this project is a small business enterprise (sbe) set

METRO 18-77COIFB NO. MA54516ISSUED: 06.15.18

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SUBMIT TO: INVITATION FOR BID

LOS ANGELES COUNTY METROPOLITAN BID NO.: MA54516TRANSPORTATION AUTHORITYONE GATEWAY PLAZA ISSUED: June 15, 2018LOS ANGELES, CA 90012-2952 SHIPMENTS TO BE PREPAID

F.O.B. Destination TO:

CMF470 Bauchet StreetLos Angeles, CA 90012

VENDOR IS TO INCLUDEALL DELIVERY EXPENSESIN BID PRICE(S)

BIDS ARE REQUESTED FOR: KIT – ROUTER, WIRELESS

This project is a Small Business Enterprise (SBE) Set-Aside contract. To participate in this IFB,bidders must be SBE certified with Metro prior to bid due date.

THE FOLLOWING REQUIREMENTS AND CONDITIONS SHALL BE CONSIDERED AN ESSENTIALPART OF THE SPECIFICATION.

FIXED UNIT PRICES on an Indefinite Delivery, Indefinite Quantity (IDIQ) are requested for a TWELVEMONTH period from date of Notice to Proceed with a (1) one year options for an additionalquantity/period, at the election of METRO contingent upon availability of funding and as set forth in PartI, OPTIONS

All bidders and subcontractors who will be awarded with a contract with a total price equal to orgreater than $100,000 will be required to complete a Pre-Qualification Application Form. Failureto do so may cause your bid to be rejected as non-responsive. One copy of the Application form(the original) and the required attachments must be submitted directly to the Pre-Qualification Office inan envelope clearly marked “Pre-Qualification Application.” Do not attach them to or submit them withthe bid document.

Award will be made to the lowest responsive, responsible bidder(s). METRO reserves the right to awardon an item by item basis, aggregate of items or the total bid, whichever is in the best interest of METRO.By submission of its bid, bidder agrees that its pricing shall remain firm under any of these conditions.

BIDDERS ARE TO SUBMIT ONE ORIGINAL AND TWO (2) COPIES OF ONLY THEREQUIRED FORMS LISTED ON PAGE 2.

DOCUMENTS TO BE SUBMITTED WITH THE BID ARE LISTED BELOW. FAILURE TO INCLUDEEACH OF THE REQUIRED FORMS WITH THE BID SUBMITTAL MAY RESULT IN ADETERMINATION OF NON-RESPONSIVENESS, AND SHALL PRECLUDE SUCH BIDS FROMCONSIDERATION FOR AWARD.


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FORMS REQUIRED TO BE RETURNED ALONG WITH BID SUBMITTAL

Attachment "A" – SCHEDULE OF QUANTITIES AND PRICES

Section 1 Buy AmericaSection 2 Ineligible Contractor

Certification of Prospective Contractor Regarding Debarment,Suspension, Ineligibility and Voluntary Exclusion - Primary CoveredTransactionsCertification of Prospective Lower Tier Participant RegardingDebarment, Suspension, and Other Ineligibility and Voluntary Exclusion- Lower Tier Covered Transactions

Section 3 Co-Operative Purchasing Among Government AgenciesSection 4 Contractor Background

Attachment “B” - METRO Code of Conduct, Lobby Ordinance and Certifications1. Certification of Compliance with Federal Lobbying Requirements2. Ethics Declaration

This project is a Small Business Enterprise (SBE) Set-Aside contract. To participate inthis IFB, bidders must be SBE certified with Metro prior to bid due date.

Attachment “C” - Attachment “C” – Set-Aside Race Conscious Disadvantaged BusinessEnterprise Participation (RC-FTA)1. Letter of Invitation Supplement2. Contract Compliance Manual3. SBE Instructions and Required Bidder’s Forms

PLEASE REFER TO ATTACHMENT “C” FOR REQUIRED FORMS LISTED ABOVE

Bidders having questions regarding the SBE REQUIREMENTS on this procurement are tocontact Jerome Jacobsen of Metro’s Contract Compliance DBE Department at (213) 922-3447.

Attachment “D” Bid Letter

Attachment “E” Pre-Qualification Application

Material Safety Data Sheets (if applicable)

Attachment “G” Technical Specification Compliance Matrix

BIDDER'S STATEMENT MUST BE SIGNED BY A DULY AUTHORIZED OFFICIAL OF THE COMPANYAND RETURNED WITH THE BID DOCUMENTS.

Bidders requesting further bid information are to contact Juelene Close at (213) 922-1066, [email protected].

METRO will answer all substantive questions and accept or deny all requests on or before close ofbusiness July 13, 2018, by way of amendment.

THIS BID MUST BE DELIVERED TO THE LOS ANGELES COUNTY METROPOLITANTRANSPORTATION AUTHORITY AT THE PROCUREMENT DEPARTMENT, 9th FLOOR, ONEGATEWAY PLAZA, (CORNER OF VIGNES AND CESAR CHAVEZ) LOS ANGELES, CA, 90012-2952,NO LATER THAN 1:00 P.M., LOCAL TIME, on JULY 23, 2018. BIDS RECEIVED AFTER THATEXACT TIME WILL NOT BE CONSIDERED. THE ONLY ACCEPTABLE EVIDENCE TO ESTABLISH


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THE TIME OF RECEIPT IS THE DATE/TIME STAMP IMPRINTED UPON THE BID PACKAGE BY THEDATE/TIME RECORDER AT THE PROCUREMENT RECEPTION DESK.

DATE DUE: July 23, 2018, 1:00 p.m., Local Time

BIDS WILL BE OPENED IN PUBLIC AT THE ABOVE ADDRESS AT TIME INDICATED. AT THAT TIMEANY PERSON PRESENT SHALL HAVE THE RIGHT TO HAVE ANY PART OF THE BID READALOUD. METRO RESERVES THE RIGHT TO ACCEPT OR REJECT ANY AND ALL BIDS, OR ANYITEM OR PART THEREOF OR TO WAIVE ANY INFORMALITY IN BIDS.

ALL VERBAL MODIFICATIONS OF THESE CONDITIONS OR SPECIFICATIONS ARE VOID ANDINEFFECTIVE FOR BID EVALUATION PURPOSES. ONLY WRITTEN CHANGES ISSUED BYMETRO'S PROCUREMENT OFFICER ARE AUTHORIZED AND BINDING.

CRITICAL DATES

Bid Issued: June 15, 2018Pre-Bid Conference: June 22, 2018Comments and Questions: June 29, 2018 1:00 p.m.Response to Comments and Questions July 13, 2018Pre-Qualification Form Due (separate envelope) July 23, 2018Bid Closed/Opening: July 23, 2018 1:00 p.m.

NOTE:

YOUR BID OFFER MUST BE MAILED ALONG WITH THE BIDDER’S STATEMENT AND ALL

REQUIRED FORMS DUE NO LATER THAN 1:00 P.M., July 23, 2018. IF INSTRUCTIONS OF THISBID PACKAGE IS NOT FOLLOWED YOUR BID WILL BE DEEMED NON-RESPONSIVE.

READ CAREFULLY ALL PARAGRAPHS


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BID NO. MA54516KIT – ROUTER, WIRELESS

INDEXPage No.

PART I General Terms and Conditions 5

PART II Contract Requirements 8

PART III Technical Requirements 21

PART IV Attachments 46

Attachment "A" SCHEDULE OF QUANTITIES AND PRICES

Section 1 - Buy America ProvisionsSection 2 - Ineligible Contractor StatementCertification of Prospective Contractor Regarding Debarment,Suspension, Ineligibility and Voluntary Exclusion - Primary CoveredTransactionsCertification of Prospective Lower Tier Participant RegardingDebarment, Suspension, and Other Ineligibility and Voluntary Exclusion- Lower Tier Covered TransactionsSection 3 – Co-Operative Purchasing Among Government AgenciesSection 4 – Contractor Background

Attachment “B” METRO Code of Conduct, Lobby Ordinance and Certifications1. Certification of Compliance with Federal Lobbying Requirements2. Ethics Declaration

Attachment “C” Set-Aside Race Conscious Disadvantaged Business EnterpriseParticipation (RC-FTA)

1. Letter of Invitation Supplement2. Contract Compliance Manual3. SBE Instructions and Required Bidder’s Forms

Attachment “D” Bid Letter (mandatory)Attachment “E” Pre-Qualification ApplicationAttachment “F” Palletizing and Packaging RequirementsAttachment “G” Technical Specification Compliance Matrix


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Part IBID NO. MA54516

KIT – ROUTER, WIRELESS

GENERAL TERMS AND CONDITIONS

1. Bids will be opened in public at the address and time indicated. At that time any person present,shall have the right to have any part of bid read aloud. METRO reserves the right to accept orreject any and all bids, or any item or part thereof; or to waive any informality in bids.

2. All verbal modifications of these conditions or specifications are void and ineffective for bidevaluation purposes. Only written changes issued bidders by Metro’s Contracting Officer areauthorized and binding.

3. METRO reserves the right to make award within 120 calendar days from the date bids areopened. Should award in whole or part be delayed beyond the period of 120 days, such awardshall be conditioned upon bidder's acceptance.

4. Bidder agrees that to his knowledge no board member, officer of employee of METRO has anyinterest, whether contractual, non-contractual, financial or otherwise, in this transaction, or in thebusiness of the contracting party other that METRO, and that if any such interest comes to theknowledge of either party at any time, a full and complete disclosure of all such information willbe made in writing to the other parties, even if such interest would not be considered a conflict ofinterest under Article 4 of Chapter 1 of Division 4 of Title 1 (commencing with Section 1090) onTitle 9, Chapter 7 (commencing with Section 87100) of the Government code of the State ofCalifornia.

5. METRO is exempt from the payment of Federal Excise and Transportation taxes, so such taxesmust not be included in bid prices.

6. Award will be made to the lowest responsive, responsible bidder (s). METRO reserves the rightto award on an item by item basis, aggregate of items or the total bid, whichever is in the bestinterest of METRO. Delivery time may also be taken into consideration of award. By submissionof its bid, bidder agrees that its pricing shall remain firm under any of these conditions.

If Option pricing is requested, the evaluation for Contract Award will be based upon theBase Contract, plus Option(s), in any possible combination, as determined by METRO.Bidders MUST bid on the base and options to be considered for award.

7. Successful bidder and/or bidders will be required to sign a written contract or purchase order inaccordance with and including as a part thereof the published notice of Invitations to Bid therequirement, conditions and specifications, with no exceptions other than those specifically listedin the written contract or purchase order.

8. Failure of a Contractor to perform acceptable services or delivery of products within the timespecified or within reasonable time as interpreted by Metro’s Contracting Officer, will constituteauthority for the latter to purchase in the open market to replace the material/equipment rejectedor not delivered. On all such purchases, the Contractor agrees to promptly reimburse METROfor excess costs incurred by such purchases.

9. Bonds must be posted with Metro’s Director of Purchasing, as follows: NONE

10. Bidder must state cash discount offered if any. Cash discount will not be considered in the awardevaluation.


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11. This quotation is subject to a state and local sales tax which shall be shown separately, but is apart of the contract price.

12. Conditional or qualified bids may be deemed non-responsive. Metro’s bid specifications takeprecedence over the Contractor's terms and conditions of sale.

13. METRO employees, members of the Board of Directors and all METRO consultants are subjectto Metro’s Code of Conduct. A copy of this document is available for review in the Office ofProcurement, One Gateway Plaza, Los Angeles, CA 90012.

14. Responsibility Criteria: Bidders must be able to demonstrate that they are responsible orqualified to perform pursuant to the specifications. The standard for evaluating responsibility willbe based on the following criteria:

A. Have adequate financial resources to perform the contract.B. Be able to comply with the required or proposed delivery or performance schedule.C. Have a satisfactory performance record.D. Have a satisfactory record of integrity and business ethics.E. Have the necessary organization, manufacturing and/or distribution facilities, experience,

accounting/operational controls and technical skills necessary to perform the contract.At its election, METRO may require a satisfactory demonstration of these factors as acondition for contract award and/or continued contract performance.

15. Any exception taken may result in the bid being rejected as nonresponsive. Bidders are requiredto submit any questions and comments no later than 1:00 p.m. June 29, 2018.

16. The successful bidder will be required to sign up for Electronic Funds Transferpayment(s) unless a request for waiver is received in writing. The successful bidder willinvoice METRO for each delivery. Invoices shall have unique invoice numbers and shall showdelivery dates, location(s), quantities and packing slip numbers. Invoices shall also prominentlydisplay Metro’s assigned Purchase Order or Contract number.

One copy of each invoice is to be mailed to:

Los Angeles County Metropolitan Transportation AuthorityAccounts PayableP.O. Box 512296Los Angeles, CA 90051-2296

METRO shall make payment on all correct invoices within 30 days of receipt of correct invoiceunless otherwise agreed in writing. METRO does not pay interest on late payments.

