a “competent” person. Copies of certifications shall be maintained on project site and available upon request. 2.7.9 Vehicle used to transport personnel shall have the seat firmly secured and adequate for the number of individuals to be carried. All passengers shall be properly seated utilizing a manufactured installed restraining device. Standing or kneeling in/or on moving vehicles is prohibited. 2.7.10 Heavy equipment with rotating superstructure such as backhoes and power shovels shall be guarded in such a manner that rotation of the superstructure shall not present danger to pedestrians, equipment; employees’s or infringe into any traffic lane and any active rail tracks.


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2.7.11 Access to the construction sites and haul roads shall be as is accordance with contract documents. 2.8 RAILROAD / LIGHT RAIL TRANSIT (LRT) “ON-TRACK” SAFETY REQUIREMENTS 2.8.1 When Applicable; Contractor and all subcontractors will abide with and be governed by all federal, state and municipal governmental entities having jurisdiction, public laws, ordinances, railroad regulations, policies and operating rules established by any railroad or other applicable railroad regulating bodies. 2.8.2 Contractor shall develop a written formal “On-Track” safety plan in accordance with Federal Railroad Administration (FRA) or DART LRT Operations (Track Allocations) requirements as applicable. Plan shall address construction activities conducted adjacent to or located physically on active railroad systems. The plan must define work assignments, personal protective equipment (PPE), emergency response actions and on-track protection procedures when construction activities and/or employees are expected to encroach or foul active railroad track lines (consult to 49 CFR Subpart 214, for commercial railroad terms, definitions and procedures.) Plan must be formally reviewed and approved by applicable Authority representatives prior to commencement of any jobsite construction activities. The “On-Track” safety plan/program at a minimum shall address the following:

(1) Formal designation of “Employee-in-Charge” (EIC) or railroad provided “Flagger” who will conduct mandatory job (work group) pre-briefings;

(2) Procedures to be followed for notifying railroad officials of work locations, work group

size, track obstructions and affected start and stop times;

(3) On-track protection procedures to be implemented i.e., Flaggers, alerting systems limits of work area, emergency response actions e.g., telephones, medical equipment, fire/rescue access locations, derailing devices/locations, etc., and;

(4) Minimum PPE requirements e.g., hard hat, safety glasses (with fixed side shields),

reflective vest (orange), “Steel Toed” work boots, trousers (full length), and sleeved type shirt. Tank top, muscleman, and half type shirts shall not be permitted.

2.8.3 Derails with fixed staffs and placards/signs (Red) shall be properly installed on LRT tracks to protect workers from being struck by rail-mounted equipment. Derails shall be properly locked while affixed/attached to rails. (NOTE: The use of derails must be coordinated and approved during Track Allocation meeting). 2.8.4 Derails with fixed staffs and placards/signs (Red) shall be properly installed (as directed during Track Allocation) on all LRT tracks to prevent the accidental or unauthorized traveling or entry of any rail-mounted equipment into or through any street crossing or any pedestrian crossing location. Derails shall be properly locked while affixed/attached to rails. 2.8.5 Contractor and subcontractors requiring access to DARTs “Light Rail Transit” (LRT) operations/systems shall comply with and conform to all DART published policies, procedures and requirements. Track access and allocation procedures, employee training requirements, signal operations and system definitions, etc., are contained within the DART Rail Book of Operating Rules, and Standard Operating Procedures.


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• Failure to comply with DART rail safety rules, regulations, policies and procedures can result in personnel being removed from the jobsite. DART will not incur or honor any requests or claims for financial damages or lost time resulting from such action.

2.8.6 On-track equipment (OTE) and/or vehicles shall be adequately secured (chained or blocked) by two (2) means when left unoccupied or unmanned. Additionally, on-track vehicles and/or equipment equipped with internal braking systems shall also be properly maintained and utilized.

2.8.7 All work on, under, or above the DART right-of-way must be coordinated with the DART Operations Department through the Track Allocation Program.

a. The Contractor will provide a single point of contact to DART Operations.

b. The Contractor is required to attend weekly track allocation meetings to schedule work one week in advance. Track Allocation meetings are held weekly (time, location and day to be provided) for the contractors to present their construction activity plans for work being performed on or adjacent to the DART tracks. Review and approval of contractor’s plans by DART is mandatory prior to commencement of work in DART’s right-of-way.

c. Items which are required to be discussed and approved at track allocation meetings include, but not limited to;

• Construction activities and schedule. • Track usage. • Material deliveries. • Contractors’ needs for escorts, pilots, and Flaggers. • Approval to shut down any electrical panel that may affect safety systems. • Power outages to traction electrification system.

d. The four types of track allocation are:

(1) Simple Allocation

• Is permission to be within the right-of-way to perform work that does not interfere with Train operations. This work may not be closer than 15 feet of the centerline of track. • Note: No interference with train operation permitted. REQUIREMENTS: • Approved at weekly Track Allocation meeting. • Work limits clearly marked.


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(2) Limited Allocation

• Is permission to work on the track or within 15 feet of the centerline of track; this includes

personnel with hand tools or equipment that does not occupy the track. • Note: Operating restrictions may be required on either track. REQUIREMENTS: • Approved at weekly Track Allocation meeting. • Work limits clearly marked. • Flagman

(3) Restricted Allocation

• Is permission to work on an assigned track under the direction of a Flagger? Equipment may occupy the track but may not foul or interfere with any operation on the adjacent track. • Note: OCS power may be removed but not grounded. REQUIREMENTS: • Approved at weekly Track Allocation meeting. • Work limits clearly marked. • Flaggers

(4) Safe Clearance Allocation

• Is permission to work on assigned track(s) under the direction of a Flagger or TES person, with OCS de-energized and grounded. • Note: Operating restriction may be required on adjacent track. REQUIREMENTS: • Approved at weekly Track Allocation meeting. • Work limits clearly marked. • Flagman

e. The following personnel will be provided on an “as required” basis as requested by Contractor and authorized by DART.

• Flagger: Flagger(s) will be required for all work performed during revenue service hours

at track level.

f. Traction Electrification System: DART personnel will be required to de-energize and/or ground the system.

g. All personnel, equipment, and materials shall be clear of the existing track by 4:00 a.m. or as

indicated by Track Allocation. If the Contractor fails to clear the area, the Contractor shall be assessed any and all costs, including, providing alternative passenger transportation services, to include without limitation, loss of revenue.


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h. Miscellaneous Operations Restrictions and Issues:

• The Contractor must assume that the catenary is energized at all times. Unless properly requested and approved via DART’s Track or Systems Allocation Procedures, the power will remain energized and normal operations will continue.

• No equipment or materials are allowed to be stored within fifteen (15) feet of the

centerline of the track. Loose materials shall be secured at all times.

• Contractor employees who are officially approved by DART to perform “Flagger” duties shall complete the DART “Flagger” training program and shall utilize all equipment specified by DART. While performing flagging duties the individual shall not have nor perform any other duties

• Contractor shall not permit, place, nor operate a Hi-Rail type vehicle on revenue or non-

revenue tracks without first coordinating and obtaining prior approval from DART, Rail Operations or Systems “Track” Allocation. Immediately prior to mounting any Hi-Rail vehicle onto DART tracks, the Train Control Center (TCC) must be notified and permission granted.

• Contractor employees who work at or near active DART tracks must receive LRT Safety

Orientation training. DART shall provide this formal training prior to commencement ofany work within the established LRT Right-Of-Way.

2.8.8 Central Instrument House (CIH) and Traction Power Substations (TPSS); Electrical Safety and Security Requirements

• Contractor shall develop a “written” Electrical Safety and Security Plan for these type facilities. Plan shall be formally submitted to CSM for review within twenty-one (21) days prior to commencement of any work activities in energized CIH/TPSS facilities. Plans shall at a minimum address Scope of Work, Phases of Work, Contractor – Subcontractor coordination, CIH/TPSS locations, and Description of Work.

• Plan shall define work assignments, emergency procedures, Personal Protective

Equipment (PPE), and other relevant security procedures.

2.8.9 Contractor shall provide a detailed description of live electrical circuits and components addressing procedures and equipment to prevent inadvertent contact with live/energized circuits/components. Additional items to be included in the plan shall include:

• CIH/TPSS; Personnel access procedures • Lockout / Tagout Program & Procedures • Qualified Personnel Training and Documentation

2.9 FALL PROTECTION AND SCAFFOLDING SYSTEMS Any tasks that would allow a worker to fall a distance of six (6) feet or more, or any distance where the likelihood of a serious or fatal injury exists, must be identified, evaluated and controlled based on the hierarchy of controls. Workers shall be protected and utilize 100% Fall Protection at all times. The following are minimum guidelines required for design, deployment of Fall Protection and Scaffolding systems.


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(1) Employees on walking / working surfaces with an unprotected side or leading edge which are 6 feet or more above lower levels shall be protected from falling by a guardrail system, safety net system or personal fall arrest system. (2) Fall protection devices shall include full-body harnesses, appropriate lanyards and

anchorage points. Note: Workers shall utilize 100% Fall Protection i.e., double lanyards (when applicable) at all times.

(3) Fall protection systems shall be designed, constructed and utilized in accordance with

governing OSHA standards and manufacturers criteria. (4) Scaffolding systems shall be designed by an OSHA recognized “Competent” individual

and shall be constructed and loaded in accordance with that design. The “Competent” person shall be available anytime personnel are utilizing scaffolds. Prime/General Contractor shall obtain and maintain records of all “Railways”.

(5) Except when noted in governing statutes, scaffolds shall be capable of supporting without

failure, its own weight and at least four (4) times the maximum intended load applied or transmitted to it. Except when noted in the governing OSHA regulations, the front edge of all platforms shall not be more than 14 inches from the face of the work, unless guardrail systems are erected along the front edge and/or personal fall arrest are utilized.

(6) Scaffolds shall not be moved horizontally while employees are on them, unless they have

been so designed by a Railway. When man-lifts are used, utilize personal fall protection or positioning restraint devices/equipment and tie-off to engineered/approved anchor point on the boom or the manlift. Prior to employees working from self propelled work platform’s (man-lifts) proper training must be provided. 2.10 REPORTING ACCIDENTS AND OTHER HAZARDS 2.10.1 All accidents, property damage or incidents which occur from operations or work performed must be verified, investigated, reported, and analyzed as prescribed by this program. Reporting of all accidents/injuries property damage or incidents shall be immediately reported. 2.10.2 The following steps shall be followed for any injury accident which requires off-site medical treatment:

• Report the injury by phone to RCM/COR, and DART Construction Safety Manager as soon as possible, leave message if necessary.

• All Contractors and others involved in the construction project shall instruct their employees

and other personnel to follow these procedures if someone is injured or suffers an occupationally related illness.

(1) Report all injuries or occupational related illnesses (regardless of severity) as soon as

possible to their employer or immediate supervisor. No supervisor shall decline to accept a report of injury from any employee.


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(2) Seek and obtain prompt medical assistance for anyone who is injured. The injured

person’s supervisor will see that first-aid is administered and/or emergency medical personnel i.e., “911” are summoned if necessary.

(3) Contractor’s Safety Supervisors are encouraged to accompany injured employees to

facilitate preparation of 24-hour “Preliminary Accident” report and interface with the attending physician.

(4) Except for rescue and emergency procedures, secure the area tightly and quickly. The

accident scene shall not be disturbed until it has been released by investigating Authority officials.

(5) Immediately (within 15 minutes, or as soon as practical) report all accidents/incidents

that requires off site medical treatment to the CSM, RCM/COR as applicable, or other person designated in the RCM/COR’s absence. a. Copies of the preliminary report shall be delivered to the Authority by close of the

business day or within twenty-four (24) hours of the occurrence of the accident. Note: Copies of preliminary reports shall be computer generated and “E-mailed” to CSM.

b. Finalized formal reports (computer generated) shall be provided to DART within

fifteen (15) calendar days following accident/incident date. As a minimum, reports shall include post accident drug testing verification, DWC Form 1, witness statements, medical reports, corrective actions, involved individuals, causal factors, etc.

(6) Contractor’s Safety Supervisor or other designated person must notify all other parties

and report the event as outlined in the Contractor’s Safety Plan. (7) The local OSHA office must be notified immediately (within 8 hours) in the event of an

accident involving the death of an employee, or hospitalization of three (3) or more workers.

(8) In the event an employee is exposed to regulated/hazardous materials or harmful physical

agents, the Contractor shall notify the RCM/COR, CSM, and DART Environmental Compliance of the incident and corrective action(s) taken.

(9) Only authorized personnel, such as CSM, RCM/COR, or representatives of the

Authority’s Risk Management Section, or Construction Division, or other governmental agencies e.g., OSHA, DWC, MSHA, shall be given information pertaining to the event. Questions from local media officials and others shall be referred to Sr. Manager of Media Relations.

2.10.3 Post Accident Review: In the event of catastrophic accidents i.e., fatality, property and/or equipment damage over $25,000, or as directed by DART, the Prime Contractor shall develop and make a formal presentation to applicable DART officials within thirty (30) calendar days following the event or as directed/approved by the DART. Presentations shall at a minimum address: causal factors, post accident drug testing, witness statements, medical reports, involved subcontractors and individuals, corrective actions and other factors relative to accident and/or incident. Formal presentation, shall be


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made by applicable corporate officials e.g., CEO, President, Vice President, etc. All cost i.e., transportation, per diem, lodging etc., associated with such presentations shall be the sole responsibility of the contractor. The Authority shall not be liable for provide any funding associated with this requirement. 2.10.4 The Contractor’s emergency procedures should be continually reviewed and adjusted to provide maximum effectiveness. All procedures (such as bomb threats, weather, fire, work on existing utilities, etc.) are to be included in the Contractor’s Safety Plan and coordinated with the Contractor’s Safety Supervisor. 2.10.5 The Contractor will develop procedures under the DART’s guidance to contact the following offices for the events listed below. Fire Department - Fire, Injuries

- Medical Emergencies - Hazardous Materials

DART Construction Safety - Accident, Fatality, Fire Manager - Property Damage DART Environmental - Regulated/Hazardous Compliance Material Incident DART Police - Bomb Threats - Public Demonstrations - Fatalities Risk Management and - Insurance/Claim Issues, Insurance Administrators - Property Damage,

- Regulated/Hazardous Material Incidents

2.10.6 Emergencies must be handled by Contractor’s ranking individual present. In order that necessary emergency services are supplied promptly, each Contractor should delegate responsibility for making emergency calls. 2.10.7 First-aid supplies as designated by OSHA 29 CFR 1926.50 shall be accessible for immediate use. The size and number of First Aid kits/stations shall be determined by the number of employees. First aid kits are to be inspected weekly and supplies replenished promptly. 2.10.8 At least one person shall be available on each worksite at all times who has a valid certificate in First Aid/CPR training from the US. Bureau of Mines, the American Red Cross, or an equivalent training program that can be verified. 2.10.9 Actions to be taken during emergencies should be discussed regularly with the Contractor’s supervisory personnel and at “tool box” safety meetings. Telephone numbers and locations of emergency facilities including, but not limited to, hospitals, physicians, fire and emergency medical services, and police shall be posted in conspicuous locations at the job sites and at all telephone locations.


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2.11 PROTECTION OF THE PUBLIC AND PROPERTY 2.11.1 For the purpose of this section, “public” shall be construed as including all persons not employed by the Contractor/Subcontractor, Consultant, or the Authority; however Authority employees not directly involved with the Project, facilities or other related construction contracts shall be considered members of the public. 2.11.2 In addition to the regulations identified within the specific contract documents, the following precautions are required.

(1) Contractor shall take all necessary action to prevent injury to the public or property damage. When performing work adjacent to operating tracks, the Contractor shall take all necessary action to protect rail/transit traffic.

(2) Work shall not be performed in any area occupied or in use by the public unless specified

in the contract or approved in writing by the DART. (3) When necessary to maintain public use of work areas involving sidewalks, entrances to

buildings, lobbies, corridors, aisles, stairways, and vehicular roadways, the Contractor shall protect the project and public with appropriate guardrails, barricades, temporary fences, etc. Such protection shall guard against harmful radioactive rays or particles, flying materials, falling or moving materials, operating equipment/tools, hot or poisonous materials, explosives and explosive atmospheres, flammable or toxic liquids and gases, open flames, energized electric circuits, or other harmful exposures.

(4) Sidewalks, entrances to buildings, lobbies, corridors, aisles, doors, or exits that remain in

use by the public shall be kept clear of obstructions to permit safe ingress and egress of the public at all times.