17. The bid quantities provided are estimated totals based on historical usage. All orders will beplaced on an "AS NEEDED" basis. Reference Part II, "CONTRACT REQUIREMENTS".

18. Bidders shall include all costs in the unit prices bid.

19. The successful bidder shall maintain and make available the technical services of competentengineers and necessary laboratory services for the purpose of assisting METRO in resolvingany problems that may arise in connection with the use of the product being supplied.

20. Comments and questions concerning the specifications shall be made in writing and mailed to:

Los Angeles County Metropolitan Transportation AuthorityProcurement Department, 9th FloorOne Gateway Plaza


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Los Angeles, CA 90012-2952Attn: Juelene CloseEmail: [email protected]

Such comments and questions must be received in accordance with the date that has beenestablished (see Critical Dates Schedule). Comments and questions received later than the timeand date specified, shall not be considered in amending the specifications, and shall not beconsidered in making the award.

21. DELIVERY TIME Delivery is to be quoted in "CALENDAR DAYS" after receipt of order. Theterms "ASAP" or "As Required" are not sufficient for the purposes of this bid.

22. BUY BACK RESERVED

23. OPTIONS Prior to expiration of the contract, METRO may, at its sole discretion, elect toexercise an option for an additional quantity/term as specified herein. Bidder hereby certifiesthat pricing offered for the option period(s) shall remain firm.

24. An alternative product submitted by the apparent low bidder may be considered for testing andapproval, but only, if in the judgment of METRO, testing or other investigation required todetermine whether it is equal to an item or items indicated, or its lack of availability, will notdelay award or performance of the Contract. If the product is subsequently found to beacceptable, it will be considered in the following solicitation.

25. Bids shall be signed by bidder's authorized representative and the entire submittal returned in asealed envelope. The sealed envelope should clearly identify the bid name and number.The name and address of bidder should appear in the upper left hand corner of theenvelope.

26. EVALUATION SUPPORT DATA AND SAMPLES Each bidder may be required to furnish proofof compliance in order to confirm that the product offered meets or exceeds the technicalspecification requirements. Additional technical data and/or sample(s) are to be furnished at nocharge within five business days from date of request.

27. CALIFORNIA DEBARRED CONTRACTORS AND SUBCONTRACTORS (June 2000)

Sections 1720 et seq. Of the Labor Code and Section 6109 of the Public Contract Code apply tothe Contract, and each potential Contractor and Subcontractor is responsible to be in fullcompliance with those laws.

28. NOT APPLICABLE FOR THIS BID. If applicable, the Bidder understands that bidderresponsiveness to the DBE Goal is mandatory for award.

(SPECIAL TERMS AND CONDITIONS REGARDING STOCKING AND DELIVERY)29. POINT OF DELIVERY is listed below.

CMF 470 Bauchet Street, Los Angeles 90012

Metro reserves the right to add or delete delivery locations at no additional cost.

Such deliveries are expressly limited to the hours between 9:00 a.m. and 3:00 p.m. ONLY. Thesuccessful bidder shall bear all delivery expense. IN CASE OF EMERGENCY, the successfulbidder agrees to support Metro’s operations by delivering on Saturdays, Sundays and Holidays.In addition, the successful bidder shall provide METRO with a listing of telephone or pagernumbers for use in emergencies.

30. PACKAGING


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All items shall be packaged in accordance with the packaging requirements attached hereto asAttachment “F” for CMF or Division 30. If shipment requirements are not followed orders will berefused delivery.


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Part IIBID NO. MA54516


CONTRACT REQUIREMENTS

(X) Equipment/Material Contracts( ) Professional Services

The following clauses if marked with an "x" in the square provided are incorporated herein and made partof the contract requirements. Such clauses shall also be incorporated in all subcontracts issued pursuantto this contract.

( X ) 1. FEDERAL FUNDING

METRO acknowledges that this procurement for goods or services is funded withFederal FTA assistance.

( X ) 2. GOVERNING LAW

The validity of this contract and of any of its terms and provisions, as well as the rightsand duties of the parties hereunder shall be governed by the laws of the State ofCalifornia.

( X ) 3. NO GOVERNMENT OBLIGATION TO THIRD PARTIES

A. Applicability

This Article applies to all federally funded contracts.

B. Notwithstanding any concurrence by the Federal Government in or approval of thesolicitation or award this Contract, absent the express written consent by the FederalGovernment, the Federal Government is not a party to this Contract and shall not besubject to any obligations or liabilities to METRO, Contractor, or any other party(whether or not a party to that Contract) pertaining to any matter resulting from thisContract.

Contractor shall include this Article in each Subcontract and shall not modify theArticle, except to identify the Subcontractor who will be subject to its provisions.

( X ) 4. PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMENTS OR RELATEDACTS

A. Applicability


The provisions of the Program Fraud Civil Remedies Act of 1986, as amended, 31U.S.C. § 3801 et seq. and U.S. DOT regulations, “Program Fraud Civil Remedies,”49 C.F.R. Part 31, shall apply to actions pertaining to this Contract. Upon executionof this Contract, Contractor certifies or affirms the truthfulness and accuracy of anystatement it has made, it makes, it may make, or causes to be made, pertaining thisContract or the FTA assisted project for which this Contract work is being performed.In addition to other penalties that may be applicable, Contractor further


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acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulentclaim, statement, submission, or certification, the Federal Government reserves theright to impose the penalties of the Program Fraud Civil Remedies Act of 1986 onContractor to the extent the Federal Government deems appropriate.

B. Contractor also acknowledges that this Contract is connected with a project that isfinanced in whole or in part with Federal assistance originally awarded by FTA underauthority of 49 U.S.C. § 5307 and if it makes, or causes to be made, a false,fictitious, or fraudulent claim, statement, submission, or certification to the FederalGovernment, the Government reserves the right to impose the penalties of 18U.S.C. § 1001 and 49 U.S.C. § 5307(n)(1) on Contractor, to the extent the FederalGovernment deems appropriate.

C. Contractor shall include this Article in each subcontract financed in whole or in partwith Federal assistance provided by FTA. Contractor shall not modify the Article,except to identify the Subcontractor who will be subject to the provisions.

( X ) 5. FEDERAL FUNDING, INCORPORATION OF FEDERAL TRANSIT ADMINISTRATION(FTA) TERMS, AND FEDERAL CHANGES

A. Applicability


B. This Contract includes, in part, certain Standard Terms and Conditions required byDOT, whether or not expressly set forth in the Contract provisions. All contractualprovisions required by DOT, as set forth in FTA Circular 4220.1F, dated November1, 2008 is hereby incorporated by reference. Anything to the contrary hereinnotwithstanding, all FTA mandated terms shall be deemed to control in the event ofa conflict with other provisions contained in this Contract. Contractor shall notperform any act, fail to perform any act, or refuse to comply with any METROrequests which would cause METRO to be in violation of the FTA terms andconditions.

This Contract is subject to a financial assistance agreement between METRO andthe Federal Transit Administration of the US Department of Transportation and alllaws, regulations, guidelines, and provisions of the financial assistance agreementapply to this Contract and are incorporated by reference as if fully set forth herein.

C. Contractor shall at all times comply with all applicable federal laws and regulations,including without limitation FTA regulations, policies, procedures and directives,including those listed directly or by reference in Applicable Grant Agreementsbetween METRO and FTA, as they may be amended or promulgated from time totime during the terms of this Contract collectively “Federal Requirements”. TheseFederal Requirements may change and the changed Federal Requirements willapply to this Contract as required unless the Federal Government determinesotherwise. Contractor’s failure to so comply with the Federal Requirements shallconstitute a material breach of this Contract.

( X ) 6. FLY AMERICA

Applicability

This Article applies to federally funded contracts if the contract or subcontracts mayinvolve the international transportation of goods, equipment, or personnel by air.


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Contractor agrees to comply with 49 U.S.C. 40118 (the “Fly America” Act) in accordancewith the General Services Administration’s regulations at 41 CFR Part 301-10, whichprovide that recipients and sub-recipients of Federal funds and their contractors arerequired to use U.S. Flag air carriers for U.S. Government-financed international airtravel and transportation of their personal effects or property, to the extent such serviceis available, unless travel by foreign air carrier is a matter of necessity, as defined by theFly America Act. Contractor shall submit, if a foreign air carrier was used, anappropriate 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 andshall, in any event, provide a certificate of compliance with the Fly Americarequirements. Contractor agrees to include the requirements of this section in allsubcontracts that may involve international air transportation.

( X ) 7. NONRESTRICTIVE CLAUSES

Wherever brand, manufacturer or product names are indicated in these specifications,they are included for the purposes of establishing identification and a general descriptionof the item. Wherever such names appear, the term "OR APPROVED EQUAL" isconsidered to follow. The decision on the approved equal will be rendered by METRO.

It should be understood that specifying a brand name, components and/or equipment inthis specification shall not relieve the supplier from his responsibility to produce theproduct in accordance with the performance warranty and contractual requirements. Thesupplier is responsible for notifying METRO of any inappropriate brand name,component and/or equipment that may be called for in the specifications, and to proposea suitable substitute for consideration.

( X ) 8. INTEREST OF MEMBERS OF OR DELEGATES TO CONGRESS

No member of or delegate to the Congress of the United States shall be admitted to anyshare or part of this contract or to any benefit arising therefrom.

( X ) 9. PROHIBITED INTERESTS

No member, officer or employee of METRO, or of a local public body, during his tenureor for one year thereafter shall have any interest, direct or indirect, in this contract or theproceeds thereof.

To Metro’s or Contractor's knowledge, no board member, officer or employee of METROhas any interest, whether contractual, noncontractual, financial or otherwise in thistransaction, or in the business of the Contractor; and if any such interest comes to theknowledge of either party at any time, a full and complete disclosure of all suchinformation will be made in writing to the other party, even if such interest would not beconsidered a conflict under Article 4 of Division 4 (commencing with Section 87100) ofthe Government Code of the State of California.

( X ) 10. EQUAL EMPLOYMENT OPPORTUNITY

During the performance of this contract, the Contractor agrees as follows:

The Contractor will not discriminate against any employee or applicant for employmentbecause of race, religion, color, sex, or national origin. The Contractor shall takeaffirmative action to insure that applicants are employed, and that employees are treatedduring their employment without regard to their race, religion, color, sex, or national


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origin. Such actions shall include, but not be limited to the following: employmentupgrading, demotion, or transfer; recruitment, or recruitment advertising; layoff, ortermination; rates of pay, or other forms of compensation; and selection for training,including apprenticeship.

( X ) 11. CONTRACT COMPLIANCE MANUAL

Please be advised that the Contract Compliance Manual will be incorporated into anycontract issued under this procurement. The Contract Compliance Manual addressesissues with respect to the SBE Set-Aside Program. A copy of SBE Set-Aside Program isavailable in the Diversity and Economic Opportunity Office and a copy of the ContractCompliance Manual is available by contacting the responsible Buyer or ContractAdministrator.

( X ) 12. SBE PARTICIPATION

Metro has determined that this solicitation is a race neutral “Small Business EnterpriseSet-Aside” project. Pursuant to the Metro DBE Program Race-Neutral SBE Set-AsidePolicy and in compliance with 49 CFR Section 26.39 “Fostering Small BusinessParticipation”:

Refer to Attachment C, Letter of Invitations Supplement (FTA).

( X ) 13. PAYMENTS

The Contract shall be paid, upon the submission of proper invoices or vouchers, theprices stipulated herein for supplies delivered and accepted or services rendered andaccepted, less deductions, if any, as herein provided.

( X ) 14. AUDIT AND INSPECTION OF RECORDS

Contractor shall permit the authorized representatives of METRO, the U.S. Departmentof Transportation and the Comptroller General of the United States to inspect and auditall records of the Contractor relating to his performance and his subcontractors' underthe contract from date of contract through and until expiration of three years aftercompletion of contract which federal funds are used.

The final authority for determining allocability of costs shall be the Federal AcquisitionRegulations (FAR) Subpart 31.2.

( X ) 15. REMEDIES FOR BREACH OF CONTRACT

METRO may, by written notice of default to the Contractor, terminate the whole or anypart of this contract if the Contractor fails to make delivery of the supplies or to performthe services within the time specified herein or any extension thereof; or if the Contractorfails to perform any of the other provisions of the contract, or so fails to make progressas to endanger performance of this contract in accordance with its terms, and in either ofthese two circumstances does not cure such failure within a period of 10 days (or suchlonger period as the Contracting Officer may authorize in writing) after receipt of noticefrom the Contracting Officer specifying such failure.