(5) Appropriate warnings, signs and instructional safety signs shall be conspicuously posted

where necessary. In addition, a qualified Flagger shall control the moving of motorized equipment in areas where the public might be endangered.

(6) Sidewalks, sheds, canopies, catch platforms, and appropriate fences shall be provided

when it is necessary to maintain public pedestrian traffic adjacent to the erection, demolition or structural alteration of outside walls on any structure.

(7) Temporary fence shall be provided around the perimeter of above ground operations

adjacent to public areas except where a sidewalk shed or fence is provided by the contract or as required by subparagraph (3) above.

(8) Warning signs and proper lighting shall be maintained from dusk to sunrise along

guardrails, barricades, temporary sidewalks, parking lots/areas, Field Office(s) and at every obstruction to the public. The warning signs shall be placed at both ends of each obstruction and not over twenty (20) feet apart along each side of obstructions.

(9) Temporary sidewalks shall be provided when a permanent sidewalk is obstructed by the

Contractor’s operations. They shall be in accordance with the requirements of the local ordinances and/or contract documents. Guardrails shall be provided on both sides of temporary sidewalks.


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(10) Guardrails shall be provided on both sides of vehicular and pedestrian bridges. Pedestrian

walkway elevated above adjoining surfaces, or walkways within six (6) feet of the top of excavated slopes or vertical banks shall be protected with guardrails, except where sidewalk sheds or fences are provided as required by subparagraph (3) above.

(11) Barricades shall be provided where sidewalk sheds, fences or guardrails as referenced

above are not required between work areas and pedestrian walkways, roadways or occupied buildings.

(12) Barricades shall be secured against accidental displacement and shall be maintained in-

place except where temporary removal is necessary to facilitate work. When barricades are temporarily removed, a watch person shall be placed at all openings.

(13) Fuel-burning types of lanterns, torches, salamanders, flares, or other open-flame devices

are prohibited.

(14) Ensure that material is not dropped outside the exterior wall of the building, or bridge where the drop distance is more than twenty (20) feet high, unless contained in a chute enclosed on all sides. If the drop distance is less than twenty (20) feet high, the landing area must be barricaded. Material may be dropped through openings in the building, but must be properly barricaded in accordance with OSHA requirements.

2.12 SAFETY GUIDELINES FOR AUTHORITY TOURS It is of the utmost importance that a high degree of protection be afforded to all persons touring any DART construction site. The following guidelines have been prepared as general instructions for those individuals responsible for the organization, direction and safe conduct of such tours.

(1) All groups shall be accompanied at all times on the jobsite by a member of the RCM/COR’s staff, CSM and other appropriate DART representative.

(2) Community relations’ tours are coordinated through the DART’s Community Relations

Department and approved by the CSM who will identify specific rules for the tours. (3) Authority staff or other contractual employees authorized by CSM and appropriate

Authority agents who are escorting technical and/or other official visitors in hazardous work areas shall comply with established safety requirements, as specified in the contract.

(4) Guest/Visitor tours that do not involve technical inspections need to be authorized

through the CSM and appropriate Authority agents etc., allowing maximum advance notice.

(5) The RCM/COR at the site will be notified in order to coordinate the tour plan and to

ensure that necessary safety precautions are taken.

(6) Immediately prior to entering a job site, all visitors will be briefed about the need for careful and orderly conduct, including description of any special hazards they may encounter. All visitors and tour groups will:


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a. Be accompanied by a DART representative or other authorized representative

familiar with the jobsite; b. Sign the visitor log and/or formal “General Release with Express Negligence” and; c. Wear DART prescribed Personal Protective Equipment. Note: Exceptions to this

requirement may be granted by the CSM. 2.13 NONCOMPLIANCE 2.13.1 If any authorized Authority agent/representative observes noncompliance with safety and security requirements, or is advised of noncompliance by any governmental/municipal agency, they shall immediately contact the RCM/COR, and CSM who can initiate the following actions.

(1) Notify Contractor (in writing) of the noncompliance and that corrective actions are required. Upon receipt of written notice, the Contractor or the Contractor’s representative at the site of the work shall immediately implement/initiate corrective action(s).

(2) Exercise the right to issue a suspend-work order stopping all or part of the work if the

Contractor fails or refuses to take corrective action within the time specified in the notice. The order will remain in effect until corrective action(s) have been taken.

(3) Recommend disqualification and/or permanently relieve/suspend the Contractor’s Safety

Supervisor, Project Manager, etc., for nonperformance of safety management responsibilities.

(4) Require immediate removal from DART property any employee/individual or piece of equipment deemed unnecessary, unsafe or objectionable.

(5) Recommend denial of any claim or request from the Contractor for equitable adjustment

for additional time or money on any suspend-work order issued under these circumstances.

2.14 DRUG-FREE WORKPLACE PROGRAM DART has implemented a comprehensive Drug-Free Workplace program for all construction contracts exceeding $15,000. The program’s goal is to protect the public and contractor’s employees from risk of injury or death caused by employees who may suffer from impaired perception and judgment from the use of drugs. DART believes an effective drug-free workplace program with selective random testing for all major DART construction projects will both discern and deter impairment from drugs and therefore, substantially reducing the frequency and severity of accidents and casualties, ultimately enhancing public transportation in the DART Service Area. DEFINITIONS: A. As used in this clause: (1) “Alcohol” means ethyl alcohol and any beverage containing ethyl alcohol.


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(2) “Controlled substance’s” means a substance, including a drug and an immediate precursor listed in Schedules I through V of Subchapter A of the Texas Controlled Substances Act, Tex. Rev. Civ. Stat. Ann. Articles 481.032 - 481.036. These substances include, but are not limited to, marijuana, heroin, LSD, concentrated cannabis or cannobinoids, hashish or hash oil, morphine or its derivatives, mescaline, peyote, phencyclidine (PCP, Angel Dust), opium, opiates, methadone, cocaine, quaaludes, amphetamines, “exotic/designer” drugs, benzo diazepines, seconal, codeine, barbiturates,

Phenobarbital or valium.

(3) “Safety sensitive task” means each category of work performed at a construction workplace which, if performed by a person impaired by the effects of alcohol or a controlled substance (i) would pose a serious risk of death or personal injury to the employee or others in the vicinity or (ii) could compromise the quality of the construction in such manner as would impose a significant public safety risk in the operation of DART’s public transportation system.

(4) “Drug-Free Workplace” is defined as: a site for the performance of work done in

connection with a DART construction contract at which employees are prohibited from during work hours, or while on site at all times from using alcohol or from engaging in the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance. Any individual testing positive for illegal substances during pre-employment, random, post accident or reasonable suspicion shall not be permitted nor allowed to work or remain on DART property at anytime.

(5) “Employee” is defined as: an employee of a Contractor or subcontractor who may be

directly engaged in the performance of any/all work under a DART construction or service contract. All employees are classified as “Safety Sensitive” workers.

(6) “Reasonable suspicion” is defined as: the presence or absence of specific criteria

identified in the Contractor’s drug-free workplace program (indicating the possibility that a person is under the influence of alcohol or a controlled substance) as observed by the Contractor’s supervisory personnel with reasonable training in the identification of such criteria.

b. The program shall provide for mandatory drug testing of employees who are to perform safety sensitive tasks under the following circumstances:

(1) All employees shall be properly drug tested (5-Panel, Urinalysis Drug Screen) within ten (10) calendar days prior to assignment to a DART construction project to ascertain the use of controlled substances by the employee;

(2) When there is a reasonable suspicion that an employee is under the influence of alcohol

or a controlled substance at the workplace; and

(3) When an employee has been involved in an accident or unsafe practice (as defined in the Contractor’s safety program) at the workplace.

c. The program may, at the Contractor’s discretion, include mandatory employee drug testing under the following circumstances: (1) As part of or as a follow-up to counseling or rehabilitation for controlled substance use;


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(2) As part of a voluntary employee drug testing program. d. A random testing procedure to detect the use of alcohol or a controlled substance by employees performing safety sensitive tasks is required as part of the Contractor’s program for the purpose of preventing or deterring hazardous performance. The procedure shall require that, at a minimum, five percent (5%) of the project workforce will be randomly tested within the contract period or within each year of the contract period, whichever period is shorter. e. All testing by or on behalf of the Contractor because of a requirement in a DART contract shall be conducted only for employees engaged (or to be engaged) in safety sensitive tasks and only for use of alcohol or a controlled substance and shall be conducted in a manner and under written policies that minimize the intrusion on the employee’s privacy and personal dignity. This provision shall not preclude the Contractor from adding its own additional testing requirements. f. The Contractor shall publish a statement notifying employees that the use of alcohol at the workplace or the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance by employees at any time is prohibited and specifying the actions that will be taken against employees for violations of such prohibition. g. The program must require each employee, prior to working under a DART contract to (i) acknowledge in writing the Contractor’s drug-free workplace program and (ii) give advance written consent to any drug testing that may be conducted under the Contractor’s program and the use of test results for decisions related to employment, disciplinary action, or continued employment. The Contractor will agree, in connection with the employee’s consent, that the results of testing for alcohol and controlled substances will not be voluntarily referred to any law enforcement agency. If the Contractor is subject to a collective bargaining agreement (i) the procedure for obtaining the individual employees’ acknowledgment and consent must be consistent with the Contractor’s obligations under the collective bargaining agreement, and (ii) employees shall have the right to be accompanied by a union representative when any specimen is obtained for testing. h. The Contractor will establish a drug-free awareness program to inform its employees about: (1) The dangers of drug abuse in the workplace; (2) The contractor’s policy of maintaining a drug-free workplace; (3) Any available drug counseling, rehabilitation, and employee assistance programs; and

(4) Penalties that shall be imposed upon employees who refuse to submit to required testing and for other violations of the drug-free workplace program including, but not limited to, being unable to remain employed at the workplace until approval to return is obtained from DART.

i. The Contractor’s drug-free workplace program shall, at a minimum, include:

(1) Policies and procedures for specimen collection, chain of custody for specimens, laboratory qualification standards, laboratory analysis procedures, quality control requirements, and test result reporting procedures which substantially conform to the material requirements of the Mandatory Guidelines for Federal Workplace Drug Testing Programs promulgated by the US. Department of Health and Human Services in effect on the date of award of the DART construction contract.


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(2) Procedures for the Contractor’s employees to report their use of prescription drugs used in the course of medical treatment or which have been prescribed and authorized for use by a licensed medical practitioner.

(3) The criteria the Contractor will use for “reasonable suspicion” testing.

(4) The levels of alcohol or controlled substances which will be used in conjunction with a

determination that an employee is “under the influence” or is “impaired by the effects of” alcohol or controlled substance(s).

J. The Contractor shall display a notice, prominently placed near each entrance to the workplace, stating that, by entering the premises, persons are consenting to an inspection of themselves and their property including, but not limited to, their clothing, vehicles, briefcases, lunch boxes, tool boxes, purses and packages. k. The Contractor agrees to use its best efforts to establish and maintain a work environment free of use by employees of alcohol or controlled substances through implementation of subparagraphs “b” through “j” of this clause. The Contractor shall prepare and maintain records in sufficient detail to demonstrate compliance with the requirements of this clause including, but not limited to, certifications from subcontractors and records of drug or alcohol tests shall be subject to inspection and audit by DART, and the Contractor’s noncompliance may authorize DART to withhold all or any portion of any payments due the Contractor until the Contractor demonstrates compliance.

l. A Drug-Free Workplace Program Clause identical to this clause (except for changes appropriate for designation of the parties), including this subparagraph “1”, will be included in every subcontract entered into and in connection with this contract. Drug-Free Workplace Program Certification: A. By submission of its offer, the offeror certifies and agrees that, with respect to the offeror and all employees of the offeror to be utilized in the performance of any contract resulting from this solicitation; it will establish a drug-free workplace program that complies with the provisions of the clause of the General Provisions entitled “Drug-Free Workplace Program.” B. Failure of the offeror to have the drug-free workplace program complying with this certification and the clause of the General Provisions entitled “Drug-Free Workplace Program” available for DART’s review and approval as part of DART’s pre-award responsibility survey will be deemed a lack of responsibility rendering the offeror unqualified and ineligible for award.


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APPENDIX A

CAPITAL “LRT/MAJOR” PROJECTS (OCIP)


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APPENDIX A: CAPITAL “LRT/MAJOR” PROJECTS (OCIP) Capital LRT Projects: Project Safety & Security – Additional Requirements 1.3.5 (Added): Prime/General Contractor

Employ a full time qualified Construction Safety Supervisor (CSS) to manage (per individual/designated LRT Line Section e.g., G-2, G-3, I-1, I-2, etc.) project safety administration, enforcement, training and personnel security services (ID badging program). Contractor’s Safety Supervisor shall not report to the Project Manager or Job Superintendent. Contractor’s Safety Supervisor shall report directly to a corporate level officer i.e., CEO and/or Corporate Safety Director official external to the project. (Note: see 1.3.7 (Added), below for CSS qualifications); Each Contractor/Subcontractor with fifty (50) or more employees on-site and/or are responsible for construction/installation/integration of specialized elements of the project i.e., Track Installation, Traction Electrification (TES), Communication, Signals, Fare Collection, Landscaping, etc., may be directed by the DART to hire/employ a full-time Safety Supervisor as required in the contract provisions (Note: see 1.3.7 (Added), for qualifications) to perform safety management responsibilities under the direction of Prime/General Contractor’s Safety Supervisor. Project Safety Manager/Supervisor and CSM shall review incumbent’s résumé and personal interview shall be required with CSM prior to approval. Note: Only qualified personnel shall be accepted as Safety Supervisors/Managers;

1.3.7 (Added): Contractor’s Safety Supervisor (CSS)

The CSS will ensure compliance with all provisions of the contract relating to safety, including the DART’s Construction Safety Program, OSHA, and other agency and industry safety requirements and standards. Contractor’s Safety Supervisor or DART approved “Alternate” shall be physically present on construction site at all times during progress of the work, to provide continuous safety surveillance and supervision. Contractor shall submit for approval, individuals who may function as full time “Alternate.” NOTE: Failure to have an “approved” Safety Supervisor on the project site will result in issuance of a temporary “Stop Work” order. Note: The Contractor’s Safety Supervisor shall report directly to a corporate officer e.g., CEO and/or Corporate Safety Director, etc., and shall not report to the Project Manager and/or Superintendent.

A. Contractor’s Safety Supervisor Qualification(s):

An individual who, by academic preparation or work experience; has mastered and applies the recognized body of knowledge in the safety profession to prevent injuries and illness, property and environmental damage. The Safety Supervisor should possess a Baccalaureate degree in safety, engineering or the physical sciences from an accredited college or university with minimum 5 to 7 years experience or have a minimum of 7-10 years experience in construction safety, along with rail/transit type construction safety experience.

B. A combination of education and experience may be substituted for these requirements In addition, incumbent should have or be able to obtain, competency recognition through professional certification, registration, or licensing from a recognized association or organization e.g., BCSP, BCHCM, WSO”, etc.


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C. The Contractor’s Safety Supervisor shall be assigned to the predominant shift with the greatest exposure: e.g., workers’ hazardous activities, etc., with primary responsibilities that include the following:

(1) Manage, direct and enforce safety regulatory compliance. Control safety activities i.e.,

determine appropriate abatement actions, vehicle operations, safety sign/barricade erection and placement, and ensure that an overall safe posture is maintained and demonstrated by all employees throughout project site;

(2) Stoppage of construction activities, when such action is warranted for the protection of

life and/or property; (3) Investigate all accidents/incidents, prepare written reports and implement appropriate

abatement actions. Reports shall contain causal factors, environmental considerations, physiological factors, nomenclature involved (if applicable), photos, witnesses’ statements, post accident drug test verification, etc.;

(4) Report all injuries and accidents in a timely manner in accordance with federal and state

laws and regulations and DART orders and regulations; (5) Provide Job Foremen with appropriate training materials to conduct weekly “tool box”

safety meetings, and evaluate effectiveness of meetings; (6) Review safety meeting reports submitted by all Job Foremen and take necessary action to

ensure that meaningful weekly safety meetings are held by the Job Foremen; (7) Provide timely reports in writing of any observed unsafe conditions or practices, or

violations of job security regarding safety issues, and initiate corrective actions; (8) Responsible for the control, availability and use of necessary safety equipment, including

personal protective equipment (PPE) and apparel for the employees; (9) Coordinate safety activities with the Authority, Consultants and the Insurers’ safety

representatives, and take necessary steps to promptly implement safety recommendations;

(10) Coordination of public relations aspects of Contractor’s safety plan with DART

personnel;

(11) Attend special safety meetings held or sponsored by the Authority or Consultants. The Contractor’s Safety Supervisor shall participate in these meetings;

(12) Ensuring that adequate first-aid supplies are available at the work site and that personnel

are qualified to administer first-aid; (13) Retain knowledge of current availability of first aid and emergency treatment for injured

employees. Ensure all site personnel are aware of emergency procedures e.g., telephone numbers, locations, first aid equipment, etc.;


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(14) Conduct and document daily safety inspection reports of the complete project. Completed report shall be provided to Authority upon request. Reports shall as a minimum reflect the following elements such as: Note this is not an all-inclusive list!

Safety Discrepancies/Violations Crane Activities On-site Subcontractors Excavation Safety Types of equipment Fall Protection Site Visitors/Guests Claims: Injury & Gen. Liability Authority/OCIP Assessments Unusual Incidents/Events Site Traffic Management Confined Space Entry Security Mgmt. – “ID” Badging

PPE Compliance

(15) Monitor contractor and subcontractor personnel to assure that no vehicles, equipment, or materials are illegally stored, parked, staged or operated on privately owned property i.e., residential areas, businesses, parking lots, vacant fields etc., without the expressed written approval of the owner. Safety Supervisor shall direct the immediate termination and/or removal of the aforementioned items from the affected areas. Offending personnel are subject to immediate removal from the project;

(16) Participate in the DART’s comprehensive formal Construction Safety Education and

Training program for all employees. Ensure that individuals shall attend and satisfactorily complete a program prior beginning any on-site work activities. This program shall address (at a minimum) PPE requirements, accident reporting, drug/alcohol abuse/testing, hazard reporting, vehicle/equipment operations, railroad operations safety, Confined Space Entry, Fall Protection, etc. Training rosters reflecting names, dates and companies shall be maintained, and provided to the DART upon demand;

(17) Ensure all (contractor and sub-contractor) employees register and complete required

paperwork for a criminal background check, verification of Social Security and/or legal documents to verify identity and have a photograph taken for issuance of a photo “ID” project badge. Immediately remove any individual failing to obtain/wear ID badge; and.

(18) Project Construction Safety Supervisor(s) shall have no other assigned duties or

responsibilities e.g., Environmental Compliance, Quality Control/Assurance, Etc., unless approved (in writing) by Authority Construction Safety management officials.

D. Approved Alternate Safety Supervisor

CSM may approve up to three (3) alternate individuals to act for the Safety Supervisor only when the Safety Supervisor is officially absent from the job site. If construction activities require additional safety management, the Contractor shall be required to employ additional safety professionals, as defined in Appendix B – Section 1.3.7 (A). Safety Supervisor alternate(s) cannot act for the Safety Supervisor for an unbroken period to exceed three (3) consecutive calendar days, without prior approval from the CSM. Alternate safety candidates shall be formally recommended (in writing) by project Safety Supervisor/Manager. Alternate Safety Supervisor(s) shall:

(1) Be temporarily relieved of any/all other responsibilities and will not have any other responsibilities outside site safety management;


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(2) Have attended formal safety related course work e.g., 10 or 30 hour OSHA Course, AGC Construction Safety Supervisor Course, National Safety Council (NSC) courses, etc.; and

(3) Possess a high school diploma and have 3 to 5 years documented experience in the construction industry to include rail/transit construction experience.

1.3.11 Insurance Administrators (added) The Insurance Administrator’s Safety Consultant is an extension of the DART’s Risk Management Section. Safety Consultants shall be subordinate to CSM for construction safety compliance inspections and enforcement, etc. Accordingly all actions will be routed, approved and/or validated through CSM and applicable senior Project Management officials as appropriate. The Safety Consultants will perform the following:

(1) Conduct accident prevention surveys, accident prevention assessments, site pre-construction surveys/inspections; safety/OCIP program audits and make recommendations based on the needs of the Construction Safety Program and Insurers requirements;

(2) Interact with DART Risk Management Section, Insurers, DART Construction Safety

Manager, Project Management and others involved in the project as needed, and assist in dissemination of the DART’s Construction Safety Program;

(3) Attend and participate in contractor held safety meetings;

(4) Analyze loss trends, prepare safety and loss control reports, including an analysis of

accident frequency, severity, and causal factors; (5) Upon request, review Contractor’s safety plans and programs, descriptions of hazards

specific to their work, and their nominees for the Contractor’s Safety Supervisor position as required by the contract. Communicate comments, suggestions, concerns, etc.; (6) Work diligently with the DART and field personnel to assist RCM/COR and other

Authority inspectors to assure strict enforcement and compliance with contract safety provisions. This includes compliance with OSHA (Part 1910 and 1926 of the Code of Federal Regulations), DART’s Construction Safety and Security Program, and Contractors (Job site) Safety Plan;

(7) Assist DART and field personnel on safety matters. Act as technical advisor for safety

issues and perform necessary actions to assure the DART’s Construction Safety Program and safety procedures are effectively enforced in the field;

(8) Coordinate and co-chair DART Construction Safety and Security Advisory Committee

meetings;

(9) Prearrange for and provide/conduct safety education and training for contractor’s safety management and DART personnel. Supply safety posters, accident prevention signs and other safety literature to the Authority, Consultants or Contractors, as needed; and (10) Authorize to direct stoppage of construction site activities when such stoppage is

warranted for protection of life and/or property.


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1.3.12 Insurers (added) Representatives of Loss Control Departments from the Insurers shall coordinate all activities with the CSM and the Insurance Administrators for construction safety compliance inspections. Accordingly all actions will be routed, approved and/or validated through CSM, and applicable senior Project Management officials as appropriate. Representatives of Loss Control Departments from the Insurers will provide the following services to supplement the safety activities provided by the DART or Consultants:

(1) Provide Loss Control Consultants for periodic on-site safety surveys, accident prevention assessments, site surveys/inspections; makes recommendation and/or evaluations as required. Prepare written reports to DART, Insurance Administrators, and other authorized agents as required;

(2) Review accidents analysis to determine causes, trends, areas for additional safety

training, and corrective measures to prevent recurrence; (3) When available, attend and participate in safety meetings;

(4) Develop, provide and conduct formal safety education training programs as provided

under the insurance program;

(5) Identify problems relating to safety that cannot be resolved at project level and bring to Authority’s attention;

(6) Attend the DART Construction Safety & Security Advisory Committee;

(7) Assist the Authority and field personnel on safety matters. Act as technical resource for

safety issues, and;

(8) Recommend stoppage of construction site activities when such stoppage is warranted for the protection of life and/or property.

2.3 (Added): Contractor Personnel Requirements All contractor employees shall participate in the DART’s formal Construction Safety & Education orientation program and the employee badging program before entering or working on site. Approved Owner Controlled Insurance Program (OCIP) forms must be in place before the badging and orientation process. To do this the Authority must have active participation and cooperation of all Contractors, Subcontractors, and their employees. The Contractor and Subcontractor are responsible for training/orienting employees on specific safety rules that must be followed by all persons working on the project. All project personnel shall surrender their project “photo” ID badge to the Prime/General Contractor prior to their final departure from the project. A sum of twenty ($20) dollars shall be charged against the Prime/General Contractor for each un-returned badge. Lost or damaged photo “ID” badges shall be replaced at a cost of ten ($10) dollars per badge. This cost for lost/damaged badges is the sole responsibility of the individual and/or their employer.


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2.4 (Added) CONSTRUCTION SECURITY PROGRAM 2.4.2 Personnel Security Program 2.4.2.1 Contractor shall participate in the DART’s comprehensive Personnel Security Program which at a minimum consists of Drug Testing, Criminal Background Check, verification of a valid Social Security Number (SSN) and utilization of a computerized records maintenance system, including a “color photograph” for each employee to facilitate issuance of a Project Identification (ID) Badge. 2.4.2.2 Upon notification that a contractor employee has completed drug testing and undergone the Criminal Background check and Social Security Number (SSN) verification they will proceed to the project safety orientation and training program. Upon completion of orientation/training, they will be issued their photo ID Badge, which authorizes the individual to begin work on the project site. If training is not available on the day the contractor employee completes the drug test, criminal background check and Social Security Number verification, they may be issued a “Visitor” badge. Visitor Badge(s) will be obtained and returned daily from the RCM/PO Field Office, and be utilized until contractor employee has (at the next available class) attended formal safety orientation and training program, after which they will be issued their permanent photo ID badge. Employees shall wear/display or produce their ID badge while on project grounds/property. Specific requirements are;

1. All individuals performing on-site activities shall participate in the DART’s Drug-Free Workplace Program. Requirements are defined in Section 1.2 and Appendix A of this manual. Any individual refusing to participate or testing positive during Pre-Employment, Random, Post Accident or Reasonable Suspicion shall not be permitted to work or remain on any DART construction project.

2. The DART has deemed that the use of illegal substances and/or the use alcohol while on the

construction site as inappropriate behavior. Subsequent actions are specified in the General Provisions clause of the contract.

3. All individuals performing work activities or scheduled to perform work activities for more

than a combined total of ten (10) working days on the project are subject to the parameters detailed in paragraph 4 below. Individuals must register and complete the required paperwork for a Criminal Background check and validation of their Social Security Number. If the Background Check identifies any of the parameters outlined in paragraph 4 below, or fails to identify a valid Social Security Number or (a valid Resident Alien card accompanied by written evidence that a Social Security Number has been applied for, will be acceptable in lieu of a valid Social Security Number,) the contractor employee will be ineligible for issuance of a Project Identification Badge, which will preclude him/her from working on the DART project.

4. Background Check parameters;

• Any record in the Texas, Department of Public Safety (DPS) Sex Offender Registration Database • Any felony convictions, or Class A or B misdemeanor offenses within the past five (5) years that involve a “crime against a person”, as defined in Texas Penal Code (Title 5). • Any felony convictions within the past five (5) years that involves “aggravated” robbery,

as defined in Texas Penal Code (Title 7, Section 29.03). • Any individual classified as a Repeat or Habitual Felony Offender as defined in Texas

Penal Code (Title 3)


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5. All persons working at or on DART construction site/projects are responsible for informing their Employer and DART within five (5) working days of being arrested, indicted or charged with a felony offense that involves a crime involving alcohol or substances abuse offenses, as defined in the Texas Penal Code.

2.10.2.1 (Added) REPORTING ACCIDENTS AND OTHER HAZARDS Copies of preliminary reports shall be computer generated and “E-mailed”to all required agencies i.e., CSM, Insurance Carrier and OCIP Program Administrator

• Report the injury to DART Insurance Office (ISO) as soon as possible. (See: OCIP Manual/Program)

• Report injury/claim by telephone (1-800 number or as provided) to Insurance Carrier. • Complete and transmit “Accident Investigation Preliminary Report” by the end of the

business day to the DART, Insurance Service Office (ISO), and CSM.


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APPENDIX B

CAPITAL “NON-LRT” PROJECTS (NON-OCIP)


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APPENDIX B: CAPITAL “NON-LRT” PROJECTS (NON-OCIP) Capital “NON-LRT” Projects: Safety & Security Program – Additional Requirements 1.3.5 (Added): Prime/General Contractor

Employ a full time qualified Construction Safety Supervisor (CSS) to perform project-wide safety administration, enforcement and training services. Contractor’s Safety Supervisor shall not report to the Project Manager or Job Superintendent. Contractor’s Safety Supervisor shall report directly to a corporate level officer i.e., CEO and/or Corporate Safety Director official external to the project. (Note: see 1.3.7 (Added) below for CSS qualifications); Each Contractor/Subcontractor with fifty (50) or more employees on-site and/or are responsible for construction/installation/integration of specialized elements of the project i.e., Track Installation, Traction Electrification (TES), Communication, Signals, Fare Collection, Landscaping, etc., may be directed by the DART to hire/employ a full-time Safety Supervisor as required in the contract provisions (Note: see 1.3.7 (A), for qualifications) to perform safety management responsibilities under the direction of Prime/General Contractor’s Safety Supervisor. Project Safety Manager/Supervisor and CSM shall review incumbent’s résumé and personal interview shall be required with CSM prior to approval. Note: Only qualified personnel shall be accepted as Safety Supervisors/Managers;




An individual who by academic preparation or work experience; has mastered and applies the recognized body of knowledge in the safety profession to prevent injuries and illness, property and environmental damage. The Safety Supervisor should possess a Baccalaureate degree in safety, engineering or the physical sciences from an accredited college or university with minimum 5 to 7 years experience or have a minimum of 7-10 years experience in construction safety, along with rail/transit type construction safety experience.

B. A combination of education and experience may be substituted for these requirements. In addition, incumbent should have or be able to obtain, competency recognition through professional certification, registration, or licensing from a recognized association or organization e.g., BCSP, BCHCM, WSO”, etc.


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C. The Contractor’s Safety Supervisor shall be assigned to the predominant shift with the greatest exposure: e.g., workers’ hazardous activities, etc., with primary responsibilities that include the following:







laws and regulations and Authority orders and regulations; (5) Provide Job Foremen with appropriate training materials to conduct weekly “tool box”




personal protective equipment (PPE) and apparel for the employees; (9) Coordinate safety activities with the Authority, Consultants and the Insurers’ safety


(10) Coordination of public relations aspects of Contractor’s safety plan with Authority

personnel;

(11) Attend special safety meetings held or sponsored by the DART or Consultants. The Contractor’s Safety Supervisor shall participate in these meetings;





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(14) Supply safety posters, accident prevention signs and other safety literature to employees and subcontractors;

(15) Conduct and document daily safety inspection reports of the complete project. Completed

report shall be provided to DART upon request. Report shall as a minimum reflect the following; discrepancies identified, corrective action(s), on-site subcontractors, type equipment, etc.; Note this is not an all-inclusive list!


PPE Compliance

(16) Monitor contractor and subcontractor personnel to assure that no vehicles, equipment, or

materials are illegally stored, parked, staged or operated on privately owned property i.e., residential areas, businesses, parking lots, vacant fields etc., without the expressed written approval of the owner. Safety Supervisor shall direct the immediate termination and/or removal of the aforementioned items from the affected areas. Offending personnel are subject to immediate removal from the project;

(17) Participate in the Authority’s comprehensive formal Construction Safety Education and

Training program for all employees. Ensure that individuals shall attend and satisfactorily complete a program prior beginning any on-site work activities. This program shall address (at a minimum) PPE requirements, accident reporting, drug/alcohol abuse/testing, hazard reporting, vehicle/equipment operations, railroad operations safety, Confined Space Entry, Fall Protection, etc. Training rosters reflecting names, dates and companies shall be maintained, and provided to the Authority upon demand;



D. Approved Alternate Safety Supervisor

CSM may approve up to three (3) alternate individuals to act for the Safety Supervisor only when the Safety Supervisor is officially absent from the job site. If construction activities require additional safety management, the Contractor shall be required to employ additional safety professionals, as defined in Appendix C – Section 1.3.7 (Added). Safety Supervisor alternate(s) cannot act for the Safety Supervisor for an unbroken period to exceed three (3) consecutive calendar days, without prior approval from the CSM. Alternate safety candidates shall be formally recommended (in writing) by project Safety Supervisor/Manager. Alternate Safety Supervisor(s) shall:

(1) Be temporarily relieved of any/all other responsibilities and will not have any other

responsibilities outside site safety management;


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(2) Have attended formal safety related course work e.g., 10 or 30 hour OSHA Course, AGC Construction Safety Supervisor Course, National Safety Council (NSC) courses, etc.; and

(3) Possess a high school diploma and have 3 to 5 years documented experience in the construction industry to include rail/transit construction experience.

2.3 (Added): Contractor Personnel Requirements All contractor employees shall participate in the DART’s formal Construction Safety & Education orientation program and the employee badging program before entering or working on site. To do this the Authority must have active participation and cooperation of all Contractors, Subcontractors, and their employees. The Contractor and Subcontractor are responsible for training/orienting employees on specific safety rules that must be followed by all persons working on the project. 2.10.2 (Added) REPORTING ACCIDENTS / INCIDENTS AND OTHER HAZARDS Copies of preliminary reports shall be computer generated and “E-mailed”to CSM, RCM/COR or has directed by Authority safety personnel.

• Complete and transmit “Accident Investigation Preliminary Report” by the end of the business day to the Construction Safety Manager(s).