If the contract is terminated in whole or in part for default, METRO may procure, uponsuch terms and in such manner as the Contracting Officer may deem appropriate,supplies or services similar to those so terminated. The Contractor shall be liable toMETRO for any excess costs for such similar supplies or services, and shall continue the


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performance of this contract to the extent not terminated under the provisions of thisclause.

Except with respect to defaults of subcontractors, the Contractor shall not be liable forany excess costs if the failure to perform the contract arises out of cause beyond thecontrol and without the fault or negligence of the Contractor. If the failure to perform iscaused by the default arises out of causes beyond the control of both the Contractor andsubcontractor, and without the fault or negligence of either of them, the Contractor shallnot be liable for any excess costs for failure to perform, unless the supplies or servicesto be furnished by the subcontractor were obtainable from other sources insufficient timeto permit the Contractor to meet the required delivery schedule.

Payment of completed supplies delivered to and accepted by METRO shall be at thecontract price. METRO may withhold from amounts otherwise due the Contractor forsuch completed supplies such sum as the Contracting Officer determines to benecessary to protect METRO against loss because of outstanding liens or claims offormer lien holders.

The rights and remedies of METRO provided in this clause shall not be exclusive andare in addition to any other rights and remedies provided by law or under this contract.

( X ) 16. TERMINATION

METRO may terminate this contract for default or convenience at any time by giving theContractor written notice thereof. Upon termination for convenience, METRO shall paythe Contractor his allowable cost incurred to date of termination, and those costsdeemed reasonably necessary by METRO to effect such termination. Authority fordetermining allowability of termination costs shall be the Federal Acquisition Regulations(FAR) Subpart 31.2.

If the Contractor breaches the terms or violates the conditions of the contract, and doesnot within ten days after notice of such breach, cure such breach or violation, METROmay terminate the contract for default. The termination notice shall be effectiveimmediately upon delivery and shall explain the nature of the termination. Contractorshall be liable, in the form of liquidated damages for any and all costs incurred byMETRO as a result of such default.

( ) 17. LIQUIDATED DAMAGES

TIME IS OF THE ESSENCE IN THIS CONTRACTIn case all the work called for under the Contract is not completed before or upon thetime limit as set forth in the specifications, damage will be sustained by METRO. It is,and will be, impracticable to determine the actual damage which METRO will sustain inthe event of and by the reason of such delays; and it is therefore agreed that pursuant toGovernment Code Section 53069.85 the Contractor will pay METRO the sum of $for each and every working day that the project is delayed beyond the __ working days

stipulated, subject to extensions granted thereto in writing. The Contractor agrees to paysuch liquidated damages herein provided and, in case the same are not paid, agrees thatMETRO may deduct the amount from any money due or to become due the Contractorunder the Contract.

The Contractor will be granted an extension of time and will not be assessed withliquidated damages or the cost of engineering and inspection for any portion of the delayin completion of the work beyond the time named in these specifications caused by actsof God, or of the public enemy, fire, floods, epidemics quarantine, restrictions, strikes,


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labor disputes, shortage of materials and freight embargoes, or other causes beyond hisreasonable control, provided that the Contractor shall notify the Engineer in writing of thecauses of delay within 15 days from the beginning of any such delay. The ContractAdministrator shall ascertain the facts and extend of the delay, and his findings thereonshall be final and conclusive. Contractor has the burden of proof that the delay wasbeyond his control.

( X ) 18. OWNERSHIP OF REPORTS AND DOCUMENTS

Originals of all documents pertaining to the work performed under this agreement shallbecome the property of METRO. Copies may be made for the Contractor's records butshall not be furnished to others without written authorization from METRO.

( X ) 19. MAINTENANCE OF RECORDS

The Contractor agrees to keep and maintain records showing actual time devoted and allcosts incurred in the execution of the agreement for a period of three (3) years from theaccepted completion date.

( X ) 20. ASSIGNMENT

Neither METRO nor Contractor shall assign its interest in this agreement without priorconsent of the other party.

( X ) 21. SUBCONTRACTOR APPROVAL

Unless prior written consent from METRO is obtained, only those people andsubcontractor's proposed shall be used in the performance of this agreement.

( X ) 22. INELIGIBLE CONTRACTORS

A contract cannot be awarded to any vendor that is on the United States ComptrollerGeneral's list of ineligible contractors. Fill in the attached form if your firm IS NOT onthe ineligible list.

( X ) 23. CONTRACT CHANGES

Modification of this contract shall be accomplished only through written contractamendments executed by a duly authorized representative of METRO.

Metro’s representative may, however, at any time, and by written order, without notice tothe sureties, make changes, within the general scope of this contract, in any one or moreof the following: (1) Drawings, designs, or specifications; (2) method of shipment orpacking; and (3) place of delivery. If any such change causes an increase or decreasein the cost of, or the time required for, the performance of any part of the work under thiscontract, whether changed or not changed by any such order, any equitable adjustmentshall be made in the contract price or delivery schedule, or both, and the contract shallbe modified in writing accordingly. Any claim by the contractor for adjustment under thisclause must be asserted within 30 days from the date of receipt by the Contractor of thenotification of change; provided however, that the Contract Administrator, if he/shedecide that the facts justify such action, may receive and act upon any such claimasserted at any time prior to final payment under this contract. Failure to agree to anyadjustment shall be a dispute concerning a question of fact within the meaning of aclause of this contract entitled "Disputes". However, nothing in this clause shall excusethe Contractor from proceeding within the contract as changed.


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( ) 24. CONTRACT SECURITY

( ) A bid guarantee from each bidder equivalent to ten percent of the bid price shallaccompany any bid or proposal. The "Bid guarantee" shall consist of a firm commitmentsuch as a bid bond, certified check, or other negotiable instrument accompanying a bidas assurance that the bidder will, upon acceptance of his bid or proposal execute suchcontractual documents as may be required within the time specified.

( ) A performance bond on the part of the Contractor for 100 percent of the contract priceshall be required as a condition to execution of a contract A "performance bond" is oneexecuted in connection with a contract to secure fulfillment of all the Contractor'sobligations under such contract.

( ) A payment bond on the part of the Contractor for 100 percent of the contract price shallbe required as a condition to execution of a contract. A "payment bond" is one executedin connection with a contract to assure payment as required by law of all personssupplying labor and material in the execution of the work provided for in the contract.

( ) 25. INSURANCE

Contractor shall procure and maintain for the duration of this contract insurance againstclaims for injuries to persons, or damages to property, which may arise from or inconnection with the performance of the work hereunder by the Contractor, his agents,representatives, or employees.

A. Minimum Scope of Insurance

Coverage shall be at least as broad as:

1. Insurance Services Office Commercial (occurrence form CG001), or most recentedition General Liability coverage, and shall not contain the “X, C and U(explosion, collapse and underground) exclusions.

2. Insurance Services Office form number CA0001 (Ed. 1/87), or most recentedition covering Automobile Liability, code 1 (any auto).

3. Workers’ Compensation insurance as required by the State of California andEmployer’s Liability Insurance.

B. Minimum Limits of Insurance

Contractor shall maintain limits no less than:

1. General Liability: $1,000,000 per occurrence for bodily injury, personal injury andproperty damage. If Commercial General Liability Insurance or other form with ageneral aggregate limit is used, either the general aggregate limit shall applyseparately to this project/location or the general aggregate limit shall be twice therequired occurrence limit.

2. Automobile Liability: Including contractual liability insuring owned, non-owned,hired and all vehicles used by the Contractor with a combined single limit of notless than $1,000,000 applicable to bodily injury, sickness or death, and loss of ordamage to property in any one occurrence.


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3. Workers’ Compensation Liability: Including Occupational Diseases inaccordance with California Law and Employers’ Liability Insurance with a limit ofnot less than $1,000,000 each accident.

C. Other Insurance Provisions

The general liability and automobile liability policies are to contain, or be endorsed tocontain, the following provisions:

1. METRO, its subsidiaries, officials and employees are to be covered as additionalinsureds with respects to liability arising out of the activities performed by or onbehalf of the Contractor; products and completed operations of the Contractor;premises owned, occupied or used by the Contractor; or automobiles ownedleased, hired or borrowed by the Contractor. The coverage shall contain nospecial limitations on the scope of protection afforded to METRO, itssubsidiaries, officials and employees.

2. For any claims related to this project, the Contractor’s insurance coverage shallbe primary insurance with respects to METRO, its subsidiaries, officers andemployees, and shall not be considered contributory insurance with any of theinsurance or self-insurance maintain by METRO.

3. Any failure to comply with reporting or other provisions of the policies includingbreaches of warranties shall not affect coverage provided to METRO, itssubsidiaries, officials and employees.

4. The Contractor’s insurance shall apply separately to each insured against whomclaim is made or suit is brought, except with respect to the limits of the insurer’sliability.

5. Each insurance policy required by this clause shall be endorsed to state thatcoverage shall not be suspended, voided, canceled by either party, reduced incoverage or in limits except after thirty (30) days’ prior written notice by certifiedmail, return receipt requested, and has been given to METRO.

6. Workers’ Compensation and Employer’s Liability policies shall contain theinclusion of METRO, its Subsidiaries, officials and employees as additionalinsured, or provide a waiver of subrogation.

D. Deductibles and Self-Insured Retentions

Any deductibles or self-insured retention’s must be declared to, and amounts over$10,000 approved by METRO.

E. Acceptability of Insurers

Insurance is to be placed with California admitted insurers with a current A.M. Best’srating of no less than A: VII, unless otherwise approved by METRO.

F. Verification of Coverage

Contractor shall furnish METRO with original endorsements and certificates ofinsurance evidencing coverage required by this clause. All documents are to besigned by a person authorized by that insurer to bind coverage on its behalf. Alldocuments are to be received and approved by METRO before work commences.


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As an alternative, the Contractor may provide complete, certified copies of allrequired insurance policies, including endorsements affecting the coverage requiredby these specifications.

G. Subcontractors

Contractor shall include all Subcontractors as insured under its policies or shallfurnish separate certificates and endorsement for each Subcontractor. All coverage’sfor Subcontractor shall be subject to all of the requirements stated herein.

( X ) 26. INDEMNITY

Contractor shall indemnify, defend and hold METRO, its agents, officers and employeesfree and harmless from and against all claims, damages, costs, fines, penalties,liabilities, or obligations of whatsoever kind, including but not limited to damage ordestruction of property and injury or death of person(s), resulting from or connected withContractor’s performance hereunder or any default by Contractor or breach of itsobligations hereunder.

( X ) 27. COMPLIANCE WITH COPELAND REGULATIONS (29 CFR PART 3)

No contractor-employee, or other person, shall require or induce a person employed on aproject subject to Federal wage standard statute, to give up or return any part of suchemployee's compensation to which he or she is entitled as provided in the Copeland"Anti-Kickback Act, 41 U.S.C. 51-54. (All violations will be reported to FTA by METRO.)

( X ) 28. WARRANTY

Manufacturer's standard warranty.

( ) 29. MOTOR VEHICLE SAFETY STANDARDS

Each vendor must submit a certification in writing that:

The horsepower of the vehicle is adequate for the speed range and terrain in which it willbe required to operate and also to meet the demands of all auxiliary power equipment.

All gases and vapors emanating from the crankcase of an internal combustion engineare controlled to minimize their escape into the atmosphere.

Visible emission from the exhaust will not exceed #1 on the Ringlemann Scale whenmeasured six inches from the tailpipe with the vehicle in steady operation.

When the vehicle has been idled for three minutes and then accelerated to 80 percent ofrated speed under load, the capacity of the exhaust will not exceed #2 on theRinglemann Scale thereafter.

( X ) 30. BUY AMERICA

A. Applicability

The following Article applies to federally funded rolling stock purchase andconstruction contracts over $100,000 and to contracts over $100,000 formaterials & supplies for steel, iron, or manufactured products.


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B. Contractor shall comply with 49 U.S.C. 5323(j) and 49 CFR Part 661, whichprovide that Federal funds may not be obligated unless steel, iron, andmanufactured products used in FTA-funded projects are produced in the UnitedStates, unless a waiver has been granted by FTA or the product is subject to ageneral waiver.

METRO may investigate Contractor's, any Subcontractor's, and any Supplier'scompliance with this Article. If an investigation is initiated, Contractor,Subcontractor, or Supplier shall document its compliance, in accordance with49 CFR 661.15, and cooperate with the investigation. Contractor shallincorporate the Buy America conditions set forth in this Article in everysubcontract or purchase order and shall enforce such conditions.