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APPENDIX C

MISCELLAENOUS “LRT” PROJECTS (OCIP)


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APPENDIX C: MISCELLAENOUS “LRT” PROJECTS (OCIP) Miscellaneous ‘LRT” Projects: Safety & Security Program – Additional Requirements 1.3.7 Contractor’s Safety Supervisor (CSS) The CSS will ensure compliance with all provisions of the contract relating to safety, including the DART’s Construction Safety Program, OSHA, and other agency and industry safety requirements and standards. Contractor Safety Supervisor or DART approved “Alternate” shall be physically present on construction site at all times during progress of the work, to provide continuous safety surveillance and supervision. Contractor shall submit for approval, individuals who may function as full time “Alternate.” NOTE: Failure to have an “approved” Safety Supervisor on the project site will result in issuance of a temporary “Stop Work” order. Note: The Project Safety Supervisor shall not report to the Project Manager and/or Superintendent. A. Contractor Safety Supervisor (CSS) Qualification(s): The Safety Supervisor should possess a High School diploma or higher and completed formal construction safety education/training programs such as OSHA 30 or 501 program, Association of General Contractor (AGC), Construction Education Foundation (CEF), National Safety Council (NSC) or other industry recognized safety training program(s). CSS shall have a minimum of three (3) verifiable years in actual experience in managing/administering an on-site construction safety program. The Contractor Safety Supervisor shall be assigned to the predominant shift with the greatest hazard exposure: e.g., workers’, hazardous activities, etc., with primary responsibilities that include the following:

(1) Manage, direct and enforce safety regulatory compliance. Control safety activities i.e., determine appropriate abatement actions, vehicle operations, safety sign/barricade erection and placement, and ensure that an overall safe posture is maintained and demonstrated by all employees throughout project site;

(2) stoppage of construction activities when, such action is warranted for protection of life

and/or property; (3) Investigating all accidents/incidents, prepare written reports and implement appropriate

abatement actions. Reports shall contain causal factors, environmental considerations, physiological factors, nomenclature involved (if applicable), photos, witnesses’ statements, drug test verification, etc.

(4) report all injuries and accidents in a timely manner in accordance with federal and state

laws and regulations and DART orders and regulations; (5) provide Job Foremen (including sub contractors) with appropriate training materials to

conduct weekly “tool box” safety meetings, and evaluate effectiveness of meetings;

(6) review safety meeting reports submitted by all Job Foremen and take necessary action to ensure that meaningful weekly safety meetings are held by the Job Foremen;

(7) provide timely reports in writing of any observed unsafe conditions or practices, or

violations of job security regarding safety issues, and initiate corrective actions;


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(8) responsibility for the control, availability and use of necessary safety equipment, including personal protective equipment (PPE) and apparel for the employees;

(9) coordinate safety activities with the DART, Consultants and the Insurers’ safety


(10) Attendance at special safety meetings held or sponsored by the Authority or Consultants.

The Contractor’s Safety Supervisor shall participate in these meetings; (11) ensuring that adequate first-aid supplies are available at the work site and that personnel

are qualified to administer first-aid as required in the contract; (12) Retaining knowledge of current availability of first aid and emergency treatment for

injured employees. Ensuring all site personnel are aware of emergency procedures e.g., telephone numbers, locations, first aid equipment, etc.;

(13) supply safety posters, accident prevention signs and other safety literature to employees

and subcontractors;

(14) Conducting and documentation of daily safety inspection reports of the complete project. Completed report shall be provided to Authority upon request. Report shall as a minimum reflect; discrepancies identified corrective action, on-site subcontractors, type equipment, etc. Note this is not an all-inclusive list!


PPE Compliance

(15) monitor contractor and subcontractor personnel to assure that no vehicles, equipment, or

materials are illegally stored, parked, staged or operated on privately owned property i.e., residential areas, businesses, parking lots, vacant fields etc., without the expressed written approval of the owner. Safety Supervisor shall direct immediate termination and/or removal of the aforementioned items from affected areas. Offending personnel are subject to immediate removal from the project.

(16) Conduct a comprehensive Construction Safety Orientation program. Addressing PPE

requirements, accident reporting, drug/alcohol abuse/testing, hazard reporting, vehicle/equipment operations, Confined Space Entry, Fall Protection, etc. Training rosters reflecting names, dates and companies shall be maintained, and provided to DART upon demand.




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C. Approved Alternate Safety Supervisor CSM may approve up to three (3) alternate individuals to act for the Safety Supervisor only when the Safety Supervisor is officially absent from the job site. If construction activities require additional safety management, the Contractor shall be required to employ additional safety professionals, as defined in section 1.3.6 (A). Safety Supervisor alternate(s) cannot act for the Safety Supervisor for an unbroken period to exceed three (3) consecutive calendar days, without prior approval from the CSM. Alternate safety candidates shall be formally recommended (in writing) by project Safety Supervisor/Manager. Alternate Safety Supervisor(s) shall:

(1) be temporarily relieved of any/all other responsibilities and will not have any other responsibilities outside site safety management;

(2) have attended formal safety related course work e.g., 10 or 30 hour OSHA Course, AGC Construction Safety Supervisor Course, National Safety Council (NSC) courses, etc. and

(3) possess a high school diploma and have 1-2 years documented experience in the

construction industry.

1.3.11 Insurance Administrators (added) The Insurance Administrator’s Safety Consultant is an extension of the DART’s Risk Management Section. Safety Consultants shall be subordinate to CSM for construction safety compliance inspections and enforcement, etc. Accordingly all actions will be routed, approved and/or validated through CSM and applicable senior Project Management officials as appropriate. The Safety Consultants will perform the following:

(1) Conduct accident prevention surveys, accident prevention assessments, site pre-construction surveys/inspections; safety program audits and make recommendations based on the needs of the Construction Safety Program and Insurers requirements;






specific to their work, and their nominees for the Contractor’s Safety Supervisor position as required by the contract. Communicate comments, suggestions, concerns, etc. (6) Work diligently with the Authority and field personnel to assist RCM/COR and other



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(7) Assist Authority and field personnel on safety matters. Act as technical advisor for safety


(8) Coordinate and co-chair DART Construction Safety and Security Advisory Committee

meetings;

(9) Authorize to direct stoppage of construction site activities when such stoppage is warranted for protection of life and/or property.

1.3.12 Insurers (added) Representatives of Loss Control Departments from the Insurers shall coordinate all activities with the CSM and the Insurance Administrators for construction safety compliance inspections. Accordingly all actions will be routed, approved and/or validated through CSM, and applicable senior Project Management officials as appropriate. Representatives of Loss Control Departments from the Insurers will provide the following services to supplement the safety activities provided by the Authority or Consultants:

(1) Provide Loss Control Consultants for periodic on-site safety surveys, accident prevention assessments, site surveys/inspections; makes recommendation and/or evaluations as required. Prepare written reports to Authority, Insurance Administrators, and other authorized agents as required;



(4) Develop, provide and conduct formal safety education training programs as provided under the insurance program;

(5) Attend the DART Construction Safety & Security Advisory Committee; and


2.4 (Added) CONSTRUCTION SECURITY PROGRAM 2.4.3 Personnel Security Program 2.4.2.1 Contractor shall participate in the DART’s comprehensive Personnel Security Program which at a minimum consists of Drug Testing, Criminal Background Check, verification of a valid Social Security Number (SSN) and utilization of a computerized records maintenance system, including a “color photograph” for each employee to facilitate issuance of a Project Identification (ID) Badge. 2.4.2.2 Upon notification that a contractor employee has completed drug testing and undergone the Criminal Background check and Social Security Number (SSN) verification they will proceed to the project safety orientation and training program. Upon completion of orientation/training, they will be


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issued their photo ID Badge, which authorizes the individual to begin work on the project site. If training is not available on the day the contractor employee completes the drug test, criminal background check and Social Security Number verification, they may be issued a “Visitor” badge. Visitor Badge(s) will be obtained and returned daily from the RCM Field Office, and be utilized until contractor employee has (at the next available class) attended formal safety orientation and training program, after which they will be issued their permanent photo ID badge. Employees shall wear/display or produce their ID badge while on project grounds/property. Specific requirements are; All individuals performing on-site activities shall participate in the DART’s Drug-Free Workplace Program. Requirements are defined in Section 1.2 and Appendix A of this manual. Any individual refusing to participate or testing positive during Pre-Employment, Random, Post Accident or Reasonable Suspicion shall not be permitted to work or remain on any DART construction project.

1. The DART has deemed that the use of illegal substances and/or the use alcohol while on

the construction site as inappropriate behavior. Subsequent actions are specified in the General Provisions clause of the contract.

2. All individuals performing work activities or scheduled to perform work activities for

more than a combined total of ten (10) working days on the project are subject to the parameters detailed in paragraph 4 below. Individuals must register and complete the required paperwork for a Criminal Background check and validation of their Social Security Number. If the Background Check identifies any of the parameters outlined in paragraph 4 below, or fails to identify a valid Social Security Number or (a valid Resident Alien card accompanied by written evidence that a Social Security Number has been applied for, will be acceptable in lieu of a valid Social Security Number,) the contractor employee will be ineligible for issuance of a Project Identification Badge, which will preclude him/her from working on the DART project.


• Any record in the Texas, Department of Public Safety (DPS) Sex Offender Registration Database • Any felony convictions, or Class A or B misdemeanor offenses within the past five (5) years that involve a “crime against a person”, as defined in Texas Penal Code (Title 5). • Any felony convictions within the past five (5) years that involves “aggravated” robbery,



4. All persons working at or on DART construction site/projects are responsible for informing their Employer and DART within five (5) working days of being arrested, indicted or charged with a felony offense that involves a crime involving alcohol or substances abuse offenses, as defined in the Texas Penal Code. 2.10.2.1 (Added) REPORTING ACCIDENTS / INCIDENTS AND OTHER HAZARDS Copies of preliminary reports shall be computer generated and “E-mailed”to all required agencies i.e., CSM, Insurance Carrier and OCIP Program Administrator

• Report the injury to DART Insurance Office (ISO) as soon as possible. (See: OCIP Manual/Program)


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APPENDIX D

MISCELLAENOUS “LRT” PROJECTS (NON-OCIP)


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APPENDIX D: MISCELLAENOUS “LRT” PROJECTS (NON-OCIP) Miscellaneous ‘LRT” Projects: Safety & Security Program – Additional Requirements 1.3.7 Contractor’s Safety Supervisor (CSS) The CSS will ensure compliance with all provisions of the contract relating to safety, including the DART’s Construction Safety Program, OSHA, and other agency and industry safety requirements and standards. Contractor Safety Supervisor or DART approved “Alternate” shall be physically present on construction site at all times during progress of the work, to provide continuous safety surveillance and supervision. Contractor shall submit for approval, individuals who may function as full time “Alternate.” NOTE: Failure to have an “approved” Safety Supervisor on the project site will result in issuance of a temporary “Stop Work” order. Note: The Project Safety Supervisor shall not report to the Project Manager and/or Superintendent. A. Contractor Safety Supervisor (CSS) Qualification(s): The Safety Supervisor should possess a High School diploma or higher and completed formal construction safety education/training programs such as OSHA 30 hr, 40 hr or 501 program, Association of General Contractor (AGC), Construction Education Foundation (CEF), National Safety Council (NSC) or other industry recognized safety training program(s). CSS shall have a minimum of three (3) verifiable years in actual experience in managing/administering an on-site construction safety program. The Contractor Safety Supervisor shall be assigned to the predominant shift with the greatest hazard exposure: e.g., workers’, hazardous activities, etc., with primary responsibilities that include the following:






laws and regulations and DART orders and regulations; (5) provide Job Foremen (including sub contractors) with appropriate training materials to

conduct weekly “tool box” safety meetings, and evaluate effectiveness of meetings;

(6) review safety meeting reports submitted by all Job Foremen and take necessary action to ensure that meaningful weekly safety meetings are held by the Job Foremen;

(7) provide timely reports in writing of any observed unsafe conditions or practices, or



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(9) coordinate safety activities with the DART, Consultants and the Insurers’ safety







and subcontractors;

(14) Conducting and documentation of daily safety inspection reports of the complete project. Completed report shall be provided to Authority upon request. Report shall as a minimum reflect; discrepancies identified corrective action, on-site subcontractors, type equipment, etc. Note this is not an all-inclusive list!


PPE Compliance


materials are illegally stored, parked, staged or operated on privately owned property i.e., residential areas, businesses, parking lots, vacant fields etc., without the expressed written approval of the owner. Safety Supervisor shall direct immediate termination and/or removal of the aforementioned items from affected areas. Offending personnel are subject to immediate removal from the project.






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C. Approved Alternate Safety Supervisor CSM may approve up to three (3) alternate individuals to act for the Safety Supervisor only when the Safety Supervisor is officially absent from the job site. If construction activities require additional safety management, the Contractor shall be required to employ additional safety professionals, as defined in section 1.3.6 (A). Safety Supervisor alternate(s) cannot act for the Safety Supervisor for an unbroken period to exceed three (3) consecutive calendar days, without prior approval from the CSM. Alternate safety candidates shall be formally recommended (in writing) by project Safety Supervisor/Manager. Alternate Safety Supervisor(s) shall:



(3) possess a high school diploma and have 1-2 years documented experience in the


2.10.2.1 (Added) REPORTING ACCIDENTS / INCIDENTS AND OTHER HAZARDS Copies of preliminary reports shall be computer generated and “E-mailed”to DART, Construction Safety Managers (CSM)

• Report the injury to DART, CSM as soon as possible. • Report injury/claim to Insurance Carrier. • Complete and transmit “Accident Investigation Preliminary Report” by the end of the

business day to the DART, CSM.


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APPENDIX E

MISCELLAENOUS “NON-LRT” PROJECTS

(NON-OCIP)


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APPENDIX E: MISCELLAENOUS “NON-LRT” PROJECTS (NON-OCIP) Miscellaneous “NON-LRT” Projects: Safety & Security Program – Additional Requirements 1.3.7(Added) Contractor’s Safety Supervisor (CSS) The CSS will ensure compliance with all provisions of the contract relating to safety, including the DART’s Construction Safety Program, OSHA, and other agency and industry safety requirements and standards. Contractor Safety Supervisor or DART approved “Alternate” shall be physically present on construction site at all times during progress of the work, to provide continuous safety surveillance and supervision. Contractor shall submit for approval, individuals who may function as full time “Alternate.” NOTE: Failure to have an “approved” Safety Supervisor on the project site will result in issuance of a temporary “Stop Work” order. Note: The Project Safety Supervisor shall not report to the Project Manager and/or Superintendent. A. Contractor Safety Supervisor Qualification(s): The Safety Supervisor should possess a High School diploma or higher and completed formal construction safety education/training programs such as OSHA 30 hr or 501 program, Association of General Contractor (AGC), Construction Education Foundation (CEF), National Safety Council (NSC) or other industry recognized safety training program(s). CSS shall have a minimum of two (2) years verifiable experience in managing/administering an on-site construction safety program. The Contractor Safety Supervisor shall be assigned to the predominant shift with the greatest hazard exposure: e.g., workers’, hazardous activities, etc., with primary responsibilities that include the following:



and/or property; (3) investigating all accidents/incidents, prepare written reports and implement appropriate



laws and regulations and Authority orders and regulations; (5) provide Job Foremen (including sub contractors) with appropriate training materials to

conduct weekly “tool box” safety meetings, and evaluate effectiveness of meetings; (6) review safety meeting reports submitted by all Job Foremen and take necessary action to

ensure that meaningful weekly safety meetings are held by the Job Foremen; (7) provide timely reports in writing of any observed unsafe conditions or practices, or



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(9) coordinate safety activities with the Authority, Consultants and the Insurers’ safety







and subcontractors;

(14) Conducting and documentation of daily safety inspection reports of the complete project. Completed report shall be provided to Authority upon request. Report shall as a minimum reflect; safety discrepancies/deficiencies, unsafe/unhealthy activities, corrective action(s), on-site subcontractors, type equipment, etc. Note this is not an all-inclusive list!


PPE Compliance


materials are illegally stored, parked, staged or operated on privately owned property i.e., residential areas, businesses, parking lots, vacant fields etc., without the expressed written approval of the property owner. Safety Supervisor shall direct immediate termination and/or removal of the aforementioned items from affected areas. Offending personnel are subject to immediate removal from the project.




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C. Approved Alternate Safety Supervisor CSM may approve up to three (3) alternate individuals to act for the Safety Supervisor only when the Safety Supervisor is officially absent from the job site. If construction activities require additional safety management, the Contractor shall be required to employ additional safety professionals, as defined in section 1.3.7 (Added). Safety Supervisor alternate(s) cannot act for the Safety Supervisor for an unbroken period to exceed three (3) consecutive calendar days, without prior approval from the CSM. Alternate safety candidates shall be formally recommended (in writing) by project Safety Supervisor/Manager. Alternate Safety Supervisor(s) shall:



(3) possess a high school diploma and have 1-2 years, documented experience in the



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APPENDIX F

TRINITY RAIL EXPRESS (TRE) PROJECTS

(OCIP)


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APPENDIX F: TRINITY RAILWAY EXPRESS (TRE) PROJECTS (OCIP) Trinity Railway Express (TRE) Projects: Safety & Security Program – Additional Requirements 1.3.5 (Added): Prime/General Contractor

Employ a full time qualified Construction Safety Supervisor (CSS) to perform project-wide (per individual LRT Line Section) safety administration, enforcement and training services. Contractor’s Safety Supervisor shall not report to the Project Manager or Job Superintendent. Contractor’s Safety Supervisor shall report directly to a corporate level officer i.e., CEO and/or Corporate Safety Director official external to the project. (Note: see 1.3.7 (Added), below for CSS qualifications); Each Contractor/Subcontractor with fifty (50) or more employees on-site and/or are responsible for construction/installation/integration of specialized elements of the project i.e., Track Installation, Communication, Signals, Landscaping, etc., maybe directed by the DART to hire/employ a full-time Safety Supervisor as required in the contract provisions (Note: see 1.3.7.A (Added), for qualifications) to perform safety management responsibilities under the direction of Prime/General Contractor’s Safety Supervisor. Project Safety Manager/Supervisor and CSM shall review incumbent’s résumé and personal interview shall be required with CSM prior to approval. Note: Only qualified personnel shall be accepted as Safety Supervisors/Managers;




An individual who, by academic preparation, or work experience; has mastered and applies the recognized body of knowledge in the safety profession to prevent injuries and illness, property and environmental damage. The Safety Supervisor should possess a Baccalaureate degree in safety, engineering or the physical sciences from an accredited college or university with minimum 5 to 7 years experience or have a minimum of 7-10 years experience in construction safety, along with rail/transit type construction safety experience.



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C. The Contractor’s Safety Supervisor shall be assigned to the predominant shift with the greatest exposure, e.g., workers’ hazardous activities, etc., with primary responsibilities that include the following:







laws and regulations and DART orders and regulations; (5) Provide Job Foremen with appropriate training materials to conduct weekly “tool box”




personal protective equipment (PPE) and apparel for the employees; (9) Coordinate safety activities with the DART, Consultants and the Insurers’ safety


(10) Coordination of public relations aspects of Contractor’s safety plan with Authority

personnel;

(11) Attend special safety meetings held or sponsored by the Authority or Consultants. The Contractor’s Safety Supervisor shall participate in these meetings;




(14) Supply safety posters, accident prevention signs and other safety literature to employees

and subcontractors;


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(15) Conduct and document daily safety inspection reports of the complete project. Completed report shall be provided to Authority upon request. Report shall as a minimum reflect the following; discrepancies, corrective action(s), on-site subcontractors, type equipment, etc. Note this is not an all-inclusive list!


PPE Compliance


materials are illegally stored, parked, staged or operated on privately owned property i.e., residential areas, businesses, parking lots, vacant fields etc., without the expressed written approval of the owner. Safety Supervisor shall direct the immediate termination and/or removal of the aforementioned items from the affected areas. Offending personnel are subject to immediate removal from the project;

(17) Participate in the DART’s comprehensive formal Construction Safety Education and

Training program for all employees. Ensure that individuals shall attend and satisfactorily complete a program prior beginning any on-site work activities. This program shall address (at a minimum) PPE requirements, accident reporting, drug/alcohol abuse/testing, hazard reporting, vehicle/equipment operations, railroad operations safety, Confined Space Entry, Fall Protection, etc. Training rosters reflecting names, dates and companies shall be maintained, and provided to the DART upon demand; and

(18) Ensure all (contractor and sub-contractor) employees register and complete required

paperwork for a criminal background check, verification of Social Security and/or legal documents to verify identity and have a photograph taken for issuance of a photo “ID” project badge. Immediately remove any individual failing to obtain/wear ID badge.


responsibilities e.g., Environmental Compliance, Quality Control/Assurance, Etc., unless approved (in writing) by Authority Construction Safety management officials. D. Approved Alternate Safety Supervisor

CSM may approve up to three (3) alternate individuals to act for the Safety Supervisor only when the Safety Supervisor is officially absent from the job site. If construction activities require additional safety management, the Contractor shall be required to employ additional safety professionals, as defined in Appendix B – Section 1.3.7 (A). Safety Supervisor alternate(s) cannot act for the Safety Supervisor for an unbroken period to exceed three (3) consecutive calendar days, without prior approval from the CSM. Alternate safety candidates shall be formally recommended (in writing) by project Safety Supervisor/Manager. Alternate Safety Supervisor(s) shall:


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(1) Be temporarily relieved of any/all other responsibilities and will not have any other Responsibilities outside site safety management;

(2) Have attended formal safety related course work e.g., 10 or 30 hour OSHA Course, AGC

Construction Safety Supervisor Course, National Safety Council (NSC) courses, etc.; and (1) Possess a high school diploma and have 3 to 5 years documented experience in the

construction industry to include rail/transit construction experience. 1.3.11 Insurance Administrators (added) The Insurance Administrator’s Safety Consultant is an extension of the DART’s Risk Management Section. Safety Consultants shall be subordinate to CSM for construction safety compliance inspections and enforcement, etc. Accordingly all actions will be routed, approved and/or validated through CSM and applicable senior Project Management officials as appropriate. The Safety Consultants will perform the following:

(1) Conduct accident prevention surveys, accident prevention assessments, site pre-construction surveys/inspections; safety/OCIP program audits and make recommendations based on the needs of the Construction Safety Program and Insurers requirements;






specific to their work, and their nominees for the Contractor’s Safety Supervisor position as required by the contract. Communicate comments, suggestions, concerns, etc.; (6) Work diligently with the Authority and field personnel to assist RCM/COR and other


(7) Assist Authority and field personnel on safety matters. Act as technical advisor for safety


(8) Coordinate and co-chair DART/TRE Construction Safety and Security Advisory

Committee meetings;


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(9) Prearrange for and provide/conduct safety education and training for contractor’s safety management and Authority personnel. Supply safety posters, accident prevention signs and other safety literature to the Authority, Consultants or Contractors, as needed; and (11) Authorize to direct stoppage of construction site activities when such stoppage is

warranted for protection of life and/or property. 1.3.12 Insurers (added) Representatives of Loss Control Departments from the Insurers shall coordinate all activities with the CSM and the Insurance Administrators for construction safety compliance inspections. Accordingly all actions will be routed, approved and/or validated through CSM, and applicable senior Project Management officials as appropriate. Representatives of Loss Control Departments from the Insurers will provide the following services to supplement the safety activities provided by the Authority or Consultants: Provide Loss Control Consultants for periodic on-site safety surveys, accident prevention assessments, site surveys/inspections; makes recommendation and/or evaluations as required. Prepare written reports to DART, Insurance Administrators, and other authorized agents as required;



(3) Develop, provide and conduct formal safety education training programs as provided

under the insurance program;

(4) Identify problems relating to safety that cannot be resolved at project level and bring to DART’s attention;

(5) Attend the DART/TRE Construction Safety & Security Advisory Committee;

(6) Assist the Authority and field personnel on safety matters. Act as technical resource for

safety issues, and;


2.3 (Added): Contractor Personnel Requirements All contractor employees shall participate in the DART’s formal Construction Safety & Education orientation program and the employee badging program before entering or working on site. Approved Owner Controlled Insurance Program (OCIP) forms must be in place before the badging and orientation process. To do this the DART must have active participation and cooperation of all Contractors, Subcontractors, and their employees. The Contractor and Subcontractor are responsible for training/orienting employees on specific safety rules that must be followed by all persons working on the project.


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All project personnel shall surrender their project “photo” ID badge to the Prime/General Contractor prior to their final departure from the project. A sum of twenty ($20) dollars shall be charged against the Prime/General Contractor for each un-returned badge. Lost or damaged photo “ID” badges shall be replaced at a cost of ten ($10) dollars per badge. This cost for lost/damaged badges is the sole responsibility of the individual and/or their employer. 2.4 (Added) CONSTRUCTION SECURITY PROGRAM 2.4.4 Personnel Security Program 2.4.2.1 Contractor shall participate in the DART’s comprehensive Personnel Security Program which at a minimum consists of Drug Testing, Criminal Background Check, verification of a valid Social Security Number (SSN) and utilization of a computerized records maintenance system, including a “color photograph” for each employee to facilitate issuance of a Project Identification (ID) Badge. 2.4.2.2 Upon notification that a contractor employee has completed drug testing and undergone the Criminal Background check and Social Security Number (SSN) verification they will proceed to the project safety orientation and training program. Upon completion of orientation/training, they will be issued their photo ID Badge, which authorizes the individual to begin work on the project site. If training is not available on the day the contractor employee completes the drug test, criminal background check and Social Security Number verification, they may be issued a “Visitor” badge. Visitor Badge(s) will be obtained and returned daily from the RCM Field Office, and be utilized until contractor employee has (at the next available class) attended formal safety orientation and training program, after which they will be issued their permanent photo ID badge. Employees shall wear/display or produce their ID badge while on project grounds/property. Specific requirements are;

1. All individuals performing on-site activities shall participate in the DART’s Drug-Free Workplace Program. Requirements are defined in Section 1.2 and Appendix A of this manual. Any individual refusing to participate or testing positive during Pre-Employment, Random, Post Accident or Reasonable Suspicion shall not be permitted to work or remain on any DART construction project.

2. The DART has deemed that the use of illegal substances and/or the use alcohol while on the

construction site as inappropriate behavior. Subsequent actions are specified in the General Provisions clause of the contract.

3. All individuals performing work activities or scheduled to perform work activities for more than

a combined total of ten (10) working days on the project are subject to the parameters detailed in paragraph 4 below. Individuals must register and complete the required paperwork for a Criminal Background check and validation of their Social Security Number. If the Background Check identifies any of the parameters outlined in paragraph 4 below, or fails to identify a valid Social Security Number or (a valid Resident Alien card accompanied by written evidence that a Social Security Number has been applied for, will be acceptable in lieu of a valid Social Security Number,) the contractor employee will be ineligible for issuance of a Project Identification Badge, which will preclude him/her from working on the DART project.


• Any record in the Texas, Department of Public Safety (DPS) Sex Offender Registration Database


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• Any felony convictions, or Class A or B misdemeanor offenses within the past five (5) years that involves a “crime against a person”, as defined in Texas Penal Code (Title 5). • Any felony convictions within the past five (5) years that involves “aggravated” robbery,



5. All persons working at or on DART construction site/projects are responsible for informing their Employer and DART within five (5) working days of being arrested, indicted or charged with a felony offense that involves a crime involving alcohol or substances abuse offenses, as defined in the Texas Penal Code.

2.10.2.1 (Added) REPORTING ACCIDENTS AND OTHER HAZARDS Copies of preliminary reports shall be computer generated and “E-mailed”to all required agencies i.e., CSM, Insurance Carrier and OCIP Program Administrator

• Report the injury to DART/TRE Insurance Service Office (ISO) as soon as possible. (See: OCIP Manual/Program)




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APPENDIX F: ATTACHMENT

TRINITY RAILWAY EXPRESS

CONTRACTOR SAFETY BRIEFING GUIDELINES

(INCLUDES ALL NON-TRE PERSONNEL) Job Safety Briefing: Before beginning any task, a complete job safety briefing will be conducted with all individuals involved with the task, and again if the task changes. If the task may result in the tracks being fouled as discussed below, the job briefing must include the TRE-approved flagman. All contactor employees shall receive safety instruction from the Contractor’s safety officer or a qualified TRE representative prior to the start of any project. Contractor’s supervision shall review the safety guidelines contained in this briefing guideline to familiarize its employees with safety issues that exist when working in a railroad environment. This should be reviewed at least weekly, with existing employees and immediately with any new employee(s) coming on the job. It is the responsibility of the Contractor’s safety officer to instruct employees on these guidelines and to require their compliance. Housekeeping: Good housekeeping is of the utmost importance in the prevention of accidents, injuries and fires. Clean-up of construction sites shall be conducted on a daily basis. Personal Protective Equipment: All Contractor employees working on TRE property will be required to wear OSHA-approved safety glasses with side shields, hard hats, orange reflective vests, and above-the-ankle, safety steel-toed work boots, with a defined heel. Office employees restricted to office work will not be required to comply. During inclement weather, proper clothing to protect against frostbite, etc. will be worn. Particular attention to footing and the use of proper footwear is essential when working in snow or other slippery conditions. Hearing protection, fall protection and respirators will be worn as required by state and federal regulations and any additional requirements of the Contract. Fouling Tracks: Train or equipment movement should be expected on any track, in any direction, at any time. Work will not be performed within 25 feet of the centerline of nearest track without TRE-approved protection. There are different forms of protection (i.e., lookout, Form B, track & time) that can be utilized to protect work within 25 feet of the centerline of nearest track. Upon receiving details of the work to be performed, a TRE representative will determine what form of protection is required for the work to be accomplished safely and in the most efficient manner.


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If equipment, such as a crane, is being used beyond 25 feet of the centerline of nearest track but any piece of such equipment (such as the crane boom) could extend within 25 feet of the centerline of the nearest track, positive protection must be provided in order for that equipment to operate. Do not walk between rails or foul track, except when duties require and proper protection is provided. When necessary to cross tracks, look in both directions and keep a minimum of 25 feet from the nearest end of stationary rail equipment. Do not crawl under or between rail cars. Under certain conditions, trains and equipment can approach without being heard. Proper attention and protection are essential to personal safety when working near railroad tracks. Continuous fence (with TRE written approval) may be erected/utilized to allow certain work (such as work with hand tools only but not heavy equipment) to continue within 25 feet of the centerline of nearest track while trains are passing if so approved by the TRE Representative. Contractor may choose, at its expense, to erect a continuous fence no closer than 8 feet from the nearest rail of the adjacent track in an effort to improve work efficiency. After reviewing the scope of work Contractor wishes to perform, the fence specifications (height, material type and amount of support) will be determined by the TRE Representative. At a minimum, the fence shall be 4 feet in height (from the ground) and must be properly supported such that it remains vertical, cannot be easily crossed other than at approved crossing points and is clearly visible to workers and train crews. Work Protection: If work protection is provided, every employee must know:

(1) A job briefing must be given before work commences. (2) Who the TRE-approved flagman is, and how to contact him or her. (3) Limits of the work protection. (4) The method of communication to stop and resume work. (5) Entry into work limits when designated.

Note: Personnel or equipment entering work limits that were not previously job briefed, must notify the flagman immediately, and be given a job briefing if working within 25 feet of the centerline of nearest track. Riding on Rail Equipment: Riding on rail equipment is prohibited. Damage to TRE Property: Any damage to TRE property shall be reported immediately to the TRE Chief Engineering Officer (TRE-CEO). Any vehicle or machine contact with a track, signal equipment or structure (bridge) could result in derailment and is to be reported by the quickest means possible to the TRE-CEO. If the damage is determined to be an emergency (safety of the trains and passengers are potentially in danger) and the TRE-CEO is not available, notify the TRE Dispatcher. Emergency numbers will be obtained from the TRE-CEO, prior to the start of any work, and posted at the job site for the duration of the project.


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Passing Trains: Except as may be allowed by the use of approved continuous fencing, when a train is approaching, men or equipment working less than 25 feet of the centerline of nearest track, will stop work at the direction of the TRE-approved flagman and move as far away from the track as practical, until the ENTIRE train has passed. This assures the train engineer that the train has been seen, and it is safe to proceed. Failure to do this could result in the engineer placing the train into emergency which could result in damage to the train, injury to passengers, and delay to passenger and railroad traffic. After notification by the TRE-approved flagman that no other trains are within the working limits, work may then resume. Violent arm, flag or flashlight movements while trains are passing indicates an emergency (requiring the train to stop) and must not be made unless an emergency exists. NEVER stand with your back to a moving train. Metal banding and other components sometimes break during shipment and can swing out several feet from the train. If a train is stopped on an adjacent track, work can be performed that is beyond eight (8) feet of the nearest rail of the adjacent track only when authorized by the TRE-approved flagman providing protection. Stepping or Sitting on Rails: Stepping, walking or sitting on the top of a rail is prohibited. The rail head becomes very slick from oil build up and presents a slipping hazard. Excavation: Excavating in the right-of-way (ROW) could result in damage to buried cables resulting in delay to railroad traffic. The TRE-CEO shall be notified in order to coordinate with the maintenance of way contractor to ensure signaling cables are not compromised. All underground and overhead wires are to be considered HIGH VOLTAGE and dangerous until verified with the company having ownership of the line. It is the Contractor’s responsibility to notify any other companies that have underground utilities in the area before excavating. All excavation will be protected as required and back-filled as quickly as possible. Operation of Vehicles and Equipment: Equipment and vehicles must operate at a safe speed being aware of operating conditions as well as other equipment and men working in close proximity. Vehicles left unattended must be secured so as to prevent unexpected roll away. Extreme caution must be exercised at all grade crossings.