( X ) 31. CARGO PREFERENCE

A. Applicability

The following Article applies to federally funded contracts involving equipment,materials, or commodities which may be transported by ocean vessels

B. USE OF UNITED STATES FLAG VESSELS

Contractor shall use privately owned United States-Flag commercial vessels toship at least 50 percent of the gross tonnage (computed separately for dry bulkcarriers, dry cargo liners, and tankers) involved, whenever shipping anyequipment, material, or commodities pursuant to this Contract to the extent suchvessels are available at fair and reasonable rates for United States-Flagcommercial vessels

Contractor shall furnish within 20 working days following the date of loading forshipments originating within the United States or within 30 working daysfollowing the date of leading for shipments originating outside the United States,a legible copy of a rated, "on-board" commercial ocean bill-of -lading in Englishfor each shipment of cargo described in the preceding paragraph to the Divisionof National Cargo, Office of Market Development, Maritime Administration,Washington, DC 20590 and to METRO (through Contractor in the case of asubcontractor's bill-of-lading.)

Contractor shall include these requirements in all subcontracts issued pursuantto this Contract when the subcontract may involve the transport of equipment,material, or commodities by ocean vessel.

( X ) 32. COVENANT AGAINST CONTINGENT FEES

The contractor warrants that no person or selling agency has been employed or retainedto solicit or secure this contract upon an agreement of understanding for a commission,percentage, brokerage or contingent fee, excepting bona fide employees or bona fideestablished commercial or selling agencies maintained by the contractor for the purposeof securing business. For breach or violation of this warranty METRO shall have theright to annul this contract without liability, or at its discretion, to deduct from the contractprice of consideration, or otherwise recover, the full amount of such commission,percentage, brokerage or contingent fee.

( X ) 33. COVENANT AGAINST GRATUITIES

http://www.metro.net/EBB/protest.pdf


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The Contractor warrants that no official or employee of METRO has been offered orbeen given gratuities (in the form of entertainment, gifts or otherwise) for the intent orpurpose of securing favorable treatment in the award, amending, or evaluationperformance of the contract.

( X ) 34. PATENT RIGHTS

Any discovery or invention as well as all information, designs specifications, data andfindings which arise or are developed in the course of or under this contract shallbecome the property of METRO and shall be made available for public use.

( X ) 35. DISPUTES

Every effort shall be made to resolve any disagreements arising from this Agreementbetween the respective representatives of METRO and contractor. Disagreements notso resolved will become disputes. Pending final resolution of a dispute hereunder,Contractor shall proceed diligently with the performance of this Agreement and inaccordance with Metro’s decision.

( X ) 36. ENVIRONMENTAL COMPLIANCE

A. Applicability

This Article applies to all federally funded contracts over $100,000.

B. CLEAN WATER REQUIREMENTS

Contractor shall comply with all applicable standards, orders or regulationsissued pursuant to the Federal Water Pollution Control Act, as amended, 33U.S.C. 1251 et seq., and all applicable clean water standards of the State ofCalifornia and any state or local agency having jurisdiction. Contractor shallreport each violation to METRO. METRO will, in turn, report each violation asrequired to FTA and the appropriate EPA Regional Office, and all other agencieshaving jurisdiction.

C. CLEAN AIR

Contractor shall comply with all applicable standards, orders or regulationsissued pursuant to the Clean Air Act, as amended, 42 U.S.C. §§ 7401 et seq.and all applicable Clean Air Standards of the State of California or any state orlocal agency having jurisdiction. Contractor shall report each violation toMETRO. METRO will, in turn, report each violation as required to FTA, theappropriate EPA Regional Office and all other agencies having jurisdiction.

( X ) 37. ENERGY POLICY AND CONSERVATION ACT

Contractor shall comply with all applicable standards and policies relating to energyefficiency which are contained in the State Energy Conservation Plan issued incompliance with the Energy Policy and Conservation Act (P.L. 94-163).

( X ) 38. FILING OF PROTESTS 222-01 (APR 2000)

All protests shall be filed, handled and resolved in a manner consistent with the requirementsof Federal Transit Administration (FTA) Circular 4220.1F Third Party Contracting Guidelinesdated November 1, 2008 and Metro’s Procurement Policies and Procedures Manual- Chapter


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23, on Metro’s internet Web site (http://www.metro.net/EBB/protest.pdf) under “Notice ofIntent to Award” and available upon request for a written copy.

Protests concerning the content of an IFB or RFP, including all attached documents shallbe filed with METRO not later than ten (10) calendar days after METRO first advertisesthe IFB/RFP. METRO shall issue a written decision on the protest prior to opening ofbids or receipt of proposals.

Protests concerning a recommendation for award on any ground not based upon thecontent of the IFB/RFP shall be filed with METRO by an interested party not later thanfifteen (15) calendar days after METRO mails the recommendation for award notice. Fora procurement conducted in accordance with California Public Utilities Code Section130238 or Public Contract Code Section 20231.5, a protestor filing a protest concerningthe recommendation for award has the opportunity to appear and be heard beforeMETRO Board prior to final award.

Protestors who protested the content of the IFB/RFP may refile their protest on groundsnot based upon the content under this paragraph.

An appeal to the CEO from a denial to a protest relating to a recommendation for awardsolicited by this RFP must be filed by an interested party within five (5) calendar daysafter the denial of the protest.

Any protest shall contain a full and complete written statement specifying in detail the groundsof the protest and the facts supporting the protest. The protester shall adhere to Metro’sprotest procedures. A protest not filed within the time limits herein will be rejected.

The date of filing shall be the date of receipt by METRO of protests or appeals.

All Protests shall be filed in writing with the:

Director, PurchasingLos Angeles County Metropolitan Transportation AuthorityOne Gateway Plaza, 9th FloorLos Angeles, CA 90012-2952

No other location shall be acceptable.

METRO will respond in detail to each substantive issue raised in all timely filed protests. TheDirector of Purchasing shall make a written determination on the protest normally within forty-five (45) working days from receipt of protest. Any decision rendered by the Director, ofPurchasing may be appealed to Metro’s Chief Executive Officer (CEO).

The protestor may withdraw its protest or appeal at any time before METRO issues a finaldecision

If the IFB/RFP is for a contract that will be federally funded, after exhaustion of all ofMetro’s administrative remedies, described above, a protester may pursue the protestwith the Federal Transit Administration (FTA). Reviews of protests by FTA will belimited to Metro’s failure to have or follow its protest procedures, or its failure to review acomplaint or protest. An appeal to the FTA must be received by the cognizant FTARegional or Headquarters Office within five (5) working days after the date the protesterknew or should have known of Metro’s violation.


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Federal Transit AdministrationRegional Administrator Region IX201 Mission Street, Suite 1650San Francisco, CA 94105-1839

( ) 39. ROLLING STOCK

In accordance with Department of Transportation Appropriation Acts, METRO mayaward contracts for rolling stock based on consideration of "Life Cycle Cost" factorsincluding performance, standardization and such factors as deemed appropriate may beconsidered.

( X ) 40. NOTICE TO PROCEED

Following award by Metro’s Board of Directors, a "Notice-to-Proceed" shall be issued bythe Office of Procurement. No work or expenses shall be incurred prior to receipt of"Notice-to-Proceed" and/or a signed Purchase Order.

( X ) 41. REQUIREMENTS CONTRACT

The contract to be awarded is for a specified duration of time but not for a fixed quantity.The bid quantities are estimates only, with deliveries to be ordered and released as

required. This is not an exclusive contract and Metro expressly reserves the right tocontract for services and materials such as those referenced herein through othersuppliers.

( X ) Shelf Goods The materials specified herein are considered standard,commercially available shelf goods. The Contractor is responsible formaintaining adequate stock necessary for prompt shipment and delivery withintechnical requirements.

( ) Special Purchases The materials specified herein are considered customized to meetMetro’s technical requirements and not commercially available shelf goods. TheContractor is responsible for maintaining adequate stock necessary to ship within four (4)weeks after receipt of Purchase Order for all subsequent deliveries.


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PART IIIBID NO. MA54516


TECHNICAL SPECIFICATIONS

CONNECTED BUS PROJECT - MOBILE GATEWAY ROUTER

1.0 Overview

The intent of this order is to equip Metro’s bus and rail vehicles with advanced wireless networkingcapabilities with connection to headquarters including, but not limited to:

Wireless path of at least 20 Mbps (megabits per second) to Metro’s central network. WI-FI available to passengers to the internet for email and web browsing. Connection to bus DVR and security camera systems. Connection to fare box systems. Connection to bus/train maintenance monitoring system. Connection to Automated Passenger Counting systems. Connection to internal and external digital displays (monitors or signs). IP connection for any future IP system. Advanced data security for PCI compliance. VPN to Metro network for all internal systems. Content management for public Wi-Fi browsing. Full bandwidth management including switchable QOS. Full GPS with polling rates of 5 seconds or less (configurable). Potential Connection to ATMS IVU

1.1 GOALSThe goals of the Metro Mobile Gateway Router (MGR) outlined in this document are:

Fast and reliable IP communications between all vehicles and the Metro enterprise network. Secure encrypted VPN communications and full PCI compliance for fare data. A system that is robust and reliable and provides for high availability. Systems integration, testing, and knowledge transfer training Ability to support any and all of our existing configuration requirements Ability to support connection to future bus system components

1.2 MECHANICAL REQUIREMENTS

1.2.1 SINGLE ENCLOSUREAll gateway electronics, including wireless data modems, shall be contained within a single, compactenclosure.

1.2.2 MOUNTINGThe equipment enclosure shall incorporate integrated mounting brackets that permit the gateway to befastened directly to the vehicle body.

1.2.3 SIZEThe enclosure shall be suitable for mounting in confined spaces. The height of the gateway enclosureshall permit mounting on an existing equipment tray with limited vertical clearance. The physicaldimensions shall not exceed 2.5 inches high, 9 inches deep and 11.0 inches wide.

1.2.4 WEIGHTThe weight of the gateway shall not exceed 6 pounds including installed radio modems.


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1.2.5 MATERIALThe communications equipment shall be a rugged design, with a corrosion resistant cast alloy enclosureto protect all electronic components.

1.2.6 FULLY ENCLOSEDAll electronics that comprise the gateway device (including cellular data modems, Wi-Fi modems, etc.)shall be fully contained within the enclosure. An equipment configuration with electronic subassemblies,including modems, protruding from the enclosure is not acceptable.

1.2.7 LOCKING CONNECTORSPower and RF antenna connectors shall be threaded or have a locking mechanism to prevent accidentalremoval of associated cables.

1.3 ELECTRICAL AND ENVIRONMENTAL REQUIREMENTS1.3.1 TEMPERATURE

The gateway shall operate over a temperature range of at least -30°C to +70°C (-22°F to +158°F). Thistemperature range shall be achieved using passive cooling of the enclosure with no requirement forinternal fans. The gateway shall monitor its operating temperature and automatically enter a low powerstate when operating outside its programmed temperature range. The gateway shall automaticallyresume normal operation when the temperature returns within range.

1.3.2 SHOCKThe gateway shall withstand mechanical shock as per MIL-STD-810G test method 516.6

1.3.3 VIBRATIONThe gateway shall withstand mechanical vibration as per MIL-STD-810G test method 514.6. Thegateway shall also survive endurance testing according to SAEJ1455 section 4.10.4 1.

1.3.4 INGRESS PROTECTIONThe gateway enclosure shall be rated IP64 (per IEC60529) for protection from solid objects, dust andwater.

1.3.5 POWER SUPPLY

1.3.5.1 VoltageThe gateway shall operate with standard 12 or 24 VDC vehicle power systems, and shall function withoutimpairment from a sustained DC supply power of 7 to 36 Volts DC.The gateway power supply and electronics shall be protected from damage caused by reverse polarity ofDC power connections and from short periods of overvoltage operation up to 48 VDC. The gateway shalloperate without impairment when subjected to automotive voltage transients exhibited during coldcranking engine start events with voltage dips as low as +5 volts (voltage waveforms as per SAE J1113-11 Fig.7).

1.3.5.2 Ignition SensingThe gateway shall be configurable for automatic power up upon detecting activation of 12 or 24 VDCignition systems.

1.3.5.3 Battery Protection

1.3.5.3.1 Voltage Shutdown ProtectionThe gateway shall be configurable to support automatic power down at a predefined low-voltage level orafter a predefined interval following shutdown of vehicle ignition. The gateway shutdown timer shallhave a software programmable interval of up to 24 hours after ignition turnoff. The shutdown timer shallbe remotely configurable via software


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1.3.5.3.2 Under Voltage ProtectionThe gateway shall be configurable to support a start-up delay upon power up to protect against under-voltage conditions during engine cranking.

1.3.5.3.3 Voltage Hysteresis ProtectionThe gateway shall be configurable to support a hysteresis differential to prevent rapid power on bootcycling in vehicles with weakened electrical systems.

1.3.5.3.4 Temperature ProtectionThe gateway shall be configurable to shut down if temperature exceeds a high value or a low value.

1.3.5.4 Immunity to Conduct TransientsThe gateway shall be protected from conducted power line transients as defined in SAE J1455 section4.13.2.2.1.