STOP, LOOK AND LISTEN

“THINK”

When in Doubt, Take the Safe Course


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JOB BRIEFING GUIDELINES Safety, Quality, and Productivity are the results of well planned and conducted job briefings.

STEP I: Plan the Job Briefing

Develop your own work plan by: Reviewing work or task to be accomplished.

1. Checking the job location and work area. 2. Breaking the work or task down into step-by-step procedure. 3. Determining tool, equipment, and material requirements. 4. Determining what safety rules or procedures are applicable.

Consider existing and potential hazards that might be involved as a result of:

1. Job and weather conditions. 2. The nature of the work to be done. 3. The job location. 4. The tools, equipment, and materials used. 5. Equipment to be worked on. 6. Traffic conditions and visibility. 7. Time of day. 8. Safety or personal protective equipment required.

Consider how work assignments will be made.

1. Group assignments. 2. Individual assignments. 3. Abilities and experiences of individuals.

STEP II: Conduct the Job Briefing

Explain work or task to employees. 1. What is to be done. 2. Why is it to be done. 3. When it is to be done. 4. Where it is to be done. 5. How it is to be done. 6. Who is to do it. 7. What safety precautions are necessary.

Discuss existing or potential hazards and ways to eliminate or protect against them. Make definite work assignments.

1. Make sure employees understand assignments. 2. Ask questions of the “how” and “why” type.


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If special tools, materials, equipment, or methods are to be used, make sure employees know how to proceed safely. Issue all instructions clearly and concisely; check to see that they are understood.

STEP III: Job Brief for Special Conditions Complex jobs.

1. Brief only a portion of the job. 2. Give additional briefing as the job progresses.

Change in job conditions – when it becomes necessary to change plans and procedures as the job progresses, brief employees on these changes. (As an example: the weather condition changes)

STEP IV: Follow up by Supervisor

It is important that frequent checks be made as the job progresses to be sure that:

1. Your plans are being followed and correct work methods used. 2. Each person is carrying out their assigned responsibilities. 3. Any hidden hazards have been identified and action initiated to eliminate or

what precautions are required. STEP V: Individual Responsibility

All employees are responsible to see that the work plan is carried out according to the Job Briefing or modified when conditions change.


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APPENDIX G

TRINITY RAIL EXPRESS (TRE) PROJECTS

(NON-OCIP)


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APPENDIX G: TRINITY RAILWAY EXPRESS (TRE) PROJECTS (NON-OCIP) Trinity Railway Express (TRE) Projects: Safety & Security Program – Additional Requirements 1.3.7(Added) Contractor’s Safety Supervisor (CSS) (Added): Contractor’s Safety Supervisor (CSS)

The CSS will ensure compliance with all provisions of the contract relating to safety, including the DART’s Construction Safety Program, OSHA, and other agency and industry safety requirements and standards. Contractor’s Safety Supervisor or DART/TRE approved “Alternate” shall be physically present on construction site at all times during progress of the work, to provide continuous safety surveillance and supervision. Contractor shall submit for approval, individuals who may function as full time “Alternate.” NOTE: Failure to have an “approved” Safety Supervisor on the project site will result in issuance of a temporary “Stop Work” order. Note: The Contractor’s Safety Supervisor shall report directly to a corporate officer e.g., CEO and/or Corporate Safety Director, etc., and shall not report to the Project Manager and/or Superintendent.


An individual who, by academic preparation, or work experience; has mastered and applies the recognized body of knowledge in the safety profession to prevent injuries and illness, property and environmental damage. The Safety Supervisor should possess a Baccalaureate degree in safety, engineering or the physical sciences from an accredited college or university with minimum 3 to 5 years verifiable “construction safety” experience or have a minimum of 5-7 years experience in construction safety, along with rail/transit type construction safety experience.


C. The Contractor’s Safety Supervisor shall be assigned to the predominant shift with the greatest

exposure: e.g., workers’ hazardous activities, etc., with primary responsibilities that include the following:



(2) Stoppage of construction activities when, such action is warranted for protection of life




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laws and regulations and Authority orders and regulations; (5) Provide Job Foremen (including sub contractors) with appropriate training materials to

conduct weekly “tool box” safety meetings, and evaluate effectiveness of meetings; (6) Review safety meeting reports submitted by all Job Foremen and take necessary action to



(8) Responsibility for the control, availability and use of necessary safety equipment, including personal protective equipment (PPE) and apparel for the employees;

(9) Coordinate safety activities with the Authority, Consultants and the Insurers’ safety



The Contractor’s Safety Supervisor shall participate in these meetings; (11) Ensuring that adequate first-aid supplies are available at the work site and that personnel



(13) Supply safety posters, accident prevention signs and other safety literature to employees

and subcontractors;

(14) Conducting and documentation of daily safety inspection reports of the complete project. Completed report shall be provided to DART upon request. Report shall as a minimum reflect; safety discrepancies/deficiencies, unsafe/unhealthy activities, corrective action(s), on-site subcontractors, type equipment, etc.


PPE Compliance


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(15) Monitor contractor and subcontractor personnel to assure that no vehicles, equipment, or materials are illegally stored, parked, staged or operated on privately owned property i.e., residential areas, businesses, parking lots, vacant fields etc., without the expressed written approval of the property owner. Safety Supervisor shall direct immediate termination and/or removal of the aforementioned items from affected areas. Offending personnel are subject to immediate removal from the project.


requirements, accident reporting, drug/alcohol abuse/testing, hazard reporting, vehicle/equipment operations, Confined Space Entry, Fall Protection, etc. Training rosters reflecting names, dates and companies shall be maintained, and provided to DART/TRE upon demand.



C. Approved Alternate Safety Supervisor CSM may approve up to three (3) alternate individuals to act for the Safety Supervisor only when the Safety Supervisor is officially absent from the job site. If construction activities require additional safety management, the Contractor shall be required to employ additional safety professionals, as defined in section 1.3.7 (Added). Safety Supervisor alternate(s) cannot act for the Safety Supervisor for an unbroken period to exceed three (3) consecutive calendar days, without prior approval from the CSM. Alternate safety candidates shall be formally recommended (in writing) by project Safety Supervisor/Manager. Alternate Safety Supervisor(s) shall:



(6) possess a high school diploma and have 1-2 years, documented experience in the



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APPENDIX G: ATTACHMENT

TRINITY RAILWAYWAY EXPRESS

CONTRACTOR SAFETY BRIEFING GUIDELINES

(INCLUDES ALL NON-TRE PERSONNEL) Job Safety Briefing: Before beginning any task, a complete job safety briefing will be conducted with all individuals involved with the task, and again if the task changes. If the task may result in the tracks being fouled as discussed below, the job briefing must include the TRE-approved flagman. All contactor employees shall receive safety instruction from the Contractor’s safety officer or a qualified TRE representative prior to the start of any project. Contractor’s supervision shall review the safety guidelines contained in this briefing guideline to familiarize its employees with safety issues that exist when working in a railroad environment. This should be reviewed at least weekly, with existing employees and immediately with any new employee(s) coming on the job. It is the responsibility of the Contractor’s safety officer to instruct employees on these guidelines and to require their compliance. Housekeeping: Good housekeeping is of the utmost importance in the prevention of accidents, injuries and fires. Clean-up of construction sites shall be conducted on a daily basis. Personal Protective Equipment: All Contractor employees working on TRE property will be required to wear OSHA-approved safety glasses with side shields, hard hats, orange reflective vests, and above-the-ankle, safety steel-toed work boots, with a defined heel. Office employees restricted to office work will not be required to comply. During inclement weather, proper clothing to protect against frostbite, etc. will be worn. Particular attention to footing and the use of proper footwear is essential when working in snow or other slippery conditions. Hearing protection, fall protection and respirators will be worn as required by state and federal regulations and any additional requirements of the Contract. Fouling Tracks: Train or equipment movement should be expected on any track, in any direction, at any time. Work will not be performed within 25 feet of the centerline of nearest track without TRE-approved protection. There are different forms of protection (i.e., lookout, Form B, track & time) that can be utilized to protect work within 25 feet of the centerline of nearest track. Upon receiving details of the work to be performed, a TRE representative will determine what form of protection is required for the work to be accomplished safely and in the most efficient manner.


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If equipment, such as a crane, is being used beyond 25 feet of the centerline of nearest track but any piece of such equipment (such as the crane boom) could extend/reach within 25 feet of the centerline of the nearest track, then positive protection must be provided in order for that equipment to operate. Do not walk between rails or foul track, except when duties require and proper protection is provided. When necessary to cross tracks, look in both directions and keep a minimum of 25 feet from the nearest end of stationary rail equipment. Do not crawl under or between rail cars. Under certain conditions, trains and equipment can approach without being heard. Proper attention and protection are essential to personal safety when working near railroad tracks. Continuous fence (with TRE written approval) may be erected/utilized to allow certain work (such as work with hand tools only but not heavy equipment) to continue within 25 feet of the centerline of nearest track while trains are passing if so approved by the TRE Representative. Contractor may choose, at its expense, to erect a continuous fence no closer than 8 feet from the nearest rail of the adjacent track in an effort to improve work efficiency. After reviewing the scope of work Contractor wishes to perform, the fence specifications (height, material type and amount of support) will be determined by the TRE Representative. At a minimum, the fence shall be 4 feet in height (from the ground) and must be properly supported such that it remains vertical, cannot be easily crossed other than at approved crossing points and is clearly visible to workers and train crews. Work Protection: If work protection is provided, every employee must know:

1. A job briefing must be given before work commences. 2. Who the TRE-approved flagman is, and how to contact him or her. 3. Limits of the work protection. 4. The method of communication to stop and resume work. 5. Entry into work limits when designated.

Note: Personnel or equipment entering work limits that were not previously job briefed, must notify the flagman immediately, and be given a job briefing if working within 25 feet of the centerline of nearest track. Riding on Rail Equipment: Riding on rail equipment is prohibited. Damage to TRE Property: Any damage to TRE property shall be reported immediately to the TRE Chief Engineering Officer (TRE-CEO). Any vehicle or machine contact with a track, signal equipment or structure (bridge) could result in derailment and is to be reported by the quickest means possible to the TRE-CEO. If the damage is determined to be an emergency (safety of the trains and passengers are potentially in danger) and the TRE-CEO is not available, notify the TRE Dispatcher.


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Emergency numbers will be obtained from the TRE-CEO, prior to the start of any work, and posted at the job site for the duration of the project. Passing Trains: Except as may be allowed by the use of approved continuous fencing, when a train is approaching, men or equipment working less than 25 feet of the centerline of nearest track, will stop work at the direction of the TRE-approved flagman and move as far away from the track as practical, until the ENTIRE train has passed. This assures the train engineer that the train has been seen, and it is safe to proceed. Failure to do this could result in the engineer placing the train into emergency which could result in damage to the train, injury to passengers, and delay to passenger and railroad traffic. After notification by the TRE-approved flagman that no other trains are within the working limits, work may then resume. Violent arm, flag or flashlight movements while trains are passing indicates an emergency (requiring the train to stop) and must not be made unless an emergency exists. NEVER stand with your back to a moving train. Metal banding and other components sometimes break during shipment and can swing out several feet from the train. If a train is stopped on an adjacent track, work can be performed that is beyond eight (8) feet of the nearest rail of the adjacent track only when authorized by the TRE-approved flagman providing protection. Stepping or Sitting on Rails: Stepping, walking or sitting on the top of a rail is prohibited. The rail head becomes very slick from oil build up and presents a slipping hazard. Excavation: Excavating in the right-of-way (ROW) could result in damage to buried cables resulting in delay to railroad traffic. The TRE-CEO shall be notified in order to coordinate with the maintenance of way contractor to ensure signaling cables are not compromised. All underground and overhead wires are to be considered HIGH VOLTAGE and dangerous until verified with the company having ownership of the line. It is the Contractor’s responsibility to notify any other companies that have underground utilities in the area before excavating. All excavation will be protected as required and back-filled as quickly as possible. Operation of Vehicles and Equipment: Equipment and vehicles must operate at a safe speed being aware of operating conditions as well as other equipment and men working in close proximity. Vehicles left unattended must be secured so as to prevent unexpected roll away. Extreme caution must be exercised at all grade crossings.

STOP, LOOK, LISTEN AND

“THINK”

When in Doubt, Take the Safe Course


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JOB BRIEFING GUIDELINES Safety, Quality, and Productivity are the results of well planned and conducted job briefings.

STEP I: Plan the Job Briefing

Develop your own work plan by: Reviewing work or task to be accomplished.

1. Checking the job location and work area. 2. Breaking the work or task down into step-by-step procedure. 3. Determining tool, equipment, and material requirements. 4. Determining what safety rules or procedures are applicable.

Consider existing and potential hazards that might be involved as a result of:

1. Job and weather conditions. 2. The nature of the work to be done. 3. The job location. 4. The tools, equipment, and materials used. 5. Equipment to be worked on. 6. Traffic conditions and visibility. 7. Time of day. 8. Safety or personal protective equipment required.

Consider how work assignments will be made.

1. Group assignments. 2. Individual assignments. 3. Abilities and experiences of individuals.

STEP II: Conduct the Job Briefing

Explain work or task to employees.

1. What is to be done? 2. Why is it to be done? 3. When it is to be done? 4. Where it is to be done? 5. How it is to be done? 6. Who is to do it? 7. What safety precautions are necessary?


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Discuss existing or potential hazards and ways to eliminate or protect against them. Make definite work assignments.

1. Make sure employees understand assignments. 2. Ask questions of the “how” and “why” type.

If special tools, materials, equipment, or methods are to be used, make sure employees know how to proceed safely. Issue all instructions clearly and concisely; check to see that they are understood.

STEP III: Job Brief for Special Conditions Complex jobs.

1. Brief only a portion of the job. 2. Give additional briefing as the job progresses.

Change in job conditions – when it becomes necessary to change plans and procedures as the job progresses, brief employees on these changes. (As an example: the weather condition changes)

STEP IV: Follow up by Supervisor

It is important that frequent checks be made as the job progresses to be sure that:

1. Your plans are being followed and correct work methods used. 2. Each person is carrying out their assigned responsibilities. 3. Any hidden hazards have been identified and action initiated to eliminate or what precautions are required.

STEP V: Individual Responsibility

All employees are responsible to see that the work plan is carried out according to the Job Briefing or modified when conditions change.