1.3.6 EXTERNAL CONTROLSThe gateway shall provide an externally accessible button to trigger a reboot and factory reset.

1.3.7 EXTERNAL INDICATORS

The gateway shall provide distinct LED indicators with multi-color and blink patter behavior for:1. GNSS status2. Wi-Fi client status3. Overall Network Connection status4. Signal strength5. WAN interface data transfer activity6. Power and environmental status7.

1.4 NETWORKING REQUIREMENTS

1.4.1 MULTI-NETWORK WIDE AREA WIRELESS ACCESS

1.4.1.1 CellularThe gateway shall be optionally configurable to incorporate a minimum of two internal cellular modemsfor reliable connection supporting access to public and private cellular data services including:

LTE Advanced (Carrier Aggregation) – Field upgradeable to support CAT12 LTE LTE Band Class 14 (public safety broadband network) – Note this is an evolving standard as of

this date and the Gateway shall be field upgradeable to support the First Net standard Fall back to UMTS HSPA+

1.4.1.2 Commercial Carrier Support

The gateway shall be capable to support any of the following 4G LTE networks of the following carriers:Verizon, T-Mobile, AT&T, Sprint, Bell, Telus, Rogers

1.4.1.3 Network Operator Switching for Embedded Cellular Modems

1.4.1.3.1. Automatic Carrier Detection

The gateway shall support automatic Carrier detection based on the Carrier’s installed and selected SIMcard.

1.4.1.3.2 Configurable Carrier Switching


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The gateway shall support two installed SIM cards for each radio module and be remotely configurable toenable switching to the alternate Carrier.

1.4.1.3.3 Configurable Cellular Parameters

The gateway shall enable each Cellular Radio Module to be configured with at least the following linkcontrols:

1. Designate the link to NOT be used for low priority data transfers such as raw log files or softwaredownload

2. The link shall operate with or without NAT3. When NAT is used, the Port Address Translation shall employ automatic mapping or enable re-

mapping to an explicit alternate range of ports to overcome upstream provider blocking ofcommon applications.

4. The link shall support DHCP-assigned DNS or explicitly configured DNS servers.5. The link shall be configurable to use an explicit APN string6. The link shall be configurable with a signal strength averaging counter and a threshold that

complements the signal strength Multi-WAN Operation signal strength policy.7. The link shall be configurable to set MTU size8. The link shall be configurable to enable the management VPN.9. The link shall be configurable to enable activation of any configured IPSec VPN profile.10. Enable active connection sensing using one or more icmp targets and choose one or more to

indicate data path failure to trigger Multi-network policy evaluation11. The link shall be configurable to enable WAN Prefix Pass Through of IPv6 IP addresses

assigned by the Carrier and allow LAN-connected devices to employ a WAN-compatible IPv6 IPaddress.

1.4.1.4 Wi-Fi WAN AccessThe gateway shall incorporate an internal radio modem to communicate with broadband access pointssupporting 802.11 b/g/n/ac standard transmissions in dual band 2.4/5 GHz band. This 802.11ac clientradio shall support 3x3 MIMO operation using exterior antennas. The Wi-Fi client radio shall bededicated to Wi-Fi WAN operations, and shall be separate from the mobile access point radio alsoembedded in the gateway.

1.4.1.4.1 Multiple Wi-Fi Profiles

The gateway shall provide configurable Wi-Fi Profiles to enable connection to within-range Wi-Fiinfrastructure using any compatible authentication method and enable connection preference to beprioritized. The gateway shall enable any configured profile to be assigned to any available Wi-Fimodule configured for Client mode operation.

1.4.1.4.2 WI-FI Client Radio Probe

The gateway shall be configurable to disable broadcast probing of the Wi-Fi infrastructure in order tominimize spectrum congestion.

1.4.1.4.3 Wi-Fi Client Affinity Capability

The gateway shall be configurable to adjust signal strength and quality parameters to control roamingbetween available infrastructure access points, including permanent blacklist of certain BSSIDs

1.4.1.4.4 Wi-Fi Profile Specificity

Each configured Wi-Fi profile shall provide the capability to:

1. Optionally enable or disable Probing of Hidden SSID infrastructure or reduce spectrum


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congestion.2. Optionally restrict connection to a set of specified BSSID3. Assign connection priority to this profile,4. Assign Credentials – independently of other profiles5. Assign MTU size6. Designate that this profile not be used for low priority data transfer7. Use DHCP assignment and send gateway serial number or configurable Label (i.e. bus number)

in the DHCP exchange when Wi-Fi connects to the infrastructure; or alternatively:8. Assign static IP, Netmask, and default gateway value9. Independently from IP addressing method, use DHCP-assigned DNS server or specify DNS

servers10. Enable management VPN over this link to support secure transfer of performance data to the

management system11. The port shall operate with or without NAT12. When NAT is used, the Port Address Translation shall employ automatic mapping or enable re-


13. Enable any defined VPN profile to be used when this Wi-Fi profile is connected14. Enable automatic routing to allow direct inbound traffic flow in or out of the Wi-Fi connection

when it may not be the default traffic bearing connection.15. Enable active connection sensing using one or more icmp targets and choose one or more to

indicate data path failure to trigger Multi-network policy evaluation.16. Enable Band selection and Channel selection within band to optimize background scanning for

available Infrastructure APs.

1.4.1.5 External Wireless ModemsThe gateway shall be capable of wide-area communications via external wireless modems. Suchexternal modem connections shall be configurable using Ethernet on the gateway

1.4.1.6 Satellite ModemThe gateway shall be capable of wide-area communications via external satellite modems. Suchexternal modem connections shall be configurable using Ethernet on the gateway.

1.4.1.7 Multi-Network OperationThe gateway shall automatically switch wide area traffic between wide area network connectionsaccording to administrator-defined switching policies.

1.4.1.7.1 Multi-Network Switching PoliciesSwitching policies shall be based upon, at a minimum: network availability, network priority, signalstrength (if applicable), time of day, vehicle location and vehicle speed.

1.4.1.7.2 Multi-Network Switching ParametersEach Wan switching policy will have weighting and other appropriate parameters that clearly determineoperation of a policy and enable it to operate in isolation to affect link selection.

1.4.1.7.3 Multi-Network Switching Policy AggregationWAN switching policies shall be combined to alter which link is selected depending on the influence ofeach contributing policy.

1.4.1.7.4 Multi-Network Switching Policy Hysteresis ControlThe aggregate switching policy shall incorporate a means to weight and average conditions affecting linkselection so that only stable links will be selected to permit effective data transport.

1.4.1.8 Routing


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The gateway shall establish default routing over the wide area link selected by the Multi-Networkswitching policy.

1.4.1.8.1 Static Destination Routing

The gateway shall support additional static routing to destination IPs or subnetworks that direct traffic touse a specific connected wide are link, ignoring the default link selection policies.

1.4.1.8.2 Static Source Routing from LAN to WAN

The gateway shall support additional static routing to enable traffic from a specified LAN subnetwork touse a use a specific connected wide-area link, ignoring the default link selection policies.

1.4.1.8.3 Event Based Routing Changes

The gateway shall support application of special routing based on Fully Qualified Domain Name that re-resolved on Link up events.

1.4.1.8.4 Load Balancing

The gateway shall provide an option to distribute network sessions across two or more wide-area networklinks in order to expand the overall capacity of the wide-area connection. To effectively accommodatewide-area connections with different performance characteristics, a weighting mechanism shall beprovided in order to distribute more sessions to the higher capacity link(s).

1.4.1.9 Traffic Filtering

To assure that only appropriate application traffic is routed over each wireless infrastructure, the gatewayshall be capable of automatically filtering application traffic directed to each wide-area wireless network.

1.4.1.9.1. Traffic Filtering Specificity

Filtering rules shall be separately configurable for each wide-area network connection.

1.4.1.9.2 Traffic Filtering Aggregation

Filtering rules shall also be configurable for all wide-area network connections simultaneously andoperate in addition to link-specific traffic filtering.

1.4.1.9.3 Traffic Filtering Over VPN

Filtering rules shall operate for specific links or apply to all links when a gateway-initiated VPN is used.This enables traffic to be selectively filtered even though a VPN may operate over any of the linksselected by a link policy.

1.4.1.10 Quality of Service ManagementThe gateway shall provide a Quality of Service (QoS) mechanism to classify application traffic based onsource or destination address and/or port. For each defined class of traffic the gateway shall allow thespecification of priorities for transmission across the wide area network connection as well as minimumbandwidth guarantees and maximum bandwidth allowances to ensure individual applications cannotconsume all available bandwidth. To accommodate wide-area connections with different performancecharacteristics, the gateway shall allow the priorities and bandwidth constraints for each traffic class to beset independently for each wide-area network connection.

1.4.1.11 Modem Hardware Upgrades


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To enable access to new wireless network infrastructure deployed in the future, it shall be possible toreplace previously configured wireless modems (also known as radio modules) or install new wirelessmodems in the designed internal mounts of the gateway with vendor-certified modems.

1.4.1.12 Internal Modem Form FactorsTo accommodate future wireless technologies delivered in a variety of radio modem form factors, theinternal PCIExpress Mini (PEM) form factor shall be supported. These PEM mounting positions shallallow for supporting or daughter boards to accommodate future modem form factors.

1.4.1.13 RF Antenna ConnectionIt shall be possible to connect any wireless modem embedded in the gateway to an external RF antennavia a connector mounted on the gateway enclosure. There shall be sufficient antenna ports to supportMIMO operation (up to 3x3) for each WAN and Wi-Fi radio interface.

1.4.1.14 Modem CapacityThe gateway shall be configurable to incorporate a minimum of four (4) separate wireless modems withina single enclosure.

1.4.1.15 SIM TraysThe gateway shall have four (4) built-in SIM trays (2 for each modem) for use with SIM-based cellularradio modules.

1.4.1.16 Network Status BeaconThe gateway shall support a Network Status Beacon which broadcasts the status (connected ordisconnected) of the WAN to client devices connected to the local LAN.

1.4.1.16.1 Simple Network Status BeaconThe gateway shall provide a configurable Network Status Beacon which broadcasts the status(connected or disconnected) of the WAN to client devices connected to the local LAN.

1.4.1.16.2 Advanced Network Status Display

The gateway shall provide a local status display webpage with read-only communication parameters toassist field service technicians who are not authorized to view or modify configuration settings of thegateway.

1.4.1.16.3 Advanced Network Status Beacon

The gateway shall provide an advanced Network Status Beacon which may be configured to containadditional parameters such as GPS and delivery the information in unicast, broadcast, or multi-castformat to the LAN client devices.

1.4.2 MOBILE ACCESS POINT

1.4.2.1 Wi-Fi Access PointThe gateway shall incorporate two independent wireless broadband Radio Module(s) supporting 802.11b/g/n/ac standard transmissions in the 2.4/5GHz band. Each Module shall support 3x3 MIMO operationusing exterior antennas and may be enabled as either an Mobile Access Point or a Client radio.

1.4.2.2 Wi-Fi Access Point Power

The gateway shall provide a means to adjust the transmit power of the Wi-Fi module between aminimum value of 5dbM and 43dBM when a Wi-Fi radio is used as Mobile Access Point.


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1.4.2.3 Conditional Access Point Shutdown

The gateway shall provide a means to optionally shut down its Wi-Fi Access Point(s) when the Wi-Ficlient is connected to the depot Wi-Fi infrastructure in order to reduce spectrum congestion.

1.4.2.4 Multiple SSID

Each Wi-Fi Mobile Access Point shall support up to four (4) SSIDs for a possible total of 8 if both radiomodules are used for AP.

1.4.2.5 Multiple Access Points

It shall be possible to optionally configure both Wi-Fi radio modules embedded in the gateway as twoseparate Wi-Fi access points, one to serve Wi-Fi clients outside the vehicle and the other to serve clientsinside the vehicle.

1.4.2.6 SSID Configuration

The gateway shall provide configuration for typical AP settings such as:1. Enable or disable the SSID2. 80211 a/b/g/n/ac selection3. Broadcast a Specific SSID name or do not broadcast4. Enable Advanced Captive Portal Agent5. Select Channel and channel width6. Allow or block communication between Wi-Fi clients using this AP7. Support the full range of Wi-Fi security settings, including 802.1x8. Control WPA rekey intervals9. MAC address list for black listing or white listing of permitted clients.

1.4.2.7 Passenger Wi-Fi Portal

The gateway shall support passenger access to the public internet via the internal Wi-Fi access point(s)provide a captive portal (also known as a welcome page).

1.4.2.7.1 Captive Portal Security

The gateway shall provide traffic filtering and routing features to ensure the following:1. Passenger traffic can only access the Captive Portal until authorization is granted.2. Specific IP addresses such as fare payment server or Agency’s website can be configured to be

permitted to flow without authentication requirement.3. Passenger traffic cannot connect to other devices attached to the gateway LAN4. Passenger traffic cannot access the depot Wi-Fi network when the gateway’s Wi-Fi client is

connected,5. Passenger traffic cannot enter any VPN connection6. Passenger traffic cannot enter any Cellular private APN.7. Passenger client devices can be supplied with specific DNS proxy servers in aid of content

filtering.8. Passengers that authenticate are granted a configurable length of time on the gateway before

their session expires.