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ACRONYMS – Definitions

ANSI American National Safety Institute CEO Chief Executive Officer CFR Code of Federal Requirement CIH Central Instrument House COR Contracting Officers Representative CSM Construction Safety Manager CSS Construction Safety Supervisor CSSA Construction Safety & Security Advisory committee DRMD DART, Risk Management Division EMS Emergency Medical Services FRA Federal Railroad Administration GEC General Engineering Consultant HAZCOM Hazard Communication LRT Light Rail Train MSHA Mine Safety & Health Administration NEC National Electric Code NFPA National Fire Protection Association NTP Notice to Proceed OCIP Owner Controlled Insurance Program OCS Overhead Catenary System OSHA Occupational Safety & Health Administration OTE On-Track-Equipment OWC Office of Worker Compensation (Texas) PM Project Manager PPE Personal Protective Equipment QA Quality Assurance RCM Resident Construction Manager ROW Right of Way RWP Roadway Worker Protection SDC System Design Consultant SIC System Integration Consultant SOP Standard Operating Procedures TCC Train Control Center TES Traction Electrification System TPSS Traction Power Sub-Station TRE Trinity Rail Express


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Page Blank

B-1020513


EXHIBIT O

SOLICITATION QUESTION

SUBMISSION FORM


DART Form 33.225C (08/04) Page 1 of 1 Exhibit O


EXHIBIT O SOLICITATION QUESTION SUBMISSION FORM

(Construction) This form may be duplicated and used to submit questions and requests for clarification related to this solicitation and shall be submitted to the contract person identified on the Solicitation, Offer and Award form. (See the appropriate clause in Exhibit C for information regarding questions and their submission.) Solicitation Reference: Exhibit/Other____________________, Page ____ of ____, Paragraph No. ______ Question or Request for Clarification (One per sheet) ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ ___________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________

Company Name Represented By ________________________________ Name: ____________________________Title: ___________________ Signature: _________________________________ Date: ___/___/___

B-1020513


EXHIBIT P

BID BOND


Form 33.208 (08/02) Page 1 of 2


EXHIBIT P

BID BOND

PRINCIPAL (Legal name and business address) Date Bond Executed: (must not be later than bid opening date)

Type Of Organization ("X" one) Individual Partnership Joint Venture

State of Incorporation:

SURETY(IES) (Name(s) and business address(es))

PENAL SUM OF BOND BID IDENTIFICATION

PERCENT OF BID PRICE BID DUE DATE: SOLICITATION #

% FOR ("X" one)

Construction Supplies Services

KNOW ALL MEN BY THESE PRESENTS, that we, the Principal and Surety(ies) hereto, are firmly bound to the Dallas Area Rapid Transit Authority (hereinafter called the Authority) in the above penal sum for the payment of which we bind ourselves, our heirs, executors, administrators, and successors, jointly and severally; provided, that, where the Sureties are corporations acting as co-sureties, we, the Sureties, bind ourselves in such sum "jointly and severally" as well as "severally" only for the purpose of allowing a joint action or action against any or all of us, and for all other purposes each Surety binds itself, jointly and severally with the Principal, for the payment of such sums only as it is set forth opposite the name of such Surety, but if no limit of liability is indicated, the limit of liability shall be the full amount of the penal sum. THE CONDITION OF THIS OBLIGATION IS SUCH, that whereas the Principal has submitted the bid identified above, if the Principal, upon acceptance by the Authority of his bid identified above, within the period specified therein for acceptance, shall execute such further contractual documents, if any, and give such bond(s) as may be required by the terms of the bid as accepted within the time specified (ten(10) days if no period is specified) after receipt of the forms by him, or in the event of failure so to execute such further contractual documents and give such bonds, if the Principal shall pay the Authority for any cost of procuring the work (including administrative costs) which exceeds the amount of his bid, then the above obligation shall be void and of no effect. Each surety executing this instrument hereby agrees that its obligation shall not be impaired by any extension(s) of the time for acceptance of the bid that the Principal may grant to the Authority, notice of which extension(s) to the Surety(ies) being hereby waived; provided, that such waiver of notice shall apply only with respect to extensions aggregating not more than sixty (60) calendar days in addition to the period originally allowed for acceptance of the bid; provided further, that if any legal action be filed upon this bond, venue shall lie exclusively in Dallas County, Texas. The entity identified as the RESIDENT AGENT of the Surety is hereby designated by the Surety as the Resident Agent in Dallas County to whom any requisite notices may be delivered and on whom service of process may be had in matters arising out of such suretyship. IN WITNESS WHEREOF, the Principal and Surety(ies) have executed this bid bond and have affixed their seals on the date set forth above.

PRINCIPAL

Signature(s) Typed Names and Titles Corporate Seal 1. (seal)

1.

2. (seal)

2.

INDIVIDUAL SURETIES Signature(s) Typed Names and Titles Corporate Seal

1. (seal)

1.

2. (seal)

2.


Form 33.208 (08/02) Page 2 of 2

CORPORATE SURETY(IES) (Surety A) Name & Address

State of Incorporation

Corporate Seal

Liability Limit $ Signature(s)

1. (seal) 2. (seal)

Name(s) & Title(s) (Typed)

1. 2.

The RESIDENT AGENT of the surety in Dallas County, Texas, for the delivery of notice and service of process is: Name: _______________________________________ Address: __________________________________________________________ _______________________________________________________________ (Surety B) Name & Address


Corporate Seal


1. (seal) 2. (seal)


1. 2.

The RESIDENT AGENT of the surety in Dallas County, Texas, for the delivery of notice and service of process is: Name: _______________________________________ Address: __________________________________________________________ ______________________________________________________________ (Surety C) Name & Address


Corporate Seal

Signature(s)

1. (seal) 2. (seal)


1. 2.

The RESIDENT AGENT of the surety in Dallas County, Texas, for the delivery of notice and service of process is: Name: _______________________________________ Address: __________________________________________________________ __________________________________________________________

INSTRUCTIONS 1. This form is authorized for use whenever a bid guaranty is required in connection with construction work or the furnishing of supplies or services. There shall be no deviation from this form without approval by the Authority. 2. The full legal name and business address of the Principal shall be inserted in the space designated "Principal" on the face of this form. The bond shall be signed by an authorized person. When such person is signing in a representative capacity (e.g., an attorney-in-fact), but is not a member of the firm, partnership, or joint venture, or an officer of the corporation involved, evidence of his authority must be furnished. 3. (a) Corporations executing the bond as sureties must be authorized to act as sureties on bonds for principals in the State of Texas. Where more than a single corporate surety in involved, their names and addresses (city and state) shall be inserted in the spaces (Surety A, Surety B, etc.) Headed "CORPORATE SURETY(IES)." In the space designated "SURETY(IES)" on the face of this form, only the letter identification of the Sureties shall be inserted. (b) Where individual sureties execute the bond, they shall be two or more fiscally responsible persons. A completed Affidavit of Individual Surety, for each individual surety, shall accompany the bond. Such sureties may be required to furnish additional substantiating information concerning their assets and financial capability as the Authority may require. 4. Corporations executing the bond shall affix their corporate seals. Individuals shall execute the bond opposite the word "Seal". 5. The name and title of each person signing this bid bond should be typed in the space provided.

B-1020513


EXHIBIT Q

PAYMENT BOND


Form 33.210 (06/98) Page 1 of 3


EXHIBIT Q

PAYMENT BOND PRINCIPAL (Legal name and business address) Date Bond Executed:

(must be same as or later than contract date) Type Of Organization ("X" one)

Individual Partnership Joint Venture Corporation


SURETY(IES) (Name(s) and business address(es)) PENAL SUM OF BOND

$

CONTRACT DATE CONTRACT NO.

KNOW ALL MEN BY THESE PRESENTS, that we, the Principal and Surety(ies) hereto, are firmly bound to the Dallas Area Rapid Transit Authority (hereinafter called the Authority) and to all persons, firms, and corporations who may furnish materials for, and perform labor under the contract referred to above, in the above penal sum for the payment of which we bind ourselves, heirs, executors, administrators, and successors, jointly and severally; provided, that, where the Sureties are corporations acting as co-sureties, we, the Sureties, bind ourselves in such sum "jointly and severally" as well as "severally" only for the purpose of allowing a joint action or action against any or all of us, and for all other purposes each Surety binds itself, jointly and severally with the Principal, for the payment of such sums only as it is set forth opposite the name of such Surety, but if no limit of liability is indicated, the limit of liability shall be the full amount of the penal sum. THE CONDITION OF THIS OBLIGATION IS SUCH THAT, whereas the Principal has entered into the contract identified above, NOW, THEREFORE, if the Principal shall promptly make payment to all persons supplying labor and/or material in the prosecution of the work provided for in said contract, and any and all duly authorized modifications of said contract that may hereafter be made, notice of which modification(s) to the Surety(ies) being hereby waived, then this obligation shall be void and of no effect; otherwise, it shall remain in full force and effect. This bond is given to pursuant to the provisions of V.T.C.A., Government Code, Chapter 2253, as amended, all of the requirements of which are fully incorporated by reference herein. If any legal action be filed upon this bond, venue shall lie exclusively in Dallas County, Texas. The entity identified as the RESIDENT AGENT of the Surety is hereby designated by the Surety as the Resident Agent in Dallas County to whom any requisite notices may be delivered and on whom service of process may be had in matters arising out of such suretyship. IN WITNESS WHEREOF, the Principal and Surety(ies) have executed this payment bond and have affixed their seals on the date set forth above.

PRINCIPAL Signature(s) Typed Names and Titles

Corporate Seal 1. (seal)

1. 2. (seal)

2. CORPORATE SURETY(IES)

(Surety A) Name & Address


Corporate Seal Liability Limit $

1. (seal) 2. (seal) Signature(s) Name(s) & Title(s) (Typed)

1. 2.


Form 33.210 (06/98) Page 2 of 3

The RESIDENT AGENT of the surety in Dallas County, Texas, for the delivery of notice and service of process is: Name: _______________________________________ Address:______________________________________________________ _________________________________________________________

CORPORATE SURETY(IES)

(Surety B) Name & Address


Corporate Seal

Liability Limit $

1. (seal) 2. (seal) Signature(s)


1. 2. The RESIDENT AGENT of the surety in Dallas County, Texas, for the delivery of notice and service of process is: Name: _______________________________________ Address: _______________________________________________________ ___________________________________________________________ (Surety C) Name & Address


Corporate Seal

Liability Limit $



1. 2. The RESIDENT AGENT of the surety in Dallas County, Texas, for the delivery of notice and service of process is: Name: _______________________________________ Address: _______________________________________________________ __________________________________________________________ (Surety D) Name & Address


Corporate Seal

Liability Limit $



1. 2. The RESIDENT AGENT of the surety in Dallas County, Texas, for the delivery of notice and service of process is: Name: _______________________________________ Address: _______________________________________________________ ___________________________________________________________


Form 33.210 (06/98) Page 3 of 3

INSTRUCTIONS

1. This form is authorized for use in connection with construction work or the furnishing of supplies or services. There shall be no deviation from this form without approval by the Authority. 2. The full legal name and business address of the Principal shall be inserted in the space designated "Principal" on the face of this form. The bond shall be signed by an authorized person. When such person is signing in a representative capacity (e.g., an attorney-in-fact), but is not a member of the firm, partnership, or joint venture, or an officer of the corporation involved, a certified copy of the Power of Attorney must be attached . If the amount of the bond exceeds $100,000, the surety(ies) shall be approved for the amount of the bonds, and must hold a certificate of authority from the U.S. Secretary of the Treasury or have obtained reinsurance from a Treasury listed insurer, in accordance with the requirements of Article 7.19-1, Vernon's Texas Insurance Code, as amended. 3. The bond shall be executed by a corporate surety or corporate sureties duly authorized to do business in the State of Texas and licensed by the State of Texas to issue surety bonds. 4. Where more than a single corporate surety in involved, their names and addresses (City and State) shall be inserted in the spaces (Surety A, Surety B, etc.) headed "CORPORATE SURETY(IES)." In the space designated "SURETY(IES)" on the face of this form, only the letter identification of the Sureties shall be inserted. 5. Corporations executing the bond shall affix their corporate seals. Individuals shall execute the bond opposite the word "Seal". 6. The name and title of each person signing this payment bond should be typed in the space provided.

B-1020513


EXHIBIT R

PERFORMANCE BOND


Form 33.209 (06/98) Page 1 of 2


EXHIBIT R

PERFORMANCE BOND

PRINCIPAL (Legal name and business address) Date Bond Executed: (must be same as or later than contract date)

Type Of Organization ("X" one) Individual Partnership Joint Venture Corporation

State of Incorporation SURETY(IES) (Name(s) and business address(es))

PENAL SUM OF BOND

$

CONTRACT DATE

CONTRACT NO.

KNOW ALL MEN BY THESE PRESENTS, that we, the Principal and Surety(ies) hereto, are firmly bound to the Dallas Area Rapid Transit Authority (hereinafter called the Authority) in the above penal sum for the payment of which we bind ourselves, our heirs, executors, administrators, and successors, jointly and severally; provided, that, where the Sureties are corporations acting as co-sureties, we, the Sureties, bind ourselves in such sum "jointly and severally" as well as "severally" only for the purpose of allowing a joint action or action against any or all of us, and for all other purposes each Surety binds itself, jointly and severally with the Principal, for the payment of such sums only as it is set forth opposite the name of such Surety, but if no limit of liability is indicated, the limit of liability shall be the full amount of the penal sum. THE CONDITION OF THIS OBLIGATION IS SUCH, whereas the Principal has entered into the contract identified above, if the Principal shall faithfully perform and fulfill all the undertakings, convenants, terms, conditions, and agreement of said contract, in accordance with the plans, specifications and contract documents, during the original term of said contract and any extensions thereof that may be granted by the Authority, with or without notice to the Surety(ies), and during the life of any guaranty required under the contract, and shall also faithfully perform and fulfill all the undertakings, convenants, terms, conditions, and agreements of any and all duly authorized modifications of said contract that may hereafter be made, notice of which modifications to the Surety(ies) being hereby waived, then this Obligation shall be void; otherwise, it shall remain in full force and effect. This bond is given pursuant to the provisions of V.T.C.A., Government Code, Chapter 2253, as amended, all the requirements of which are fully incorporated by reference herein. If any legal action be filed upon this bond, venue shall lie exclusively in Dallas County, Texas. The entity identified as the RESIDENT AGENT of the Surety is hereby designated by the Surety as the Resident Agent in Dallas County to whom any requisite notices may be delivered and on whom service of process may be had in matters arising out of such suretyship. IN WITNESS WHEREOF, the Principal and Surety(ies) have executed this performance bond and have affixed their seals on the date set forth above.

PRINCIPAL

Signature(s) Typed Names and Titles Corporate Seal 1. (seal)

1.

2. (seal)

2.

CORPORATE SURETY(IES) (Surety A) Name & Address


Corporate Seal


1. (seal) 2. (seal)


1. 2.

The RESIDENT AGENT of the surety in Dallas County, Texas, for the delivery of notice and service of process is: Name: _______________________________________ Address: __________________________________________________________ _______________________________________________________________


Form 33.209 (06/98) Page 2 of 2

CORPORATE SURETY(IES) (Surety B) Name & Address


Corporate Seal


1. (seal) 2. (seal)


1. 2.

The RESIDENT AGENT of the surety in Dallas County, Texas, for the delivery of notice and service of process is: Name: _______________________________________ Address: __________________________________________________________ ______________________________________________________________ (Surety C) Name & Address


Corporate Seal

Signature(s)

1. (seal) 2. (seal)


1. 2.

The RESIDENT AGENT of the surety in Dallas County, Texas, for the delivery of notice and service of process is: Name: _______________________________________ Address: __________________________________________________________ ______________________________________________________________

INSTRUCTIONS 1. This form is authorized for use in contracts with construction work or the furnishing of supplies or services. There shall be no deviation from this form without approval by the Authority. 2. The full legal name and business address of the Principal shall be inserted in the space designated "Principal" on the face of this form. The bond shall be signed by an authorized person. When such person is signing in a representative capacity (e.g., an attorney-in-fact), but is not a member of the firm, partnership, or joint venture, or an officer of the corporation involved, a certified copy of the Power of Attorney must be attached. 3. The bond shall be executed by a corporate surety or corporate sureties duly authorized to do business in the State of Texas and licensed by the State of Texas to insure surety bonds. If the amount of the bond exceeds $100,000, the surety(ies) shall be approved for the amount of the bonds, and must hold either a certificate of authority from the U.S. Secretary of the Treasury or have obtained reinsurance from a Treasury listed insurer, in accordance with the requirements of Article 7.19-1, Vernon’s Texas Insurance Code, as amended. 4. Where more than a single corporate surety is involved, their names and addresses (City and State) shall be inserted in the spaces (Surety A, Surety B, etc.) headed “CORPORATE SURETY(IES) “ on the face of this form, only the letter identification of the Sureties shall be inserted. 5. Corporations executing the bond shall affix their corporate seals. Individuals shall execute the bond opposite the word "Seal". 6. The name and title of each person signing this performance bond should be typed in the space provided.