1.4.2.7.2 Integrated Captive Portal

The gateway shall be configurable to enable a locally stored webpage(s) that supports the WISPrprotocol for HTTP redirect to Captive Portal for Wi-Fi-connected devices.

1.4.2.7.3 Integrated Captive Portal Customization


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The Captive Portal shall comprise typical web site technology such as HTML, JavaScript, and stylesheets that an Agency may customize for branding and terms of use and include applets or similarapplications to provide passengers with location, status information, and other communication designedby the Agency.

1.4.2.7.4 Integrated Captive Portal Updates

The gateway shall enable the Captive Portal to be updated as frequently as hourly by downloading froma secure web site accessible over any of the gateway’s wide-area links.

1.4.2.7.5 Advanced Captive Portal Agent

The gateway shall provide an Advanced Captive Portal Agent that may be used as an alternative to theIntegrated Captive Portal. The Advanced Captive Portal Agent may be used with external RadiusAuthentication and Accounting Servers to provide enterprise-style user management depending on thenature and capabilities of the external system.

1.4.2.8 Content Filtering

The gateway shall support an optional DNS-based content monitoring and filtering service.

1.4.2.8.1 Content Filtering Proxy

The gateway shall interface with DNS Proxy servers to provide a means of supporting Static IP bindingas needed by any content filtering service.

1.4.3 WIRED CONNECTIONS

1.4.3.1 Serial

The gateway shall support at least one RS232 serial data connection.

1.4.3.2 Ethernet

The gateway shall support a minimum of five (5) 10/100/1000 BaseT Ethernet ports with auto MDI/MDIXsupport.

1.4.3.2.1 Ethernet Configuration

The gateway shall enable each Ethernet port to be individually assigned to any LAN subnet or to beWAN facing.

1.4.3.2.2 Ethernet WAN Configuration

A WAN-facing Ethernet port shall be configurable with at least the options.:

1. Adopt the same policy behavior (excluding signal strength) for Multi-Network Operation as theCellular and WAN Wi-Fi connections.

2. Adopt the same traffic filtering and routing capabilities as for the Cellular and WAN Wi-Ficonnections.

3. Assign MTU size4. Designate that this port not be used for low priority data transfer5. Use DHCP assignment and send gateway serial number or configurable Label (i.e. bus number)


31

in the DHCP exchange when the link connects to the agency LAN; or alternatively:6. Assign static IP, Netmask, and default gateway value7. Independently from IP addressing method, use DHCP-assigned DNS server or specify DNS

servers8. Enable management VPN over this port to support secure transfer of performance data to the

management system9. The port shall operate with or without NAT10. When NAT is used, the Port Address Translation shall employ automatic mapping or enable re-


11. Enable any defined VPN profile to be used when this port is connected12. Enable automatic routing to allow direct inbound traffic flow in or out of the network connection

when it may not be the default traffic bearing connection.13. Enable active connection sensing using one or more icmp targets and choose one or more to

indicate data path failure to trigger Multi-network policy evaluation.14. Enable the port to join into the load-balancing behavior of the gateway.

1.4.3.2.3 Ethernet LAN Configuration

The gateway shall enable 802.1x authentication to be configured for each Ethernet LAN port.

1.4.3.3 USB

The gateway shall support a minimum of two (2) USB 3.0 connections.

1.4.3.4 General Purpose Inputs

The gateway shall support a minimum of 4 conditioned digital input signal lines. The status of the signallines shall be displayed on the gateway and also sent to the management system.

1.4.3.5 General Purpose Inputs

The gateway shall support a minimum of 4 conditioned digital output signal lines. The status of thesignal lines shall be displayed on the gateway and also sent to the management system. The value ofthe output signal lines shall be based on WAN Status.

1.4.4 SECURE ACCESS

1.4.4.1 Administrative User

The gateway shall enable local and remote access to its administrative interface via password-protectedlogin.

1.4.4.2 Read-only User

The gateway shall enable local and remote access to a read-only status interface via password-protectedlogin.

1.4.5 DHCP SERVER

The gateway shall incorporate a DHCP server compliant with RFC 2131 for IP address assignment toLAN-connected devices.

1.4.6 NETWORK TIME PROTOCOL SERVER


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The gateway shall be configurable as an NTP server compliant with RFC 1305 to distribute network timeto its LAN connected clients.

1.4.7 DYNAMIC DNS CLIENT

The communications system shall be configurable to report updates of the gateway’s primary WAN IPaddress to its active Domain Name Server, interfaced by the Management System, in compliance withRFC2136.

1.4.8 NETWORK ADDRESS TRANSLATION

The gateway shall support Network Address Translation (NAT) with port forwarding, according to RFC1631.

1.4.9 VLAN SUPPORT

The gateway shall enable the creation of multiple virtual LANs for each Ethernet Port configured as aLAN port using 802.1Q VLAN identifiers.

1.4.10 LAN SUBNETWORK SUPPORT

The gateway shall be configurable to enable creation of distinct LAN subnetworks for each physical andvirtual LAN wired or wireless interface.

1.4.10.1.1 General LAN Subnetwork Capabilities

1. Each LAN subnetwork shall have traffic control and QoS capabilities in the same manner asspecified for the Wide Area networking interfaces.

2. The gateway shall enable any combination of LAN-side wired or wireless interfaces to be bridgedto any defined LAN subnetwork.

1.4.10.1.2 Individual LAN Subnetwork Capabilities

1. A LAN subnetwork shall be identified by a unique name2. A LAN subnetwork shall have a distinct CIDR scope3. A LAN subnetwork shall support DHCP and static ranges simultaneously.4. A LAN subnetwork shall be configurable to enable the integrated Captive Portal5. A LAN subnetwork shall be configurable to enable Local Administrative Access6. A LAN subnetwork shall be configurable to enable Unique-local IPv6 or WAN Prefix IP Pass

Through addressing.7. Designated client device IP address detection and reporting – e.g. DVR detection8. Data Throughput Rate limiting on a per IP address basis

1.4.11 LAN DATA MONITORING

The gateway shall enable time interval, size value, and IP ports to be specified for monitoring andreporting of this usage information to the management server.

1.4.12 ENCRYPTED VPN

1.4.12.1 IPSEC Client Capability

The gateway shall incorporate client software to implement managed VPN connections over the wirelesswide area network links. The VPN client shall be compatible with an IPsec VPN server deployed in the


33

agency enterprise network, and shall support multiple IKE and ESP transforms up to and including 256-bit AES SHA2 encryption.

1.4.12.2 FIPS-140-2 Support

The VPN client shall be available with optional FIPS-140-2 certified data encryption.

1.4.12.3 IKE Support

The VPN client shall be configurable for authentication using either an IKEv1 or IKEv2 pre-shared key orX.509 based certificate.

1.4.12.4 MOBIKE Support

When interoperating with a compatible VPN host, the gateway shall be capable of using the MOBIKEextension to IKEv2 to maintain a single IPsec security association for the VPN tunnel while roaming to anew wireless network.

1.4.12.5 VPN Modality

The gateway shall support the following VPN modalities:

1. Network mode (Site-to-Site) transparent data path between one or more gateway subnetworksand one or more remote subnetworks

2. Host mode (Host-to-Site) with Virtual IP and Network Address Translation on the data path toand one or more remote subnetworks.

3. The gateway shall enable multiple VPN profiles, one to each different remote site and assign theprofiles to any or all available wide-area interfaces.

4. The Gateway shall implement traffic filtering policies that apply to the VPN so that data flows canbe separately controlled when the VPN is transported over any wide-area connection

5. The Gateway shall implement subnetwork level admittance policies that support obvioussegregation of agency secure operational traffic from passenger internet traffic.

6. The Gateway shall be configurable to enable unique port forwarding through the VPN for eachunderlying wide-area interface.

7. The gateway shall enable all data to flow through the VPN (e.g. full tunnel) except for explicit IPaddress or hostname exemptions; alternatively,

8. The gateway shall be configurable to allow only data to an explicit group of remote subnetworks(e.g. full tunnel).

1.4.13 WI-FI LAN SECURITY

1.4.13.1 Wi-Fi LAN Access Security

The gateway’s mobile access point shall be configurable at the administrator’s discretion to secure useraccess using WPA2/AES-CCMP with Pre-Shared Key or WPA2 Enterprise with EAP-TLS authentication.

1.4.14 WI-FI WAN ACCESS SECURITY

The gateway shall be capable of accessing wireless WAN connections on fixed Wi-Fi access pointinfrastructure using the following authentication protocols:

WEP – Shared Key (40-bit or 104-bit) WPA with Pre-Shared Key WPA/TKIP


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WPA2/CCMP EAP-TLS EAP-PEAP MSCHAPV2 EAP-PEAP GTS X.509 Authentication

1.4.15 GPS RECEIVER

1.4.15.1 Receiver Capability

The gateway shall incorporate a dedicated embedded GPS receiver, separate from the cellular modemcard and provide the following capabilities:

1. The GPS receiver shall supply DC bias to an external active GPS antenna.2. The GPS receiver shall have a minimum of 48 receive channels.3. The GPS receiver shall operate with an internal accelerometer and gyro so that the gateway

shall be able to supply position information in the event of GPS/GNSS signal loss (also known asdead-reckoning).

1.4.15.2 Local GPS Data Reporting

The gateway shall be capable of reporting GPS location information to gateway-connected devices usingTAIP and NMEA 0183 messaging standards using UDP broadcast messaging on a specified port to allLAN subnetworks of the gateway.

1.4.15.3 Local GPS Serial Data Reporting

The gateway shall be configurable to send GPS location information to the serial port using TAIP andNMEA 0183 messaging standards complemented with typical RS232 port settings like speed, data bits,and parity.

1.4.15.4 GPS Remote Location Reporting

The gateway shall be configurable to report GPS location information over-the-air to one or more remotehosts. Either TAIP or NMEA0183 messages (or both simultaneously) shall be sent in unicast UDPformat to specific IP addresses and ports at specified intervals.

1.4.15.5 External GPS Support

The gateway shall be capable of using GPS location information received from a certified third- partyGPS solution through either an Ethernet or serial connection using either TAIP or NMEA 0183 messageformats. The gateway shall be able to reformat any successfully received GPS message and provide itat the same interval as received to Local or Remote clients as described in the above two subsections.

1.4.16 DATA STORAGE

The gateway shall be equipped with a minimum of 1 GB of internal storage and shall be able toaccommodate larger internal storage devices if required for particular applications.

1.4.17 INCLUDED DIAGNOSTIC TOOLS

The gateway shall provide at least the following built-in diagnostic tools:1. Ping2. Traceroute


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3. Arp4. Netstat5. Ifconfig6. Iwconfig7. Idlest8. IPSec status9. Packet Tracing10. Force Software download11. Force Reboot

1.4.18 CUSTOMIZATION API

The gateway shall provide an API to enable customization of behavior at boot time, when a WANlink connects or disconnects, and when each LAN interface is initialized.

1.4.19 CONFIGURATION BACKUP AND RESTORE

The gateway shall provide a means of exporting and restoring the configuration via the webadministration interface for an authenticated user.

1.4.20 LOCAL GATEWAY SOFTWARE UPGRADE

The gateway shall provide a means of locally upgrading or repairing installed software via USB media.

1.4.21 INTERFACE IDENTIFICATION

The gateway shall enable LAN, WAN, Virtual and Physical interfaces to be identified with a user-definedName that shall be used to in reports to the management system.

1.4.22 TELEMATICS

The gateway shall be configurable to enable OBDII, J1708, and J1939 Vehicle Telematics data collectionusing type-specific external scanner and cable kits.

1.4.22.1 Configurable TELEMATICS Parameters

For each telematics type the gateway shall support a set of standard parameters (that not all vehiclesmay be able to report) and enable choice of which parameters to report. For each parameterthresholding and/or interval configuration shall be provided to manage the amount of data that isprocessed. The gateway shall send telematics data to the management system.


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2 GATEWAY MANAGEMENT CAPABILITIES

2.1 PERFORMANCE LOGGING

2.1.1 MANAGEMENT DATA COLLECTION

The gateway shall collect, retain and transmit in near real time (if WAN connection is operational) to acentralized management system, pertinent management information for the reporting period. Reportedmanagement information shall include:

Vehicle location history Unit start-up/shut-down events Vehicle/Gateway battery voltage Availability of wide area network links Link switching events Visibility and signal strength of Wi-Fi access points Volume of transmitted data for each available wireless network type Volume of received data for each available wireless network type Supply voltage and operating temperature of the unit Connection status of LAN clients VPN tunnel status CPU utilization Temperature RAM and storage consumption Configuration change events Current Software Version

2.1.2 DIAGNOSTIC LOGGING

The gateway shall generate detailed diagnostic logging for the current day of operation and send theselogs to the management system when a wide-area connection is able to accept low priority data. Dailylogs shall be compressed and stored on the gateway for 7 or more days and then purged.

2.1.3 CONFIGURABLE MANAGEMENT DATA REPORTING

Reporting of management data by the gateway to the management server shall be configurable to limitthe use of high cost wireless links.

2.1.4 OVER-THE-AIR SOFTWARE UPGRADES

Gateway operating system software and Cellular Radio Module firmware shall be upgradable via awireless download, with no need for maintenance personnel to visit each unit. It shall be possible toenable (and disable) automatic over-the-air software updates when a high cost WAN link is connected.The gateway shall automatically check for download opportunities when a wide-area connectionbecomes active and commence immediately or based on a configurable schedule.

2.1.5 SOFTWARE CONFIGURATION UPDATES

Gateway configuration parameters shall be updatable remotely via wireless access, with no need formaintenance personnel to visit each vehicle.


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2.1.6 SECURE DATA TO MANAGEMENT SYSTEM

The gateway shall provide an automatically started for management-only VPN connection to a centralmanagement system to enable all performance and configuration data to be transferred securely overany wide-area connection such as a standard public data plan that may use a dynamic private IP addresswithin a Carrier’s network.

2.1.7 SECURE REMOTE ACCESS

The gateway shall enable remote access to its web administration interface from the managementsystem through the management-only VPN.


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3 GATEWAY MANAGEMENT SYSTEM

3.1 HOSTED SERVICE AND ENTERPRISE APPLIANCE

The gateway management system shall be available either as a cloud service or as a stand-aloneenterprise appliance for installation within customer’s premise.

The enterprise edition shall be available in hardware or VMWare editions.

3.2 GENERAL DISPLAY AND REPORTING REQUIREMENTS

Management information reports and status displays on the centralized management server shall beaccessible to either local or remote users via a browser-based interface. No additional client softwareshould be required to support access to management system.

3.2.1 GATEWAY ACCESS PARTITIONING

It shall be possible for the system administrator to assign each gateway to a designated group formanagement reporting purposes. Management privileges of an individual user of the managementsystem shall be configurable to restrict access to only specified groups of gateways for which theindividual is responsible.

3.2.2 GATEWAY STATIC AND DYNAMIC MAP

The management system shall display static location of units based on latest GPS information. Themanagement shall provide an alternate view that dynamically updates the location.

3.2.3 GATEWAY STATUS DISPLAY

It shall be possible to present the following status information on a status monitoring screen for eachlogical group of gateway devices. Display content and layout shall be definable by the systemadministrator:

Unit ID Unit IP address Vehicle voltage level Unit operating temperature Elapsed time since last gateway heartbeat Duration that unit has been accessible Total receive bytes for the current reporting period Total transmit bytes for the current reporting period Operational status of the gateway Software version Time since last GPS fix GPS Satellites in View (Total/Usable) Ignition Status

3.2.4 STATUS EXCEPTION REPORTING

Reported status parameters shall be monitored by the system, with status exception events automaticallydetected according to administrator-defined threshold values. Such exceptions shall be automaticallylogged by the system, highlighted by color-coding of status display elements, and reported to remoteadministrators via email or SNMP or email-enabled SMS.


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3.2.5 MASS CONFIGURATION

The gateway management system shall automate distribution and activation of fleet wide configurationchanges. The system shall assure the successful application of such configuration changes regardlessof operational status of individual gateways when the update process is launched and shall report theupdate status for each vehicle.

3.2.6 LOCATION-BASED REPORTING AND LOGGING

The gateway management system shall have the capability to log the location of all vehicles and viewtheir location in a map-based/geographic format.

3.2.7 SECURE VNC REACH-THROUGH

The gateway management system shall enable authorized users to perform remote administration ofcomputing devices that support VNC (virtual network console) access.

3.3 NETWORK MANAGEMENT REPORTS

Using logged information, the system shall generate management information reports both on an ad hocbasis and automatically at scheduled times. Report output shall be saved on the server and optionallydistributed to a predefined email list.

The system shall report wide area network utilization, network availability based on location, and trendsin accessibility of each Gateway. Such reports shall include:

Cellular coverage maps derived from fleet-wide network logs Coverage trails mapping network accessibility for individual vehicles Vehicle connection times by individual network or aggregated for all networks Availability trend, indicating the percentage of in-service time that individual gateways were

accessible over-the-air Volume of data received/transmitted on each network by an individual gateway or group of

gateways Volume of data received/transmitted per LAN client device Volume of data received/transmitted per network service type Bandwidth consumption mapped by location Link utilization, providing a time-based view of gateway link selection Event filter reports to view selected event types from the detailed system logs Wi-Fi access point coverage report Cellular equipment inventory report showing what modem cards are installed in each vehicle

along with serial and SIM numbers of each card, including: IMEI/MEID, MDN and UICC. Passenger Wi-Fi usage Configuration Audit reporting to assure fleet-wide integrity of gateway configurations. If optioned, detailed Telematics reports on trouble codes, fuel consumption, and driver behavior.

4 MOBILE VPN Server

4.1 HOSTED SERVICE AND ENTERPRISE APPLIANCE

The Mobile VPN Server shall be available either as a cloud service or as a stand-alone enterpriseappliance for installation within customer’s premise.

The enterprise edition shall be available in hardware or VMWare editions.


40

The VPN solution shall be available with optional FIPS-140-2 compliant encryption.

4.2 IPSEC CAPABILITY

The Mobile VPN Server shall be able to support IKE and ESP Transforms up to and includingaes256_SHA2.

4.3 IPSEC PROVISIONING

The Mobile VPN Server shall provide simple tab-completion command line operations and permitstraight forward batch file implementation of new VPN profile or changed VPN profile for any gateway.

4.4 IPSEC DIAGNOSTICS

The Mobile VPN Server shall provide built-in status interrogation and log files to enable troubleshootingof VPN connection problems.

4.5 RELIABILITY CAPABILITY

The Mobile VPN Server shall be able to operate with a High Availability adjacent peer to provideautomatic failover.

4.6 FAST SWITCHING AND MULTI-NETWORK SUPPORT

The VPN solution of the mobile communications system shall provide IP address persistence usingIPsec with IKEV2 and MOBIKE to enable sub-second switching across multi-WAN environments.


41

5 VENDOR SUPPLIED SERVICES

5.1 NEW INITIATIVE CONSULTATION

The mobile communications system vendor shall commit to maintain access to a field systems engineerteam for initial discussion and timely feedback on agency intentions to evaluate new systems orcapabilities that would add to the installed base of gateways.

5.2 NETWORK PLANNING AND DESIGN

The mobile communications system vendor shall provide professional services based on businessrequirements and needs. These services would cover all aspects of the solution life-cycle: includingproject planning and design, project management, implementation services, mobile and fixed networkassessments, and staff augmentation. The mobile communication vendor shall be prepared to re-engage periodically to assist with new capability or upgraded initiatives.

5.3 DEPLOYMENT SERVICES

The mobile communications system vendor shall provide professional services to ensure successful roll-out of system to entire vehicle fleet as per customer’s requirements. These services may include but arenot limited to: configuring pilot gateway hardware to operate in user’s network environment, trainingcustomer personnel on how to perform export configuration on remaining units, installation and setup ofmobile VPN solution, installation and setup of mobile applications, creation of baseline softwareconfiguration for gateways, and advice on best practices for installation. The mobile communicationvendor shall be prepared to re-engage periodically to assist with new capability or upgraded initiatives.

5.4 INSTALLATION SERVICES

The mobile communications system vendor shall provide services related to installing in-vehicle gatewayequipment and/or other peripheral hardware as per customer’s requirements. These services mayinclude but are not limited to: installation services, project management, site management, logisticsplanning and scheduling, service maintenance and support, product kitting, distribution and warehousing.

5.5 WARRANTY

The mobile communications system vendor shall provide a standard 3-year hardware warranty.

5.6 SUPPORT

The mobile communications system vendor shall offer an optional extended support plan that includes:

a. 24x7 Priority telephone support with PIN code accessb. Or; access to web portal with PIN login to report problemsc. Expedited support response to incidents.d. Extended hardware Support (product hardware repair, replacement, advanced replacement

service, expedited next day RMA, shipping costs included)e. Extended software support including: software upgrades for new software releases, bug fixes,

enhancements on customer purchased features, and remote assistance in installing newsoftware updates and upgrades.

5.7 FIRST ARTICLE TEST

5.7.1 The Contractor shall provide a fully compliant Wireless Router (Metro Part


42

Number 191717) with all technical specifications defined herein as the First Article forevaluation, inspection, and qualification by Metro to determine that the Wireless Routermeet each requirement of this technical specification. This mandatory requirement shallbe met prior to Metro authorizing the Contractor to commence production 900 WirelessRouter units.

5.7.2 The First Article shall be inspected by Metro for quality of work, material durability, andworkmanship to determine that the Wireless router fully meets the all technicalspecifications defined herein and Metro’s life expectancy criteria of operating in normaloperational services.

5.7.3 First Article is required to deliver to Metro within 30 days after the effective date of theContract.

5.7.4 Issuance of the Go-Ahead (via formal Contract Modification) for the Production WirelessRouters (900 units) will be made only after Metro approval of the First Article inspection(FAI).


43

APPROVED EQUALS:

An alternative product is any product that is the exact same specifications as the OriginalEquipment Manufacturer (OEM). Pricing for an alternative product submitted by the apparentlow bidder may be considered for testing and approval, but only, if in the judgment of METRO,testing or other investigation required to determine whether it is equal to an item or itemsindicated, or its lack of availability, will not delay award or performance of the Contract. An“approved equal” is any product not listed below.

Only the low bidder will be invited to submit a sample and additional information forreview.

MTA ITEMCODE

DESCRIPTION APPROVED MFG.Per M3

APPROVEDMFG. PARTNUMBER

191717

KIT – ROUTER, SIERRAWIRELESS, INCLUDESROUTER AIRLINK MG90,ANTENNAS (2) MOUNTINGBRACKET AND EXTENDEDWARANTY, ATMS,REPLACEMENT/RETROFIT

ERGOTECHCONTROLS INC,DBA INDUSTRIAL

NETWORK

AIRLINK

MG90

MG90

MONTHLY CONSUMPTION:

The materials specified herein are considered customized and or of a critical nature. The Contractor isresponsible for maintaining adequate stock necessary to ship within 48 hours. METRO agrees topurchase the total quantity that has been specified to be maintained in stock at any time. METRO willprovide the successful bidder with the quantity of material that is to be maintained in stock to meetMetro’s operational requirements.

MTA ITEMCODE

DESCRIPTION ESTIMATEDMONTHLY

CONSUMPTION

DIVISION

191717

KIT – ROUTER, SIERRAWIRELESS, INCLUDESROUTER AIRLINK MG90,ANTENNAS (2) MOUNTINGBRACKET AND EXTENDEDWARANTY, ATMS,REPLACEMENT/RETROFIT

50CMF – 470 Bauchet

Division addresses may be found in the Terms and Conditions, Page 7, Item 29.


44

BID INSTRUCTIONSPlease indicate on page 44, Attachment A, section II, Manufacturer and Manufacturer’s Part Number theapproved items you will offer.

By submitting your bid, you agree to supply approved OEM parts that are in full compliance with Part IV,Schedules of Quantities and Prices on page 43.


45

Bidder/Proposer: ______________________________

Contact Name and Phone Number:_________________________________

PART IVATTACHMENT “A”

SCHEDULE OF QUANITITES AND PRICES

BID NO. MA54516KIT – ROUTER, WIRELESSI.

PRICING - 12 MONTH BASE

ItemNo.

MTAPartNo. Mfg. Name

Mfg. PartNumber Description

Est.Qty. UM Unit Price Extension

1. 191717See

TechnicalRequirements

SeeTechnical

Requirements

KIT – ROUTER, SIERRA WIRELESS, INCLUDESROUTER AIRLINK MG90, ANTENNAS (2)MOUNTING BRACKET AND EXTENDEDWARANTY, ATMS, REPLACEMENT/RETROFIT

900 Each $ $

Subtotal $PRICING – OPTION YEAR

ItemNo.