B-1020513


EXHIBIT S

WAGE RATES

General Decision Number: TX100043 08/27/2010 TX43 Superseded General Decision Number: TX20080043 State: Texas Construction Types: Heavy and Highway Counties: Collin, Dallas, Denton, Ellis, Grayson, Johnson, Kaufman, Parker, Rockwall, Tarrant and Wichita Counties in Texas. HEAVY CONSTRUCTION - WICHITA COUNTY ONLY; HIGHWAY CONSTRUCTION - ALL COUNTIES Modification Number Publication Date 0 03/12/2010 1 08/27/2010 * SUTX2004-004 11/09/2004 Rates Fringes Air Tool Operator................$ 10.06 0.00 Asphalt Distributor Operator.....$ 13.99 0.00 Asphalt paving machine operator.........................$ 12.78 0.00 Asphalt Raker....................$ 11.01 0.00 Asphalt Shoveler.................$ 8.80 0.00 Batching Plant Weigher...........$ 14.15 0.00 Broom or Sweeper Operator........$ 9.88 0.00 Bulldozer operator...............$ 13.22 0.00 CARPENTER........................$ 12.80 0.00 Concrete Finisher, Paving........$ 12.85 0.00 Concrete Finisher, Structures....$ 13.27 0.00 Concrete Paving Curbing Machine Operator.................$ 12.00 0.00 Concrete Paving Finishing Maching Operator.................$ 13.63 0.00 Concrete Paving Joint Sealer Operator.........................$ 12.50 0.00 Concrete Paving Saw Operator.....$ 13.56 0.00 Concrete Paving Spreader Operator.........................$ 14.50 0.00

Page 1 of 4

6/2/2011http://www.wdol.gov/wdol/scafiles/davisbacon/TX43.dvb

Concrete Rubber..................$ 10.61 0.00 Crane, Clamshell, Backhoe, Derrick, Dragline, Shovel Operator.........................$ 14.12 0.00 ELECTRICIAN......................$ 18.12 0.00 Flagger..........................$ 8.43 0.00 Form Builder/Setter, Structures.......................$ 11.63 0.00 Form Setter, Paving & Curb.......$ 11.83 0.00 Foundation Drill Operator, Crawler Mounted..................$ 13.67 0.00 Foundation Drill Operator, Truck Mounted....................$ 16.30 0.00 Front End Loader Operator........$ 12.62 0.00 Laborer, common..................$ 9.18 0.00 Laborer, Utility.................$ 10.65 0.00 MECHANIC.........................$ 16.97 0.00 Milling Machine Operator, Fine Grade.......................$ 11.83 0.00 Mixer operator...................$ 11.58 0.00 Motor Grader Operator, Fine Grade............................$ 15.20 0.00 Motor Grader Operator, Rough.....$ 14.50 0.00 Oiler............................$ 14.98 0.00 Painter, Structures..............$ 13.17 0.00 Pavement Marking Machine Operator.........................$ 10.04 0.00 Pipelayer........................$ 11.04 0.00 Reinforcing Steel Setter, Paving...........................$ 14.86 0.00 Reinforcing Steel Setter, Structure........................$ 16.29 0.00 Roller Operator, Pneumatic, Self-Propelled...................$ 11.07 0.00 Roller Operator, Steel Wheel, Flat Wheel/Tamping...............$ 10.92 0.00

Page 2 of 4


Roller Operator, Steel Wheel, Plant Mix Pavement...............$ 11.28 0.00 Scraper Operator.................$ 11.42 0.00 Servicer.........................$ 12.32 0.00 Slip Form Machine Operator.......$ 12.33 0.00 Spreader Box operator............$ 10.92 0.00 Tractor operator, Crawler Type...$ 12.60 0.00 Tractor operator, Pneumatic......$ 12.91 0.00 Traveling Mixer Operator.........$ 12.03 0.00 Truck driver, lowboy-Float.......$ 14.93 0.00 Truck driver, Single Axle, Heavy............................$ 11.47 0.00 Truck driver, Single Axle, Light............................$ 10.91 0.00 Truck Driver, Tandem Axle, Semi-Trailer.....................$ 11.75 0.00 Truck Driver, Transit-Mix........$ 12.08 0.00 Wagon Drill, Boring Machine, Post Hole Driller Operator.......$ 14.00 0.00 WELDER...........................$ 13.57 0.00 Work Zone Barricade Servicer.....$ 10.09 0.00 ---------------------------------------------------------------- Unlisted classifications needed for work not included within the scope of the classifications listed may be added after award only as provided in the labor standards contract clauses (29CFR 5.5 (a) (1) (ii)). ---------------------------------------------------------------- In the listing above, the "SU" designation means that rates listed under the identifier do not reflect collectively bargained wage and fringe benefit rates. Other designations indicate unions whose rates have been determined to be prevailing. ---------------------------------------------------------------- WAGE DETERMINATION APPEALS PROCESS 1.) Has there been an initial decision in the matter? This can be: * an existing published wage determination

Page 3 of 4


* a survey underlying a wage determination * a Wage and Hour Division letter setting forth a position on a wage determination matter * a conformance (additional classification and rate) ruling On survey related matters, initial contact, including requests for summaries of surveys, should be with the Wage and Hour Regional Office for the area in which the survey was conducted because those Regional Offices have responsibility for the Davis-Bacon survey program. If the response from this initial contact is not satisfactory, then the process described in 2.) and 3.) should be followed. With regard to any other matter not yet ripe for the formal process described here, initial contact should be with the Branch of Construction Wage Determinations. Write to: Branch of Construction Wage Determinations Wage and Hour Division U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 2.) If the answer to the question in 1.) is yes, then an interested party (those affected by the action) can request review and reconsideration from the Wage and Hour Administrator (See 29 CFR Part 1.8 and 29 CFR Part 7). Write to: Wage and Hour Administrator U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 The request should be accompanied by a full statement of the interested party's position and by any information (wage payment data, project description, area practice material, etc.) that the requestor considers relevant to the issue. 3.) If the decision of the Administrator is not favorable, an interested party may appeal directly to the Administrative Review Board (formerly the Wage Appeals Board). Write to: Administrative Review Board U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 4.) All decisions by the Administrative Review Board are final. ================================================================ END OF GENERAL DECISION

Page 4 of 4


General Decision Number: TX100058 04/01/2011 TX58 Superseded General Decision Number: TX20080058 State: Texas Construction Type: Building Counties: Dallas, Ellis, Kaufman and Rockwall Counties in Texas. BUILDING CONSTRUCTION PROJECTS (does not include single family homes and apartments up to and including 4 stories). Use current HIGHWAY GENERAL WAGE DETERMINATION FOR PAVING AND UTILITIES INCIDENTAL TO BUILDING CONSTRUCTION) Modification Number Publication Date 0 03/12/2010 1 05/28/2010 2 06/04/2010 3 08/13/2010 4 10/01/2010 5 01/07/2011 6 02/11/2011 7 04/01/2011 BRTX0001-006 05/01/2009 Rates Fringes BRICKLAYER.......................$ 21.06 6.93 ---------------------------------------------------------------- CARP0429-001 01/01/2011 Rates Fringes CARPENTER........................$ 22.95 7.65 ---------------------------------------------------------------- ELEC0020-003 06/01/2010 Rates Fringes Electricians: Cable Splicer...............$ 26.41 4.50+12.5% Electrician.................$ 24.25 4.50+12.5% ---------------------------------------------------------------- ENGI0178-003 06/01/2009 Rates Fringes Cranes: Hydraulic Crane (35 ton & under)......................$ 23.70 9.35 Hydraulic over 35 tons,Derricks, Overhead Gentry,Stiffleg,Tower, etc., and Cranes with Piledriving or Caisson

Page 1 of 4


attachements................$ 24.70 9.35 ---------------------------------------------------------------- IRON0263-002 06/01/2009 Rates Fringes Ironworkers: Structural..................$ 21.60 4.40 ---------------------------------------------------------------- PLAS0061-001 05/01/1993 Rates Fringes PLASTERER........................$ 15.06 2.94 ---------------------------------------------------------------- * SFTX0669-001 04/01/2011 Rates Fringes SPRINKLER FITTER (Fire Sprinklers)......................$ 25.40 16.00 ---------------------------------------------------------------- SUTX1989-005 11/01/1989 Rates Fringes Acoustical Installer.............$ 12.16 Brick Tender.....................$ 8.60 1.30 CEMENT MASON/CONCRETE FINISHER...$ 11.38 DRYWALL HANGER...................$ 11.71 FLOOR LAYER: Carpet.............$ 13.13 GLAZIER..........................$ 12.26 1.10 IRONWORKER, REINFORCING..........$ 10.33 2.94 Laborer, Unskilled (Excluding Landscape Laborers)..............$ 7.58 1.30 LATHER...........................$ 17.38 1.04 Mechanical Insulator.............$ 10.55 1.00 Painters: Brush & Spray...............$ 10.76 2.20 Painters doing drywall finishing only..............$ 10.42 PAPERHANGER......................$ 11.30 2.20 Plasterer tender.................$ 9.00 Plumbers and Pipefitters (Including HVAC Pipe Work).......$ 12.80 1.63 Power equipment operators:

Page 2 of 4


Backhoes....................$ 10.64 1.41 Front End Loaders...........$ 8.77 ROOFER, Including Built Up, Composition and Single Ply Roofs............................$ 9.45 1.04 Sheet metal worker (Including HVAC Duct Work)..................$ 12.80 2.05 TILE SETTER......................$ 13.75 ---------------------------------------------------------------- WELDERS - Receive rate prescribed for craft performing operation to which welding is incidental. ================================================================ Unlisted classifications needed for work not included within the scope of the classifications listed may be added after award only as provided in the labor standards contract clauses (29CFR 5.5 (a) (1) (ii)). ---------------------------------------------------------------- In the listing above, the "SU" designation means that rates listed under the identifier do not reflect collectively bargained wage and fringe benefit rates. Other designations indicate unions whose rates have been determined to be prevailing. ---------------------------------------------------------------- WAGE DETERMINATION APPEALS PROCESS 1.) Has there been an initial decision in the matter? This can be: * an existing published wage determination * a survey underlying a wage determination * a Wage and Hour Division letter setting forth a position on a wage determination matter * a conformance (additional classification and rate) ruling On survey related matters, initial contact, including requests for summaries of surveys, should be with the Wage and Hour Regional Office for the area in which the survey was conducted because those Regional Offices have responsibility for the Davis-Bacon survey program. If the response from this initial contact is not satisfactory, then the process described in 2.) and 3.) should be followed. With regard to any other matter not yet ripe for the formal process described here, initial contact should be with the Branch of Construction Wage Determinations. Write to: Branch of Construction Wage Determinations Wage and Hour Division U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210

Page 3 of 4


2.) If the answer to the question in 1.) is yes, then an interested party (those affected by the action) can request review and reconsideration from the Wage and Hour Administrator (See 29 CFR Part 1.8 and 29 CFR Part 7). Write to: Wage and Hour Administrator U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 The request should be accompanied by a full statement of the interested party's position and by any information (wage payment data, project description, area practice material, etc.) that the requestor considers relevant to the issue. 3.) If the decision of the Administrator is not favorable, an interested party may appeal directly to the Administrative Review Board (formerly the Wage Appeals Board). Write to: Administrative Review Board U.S. Department of Labor 200 Constitution Avenue, N.W. Washington, DC 20210 4.) All decisions by the Administrative Review Board are final. ================================================================ END OF GENERAL DECISION

Page 4 of 4


B-1020513


EXHIBIT U

BUY AMERICA CERTIFICATE


Form 33.606B (05/04) Page 1 of 2 Exhibit U

DALLAS AREA RAPID TRANSIT DALLAS, TX

EXHIBIT U


(FEDERALLY ASSISTED CONTRACT)

INSTRUCTIONS

INSTRUCTIONS TO FORM 33.606B:

If the OFFER PRICE EXCEEDS $100,000, complete the certificate and submit it with your offer.

SECTION (1) Complete only for IRON, STEEL or MANUFACTURED PRODUCTS. SECTION (2) Complete only for ROLLING STOCK and ASSOCIATED EQUIPMENT. SECTION (3) SIGN and COMPLETE always.

CAUTION: Failure to return this form or to mark the appropriate in Section (1) OR Section (2) AND complete the information in Section (3), including a signature, may render your offer nonresponsive or unacceptable. DEFINITIONS: (Pursuant to 49 CFR 661) ASSOCIATED EQUIPMENT: All components or subcomponents of Rolling Stock, including, but not limited to, train control, communication and traction power equipment, and as otherwise defined in 49 CFR 661.11. IRON AND STEEL PRODUCTS: All construction materials made primarily of iron or steel and meant for use in infrastructure projects, including, but not limited to, structural iron or steel, iron or steel beams and columns, running rail and contact rail. This certification does not apply to iron or steel used as components or subcomponents of other manufactured products or rolling stock, or to metallurgic processes involving refinement of steel additives. MANUFACTURED PRODUCT: An item produced as a result of processes to alter the form or function of materials or of elements of the product in a manner adding value and transforming those materials or elements so that they represent a new end product functionally different from that which would result from the mere assembly of elements or materials. ROLLING STOCK: Transit vehicles, such as buses, vans, cars, railcars, locomotives, trolley cars and buses, and ferry boats, as well as, vehicles used for support services.


Form 33.606B (05/04) Page 2 of 2 Exhibit U


DALLAS, TX

EXHIBIT U


(FEDERALLY ASSISTED CONTRACT)

CERTIFICATE SECTION (1); Certify only for IRON, STEEL or MANUFACTURED PRODUCTS: (Mark One) CERTIFICATE OF COMPLIANCE WITH SECTION 165(a). The offeror hereby certifies that it will comply

with the requirements of Section 165(a) of the Surface Transportation Assistance Act of 1982, as amended, and the applicable regulations of 49 CFR Part 661;

--OR--

CERTIFICATE FOR NON-COMPLIANCE WITH SECTION 165(a). The offeror hereby certifies that it

cannot comply with the requirements of Section 165(a) of the Surface Transportation Assistance Act of 1982, as amended, but it may qualify for an exception to the requirement pursuant to Section 165(b)(2) or (b)(4) of the Surface Transportation Assistance Act, as amended, and regulations in 49 CFR Part 661.7.

SECTION (2); Certify only for ROLLING STOCK and ASSOCIATED EQUIPMENT: (Mark One) CERTIFICATE OF COMPLIANCE WITH SECTION 165(b)(3). The offeror hereby certifies that it will

comply with the requirements of Section 165(b)(3) of the Surface Transportation Assistance Act of 1982, as amended, and the applicable regulations of 49 CFR Part 661.11;

--OR--

CERTIFICATE FOR NON-COMPLIANCE WITH SECTION 165(b)(3). The offeror hereby certifies that it

cannot comply with the requirements of Section 165(b)(3) of the Surface Transportation Assistance Act of 1982, as amended, but it may qualify for an exception to the requirement consistent with Section 165(b)(2) or (b)(4) of the Surface Transportation Assistance Act, as amended, and regulations in 49 CFR Part 661.7.

SECTION (3); OFFEROR'S SIGNATURE: (Sign, Date and Enter Your Title and the Name of Your Company) ________________________________________________ ______________________ SIGNATURE DATE _________________________________________________________ TITLE _________________________________________________________ NAME OF COMPANY

B-1020513


EXHIBIT V

EMPLOYEE

INFORMATION REPORT


DART Form 33.254(04/04) Page 1 of 2

DALLAS AREA RAPID TRANSIT AUTHORITY DALLAS, TX

EXHIBIT V

EMPLOYEE INFORMATION REPORT

SECTION A - TYPE OF REPORT

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).

Single Establishment Employer Report Multi-Establishment Employer, Consolidated Report (Required) Multi-Establishment Employer, Headquarters Unit Report (Required) Multi-Establishment Employer, Individual Establishment Report (submit one for each

establishment with 50 or more employees) Multi-Establishment Employer, Special Report

Total number of reports being filed by this company (answer only if consolidated report).

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

Parent Company Name & Address:

Establishment Completing Report

Name & Address (Omit if same as above)

Employer ID Number:

SECTION C - 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.)


DART Form 33.254(04/04) Page 2 of 2

SECTION D-EMPLOYMENT DATA

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 form in the instructions. Enter the appropriate figures on all lines and in all columns. Blank spaces will be considered zeros.

JOB CATEGORIES

NUMBER OF EMPLOYEES

Overall Totals

(Sum of Col. B

Thru K)

MALE

FEMALE

White (Not of

Hispanic Origin)

Black (Not of

Hispanic Origin)

Hispanic Asian or Pacific

Islander American Indian

or Alaskan Native

White (Not of

Hispanic Origin)

Black (Not of

Hispanic Origin)

Hispanic Asian or Pacific

Islander American Indian

or Alaskan Native

Officials/Managers Professionals Technicians Sales Workers Office & Clerical Craft Workers (Skilled)

Operatives (Semi-Skilled)

Laborers (Unskilled)

Service Workers TOTAL Answer if not consolidated report: Dates of Payroll Period

Used

Does the establishment employ apprentices?

SECTION E - CERTIFICATION (See Instructions concerning certification in Exhibit G)

Check One: All reports are accurate and were prepared in accordance with the instructions (check on consolidated only)

This report is accurate and was prepared in accordance with the instructions.

Name/Title of Certifying Official

Signature Date:

Contact Name

Address (Number & Street)

Title City & State

Zip Code Telephone Extension