MTAPartNo. Mfg. Name

Mfg. PartNumber Description

Est.Qty. UM Unit Price Extension

1. 191717See

TechnicalRequirements

SeeTechnical

Requirements

KIT – ROUTER, SIERRA WIRELESS,INCLUDES ROUTER AIRLINK MG90,ANTENNAS (2) MOUNTING BRACKETAND EXTENDED WARANTY, ATMS,REPLACEMENT/RETROFIT

300 Each $ $

Subtotal 12 Month Base $

Subtotal Option Year $

Total $

Sales Tax 9.5% $

Grand Total Bid (12 Month + Option)VENDOR IS TO INCLUDE ALL DELIVERY EXPENSES IN BID PRICE

$

NOTE: This is an IDIQ Contract and the item quantities defined above are estimated quantities which Metro may or may not purchase (Ref page 20,Clause 41, Requirements Contract). Metro’s minimum purchase and obligation under this IDIQ contract shall be 38 each.


46

Bidder/Proposer: ____________________________________

ATTACHMENT A

I. TERMS AND CONDITIONS

Discount Payment Terms ____________________% _____________ Days. Payment terms ofless than 10 days shall not be considered. If there is no discount payment then terms shall beNET 30. Payment terms shall not be considered in evaluation award.

II. MANUFACTURER AND MANUFACTURER’S SPECIFICATION SHEET

Bidders are to state approved manufacturer and manufacturer’s part number being offered:

MANUFACTURER

MANUFACTURERPART #

SUPPLIER’SIN-HOUSEPART NUMBER

LEADTIMEINITIALORDER

STANDARDWARRANTY

III. BUY AMERICA - CERTIFICATE OF ORIGIN

Bidders are to state the Country of Origin for each item bid and complete the Buy AmericaCertificate accordingly.

The bid will be deemed non-responsive and not eligible for award under the following conditions:

Bidder fails to correctly certify the country of origin Bidder certifies both compliance and non-compliance for the same product Bidder leaves the form; blank; thus fails to certify either compliance or non-compliance.

ITEM NUMBER COUNTRY

191717

YOUR BID OFFER MUST BE MAILED ALONG WITH THE BIDDER’S STATEMENT AND ALLREQUIRED FORMS DUE NO LATER THAN 1:00 P.M., JULY 23, 2018. IF INSTRUCTIONSOF THIS BID PACKAGE IS NOT FOLLOWED YOUR BID WILL BE DEEMED NON-RESPONSIVE.


47

Bidder/Proposer: _________________

ITEM CODE 191717ATTACHMENT "A"

SECTION 1

BID NO. MA54516

BUY AMERICA CERTIFICATEFOR COMPLIANCE WITH TITLE 49 USC § 5323(J)(1)

(For Procurement of Steel, Iron, or Manufactured Products)

Bid will be deemed non-responsive and not eligible for award under the followingconditions:

Bidder fails to correctly certify the country of origin Bidder certifies both compliance and non-compliance for the same

product/item Bidder leaves the form blank; thus fails to certify either compliance or non-

compliance

The Bidder/Proposer hereby certifies that it will comply with the requirements of Title 49 USC §5323(j)(1) and the applicable regulations in 49 CFR Part 661.

Executed on , 20 , at ,(Date) (City) (State)

Typewritten or Printed Name Signature of AuthorizedOfficial

Title

BUY AMERICA CERTIFICATE FOR NON-COMPLIANCE WITH TITLE 49 USC §. 5323(J)(1)

The Bidder/Proposer hereby certifies that it cannot comply with the requirements of Title 49USC § 5323(j)(1), but it may qualify for an exception pursuant to Title 49 USC § 5323(j)(2)(B)or (j)(2)(D) and the regulations in 49 CFR 661.7.



Title


48

Bidder/Proposer: _________________ATTACHMENT “A”

SECTION 2

INELIGIBLE CONTRACTORS

Contractors or firms who are included on the U.S. Comptroller General's list of persons or firms currentlyDEBARRED for violations of various public contracts incorporating Labor Standard Provisions cannot beawarded this contract.

The undersigned hereby certified that:

[ ] ________________________ does not appear on the U.S. Comptroller General's list of debarredfirms.

or

[ ] ________________________ does appear on the U.S. Comptroller General's list of debarredfirms.


49

CONTRACTOR DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION(June 2000)

Pursuant to 49 CFR Part 29, to confirm the eligibility of the Proposer or any covered Subcontractor tocontract with METRO, Proposer shall complete and submit with the Proposal the Proposal form entitled“Proposer’s Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion”, andcomply with subsection B below related to each Lower Tier covered transaction. .

A. Instructions for Proposers Certification - Primary Covered Transactions

1. In addition to signing and submitting this Proposal, the Bidder (also referred to as “prospectiveprimary participant”) shall also provide the certification in the Proposal Form entitled Certification ofPotential Contractor Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -Primary Covered Transaction.

2. The inability of a person to provide the subject certification will not necessarily result in denial ofparticipation in this Contract (also referred to as “primary covered transaction” or “coveredtransaction). The Proposer shall submit an explanation of why it cannot provide the subjectcertification. The certification or explanation will be considered in connection with Metro’sdetermination whether to enter into this Contract. However, failure of the Proposer to furnish acertification or an explanation shall disqualify the Proposer from participation of this Contract.

3. This certification is a material representation of fact upon which METRO will rely when the METROdetermines whether to enter into this Contract. If it is later determined that the Proposer knowinglyrendered an erroneous certification, in addition to other remedies available to METRO, METRO mayterminate this Contract for cause or default.

4. The Proposer shall provide immediate written notice to METRO if at any time the Proposer learnsthat its certification was erroneous when submitted or has become erroneous by reason of changedcircumstances.

5. The terms covered transaction (or as used herein “Contract”), debarred, suspended, ineligible, lowertier covered transaction (or as used herein “Subcontract” including a subcontract with a supplier),participant (or as used herein “Proposer”), person, primary covered transaction (or as used herein“Contract” or “Prime Contract”), principal, proposal (or as used herein “Proposer”) and voluntarilyexcluded, as used in this Section, have the meanings set out in the Definitions and Coveragesections of the rules implementing Executive Order 12549. The Proposer may contact METRO forassistance in obtaining a copy of those regulations.

6. The Proposer agrees by submitting this Proposal that, should the Contract be entered into, it shallnot knowingly enter into any lower tier covered transaction with a person who is proposed fordebarment under 48 CFR part 9, subpart 9.4, debarred, suspended, declared ineligible, or voluntarilyexcluded from participation in this covered transaction, unless authorized by METRO.

7. The Proposer further agrees by submitting this Proposal that it will include subsection B of thissection and the certification titled “Certification Regarding Debarment, Suspension, Ineligibility andVoluntary Exclusion - Lower Tier Covered Transaction,” provided by METRO in the Proposal Formswithout modification, in all lower tier covered transactions and in all solicitations for lower tiercovered transactions.

8. The Proposer may rely upon a certification of a prospective participant in a lower tier coveredtransaction that it is not proposed for debarment under 48 CFR part 9, subpart 9.4, debarred,suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that thecertification is erroneous. The Proposer may decide the methods and frequency by which itdetermines the eligibility of its principals. The Proposer may, but is not required to, check the List ofParties Excluded from Federal Procurement and Nonprocurement Programs.


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9. Nothing contained in the foregoing shall be construed to require establishment of a system of recordsin order to render in good faith the certification required by this Section. The knowledge andinformation of the Proposer is not required to exceed that which is normally possessed by a prudentperson in the ordinary course of business dealings.

10. Except for transactions authorized under paragraph 6 of this subsection, if a Proposer knowinglyenters into a lower tier covered transaction with a person who is proposed for debarment under 48CFR part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excluded from participation inthis transaction, in addition to other remedies available to METRO, METRO may terminate thistransaction for cause or default.

B. Instructions for Certification - Lower Tier Covered Transactions

1. By signing and submitting its lower tier proposal, the prospective lower tier participant shall providethe certification in the Proposal Form entitled Certification of Prospective Lower Tier ParticipantRegarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier CoveredTransactions.

2. The certification in this subsection is a material representation of fact upon which METRO will relywhen METRO enters into the Contract. If it is later determined that the prospective lower tierparticipant knowingly rendered an erroneous certification, in addition to other remedies available toMETRO, METRO may pursue available remedies, including suspension and/or debarment.

3. The prospective lower tier participant shall provide immediate written notice to the Proposer if at anytime the prospective lower tier participant learns that its certification was erroneous when submittedor had become erroneous by reason of changed circumstances.

4. The terms covered transaction (or as used herein “Contract”), debarred, suspended, ineligible, lowertier covered transaction (or as used herein “Subcontract,” including a subcontract with a Supplier),participant (or as used herein “Proposer”), person, primary covered transaction (or as used herein“Contract” or “Prime Contract”), principal, proposal, and voluntarily excluded, as used in this section,have the meaning set out in the Definitions and Coverage sections of rules implementing ExecutiveOrder 12549. The prospective lower tier participant may contact the Proposer for assistance inobtaining a copy of those regulations.

5. The prospective lower tier participant agrees by submitting its proposal that, should the proposedcovered transaction be entered into, it shall not knowingly enter into any lower tier coveredtransaction with a person who is proposed for debarment under 48 CFR part 9, subpart 9.4,debarred, suspended, declared ineligible, or voluntarily excluded from participation in this Contract,unless authorized by METRO.

6. The prospective lower tier participant further agrees by submitting its proposal that it will include thissubsection B and the Certification (in the Proposal Forms) titled “Certification Regarding Debarment,Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transaction,” withoutmodification, in all lower tier covered transactions and in all solicitations for lower tier coveredtransactions.

7. A participant in a covered transaction may rely upon a certification of a prospective participant in alower tier covered transaction that it is not proposed for debarment under 48 CFR part 9, subpart 9.4,debarred, suspended, ineligible, or voluntarily excluded from covered transactions, unless it knowsthat the certification is erroneous. A participant may decide the method and frequency by which itdetermines the eligibility of its principals. Each participant may, but is not required to, check the Listof Parties Excluded from Federal Procurement and Nonprocurement Programs.

8. Nothing contained in the foregoing shall be construed to require establishment of a system of recordsin order to render in good faith the certification required by this Section. The knowledge and


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information of a participant is not required to exceed that which is normally possessed by a prudentperson in the ordinary course of business dealings.

9. Except for transactions authorized under paragraph 5 of this subsection, if a participant in a coveredtransaction knowingly enters into a lower tier covered transaction with a person who is proposed fordebarment under 48 CFR part 9, subpart 9.4, suspended, debarred, ineligible, or voluntarily excludedfrom participation in this transaction, in addition to other remedies available to METRO, METROmay pursue available remedies, including suspension and/or debarment.


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Bidder/Proposer: _____________________

CERTIFICATION OF PROSPECTIVE CONTRACTOR REGARDING DEBARMENT,SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION

PRIMARY COVERED TRANSACTIONS MUST BE COMPLETED BY BIDDER FORCONTRACT VALUE OVER $100,000

[See Instructions for Completion in Instructions to Bidders in the section entitledCONTRACTOR DEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARYEXCLUSION]

Choose one alternative with “X” in the box:

The Bidder, ___________________________________________________ certifiesto the best of its knowledge and belief, that it and its principals:

1. Are not presently debarred, suspended, proposed for debarment, declaredineligible, or voluntarily excluded from covered transactions by any Federaldepartment or agency;

2. Have not within a three-year period preceding this proposal been convicted of orhad a civil judgment rendered against them for commission of fraud or a criminaloffense in connection with obtaining, attempting to obtain, or performing a public(Federal, State or Local) transaction or contract under a public transaction; violationof Federal or State antitrust statutes or commission or embezzlement, theft, forgery,bribery, falsification or destruction of records, making false statements, or receivingstolen property;

3. Are not presently indicted for or otherwise criminally or civilly charged by agovernmental entity (Federal, State, or local) with commission of any of theoffenses enumerated in paragraph (2) of this certification; and

4. Have not within a three-year period preceding this Bid had one or more publictransactions (Federal, State or local) terminated for cause or default.

OR

The Bidder is unable to certify to all of the statements in this certification, and attachesits explanation to this certification. (In explanation, certify to those statements that canbe certified to and explain those that cannot.)

The Bidder certifies or affirms the truthfulness and accuracy of the contents of thestatements submitted on or with this certification and understands that the provisions ofTitle 31 USC § Sections 3801 are applicable thereto.



Title


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Bidder/Proposer: _____________________

CERTIFICATION OF PROSPECTIVE LOWER TIER PARTICIPANT REGARDINGDEBARMENT, SUSPENSION, INELIGIBILITY AND VOLUNTARY EXCLUSION

LOWER TIER COVERED TRANSACTIONS MUST BE COMPLETED BY PROSPECTIVELOWER TIER PARTICIPANT (SUBCONTRACTOR OR SUPPLIER FOR CONTRACT

VALUE OVER $100,000.00)

Choose one alternative with an “X” in the box:

The prospective lower tier participant ______________________________ certifies bysubmission of its lower tier bid or proposal to the best of its knowledge and belief, thatneither it nor its principals is presently debarred, suspended, proposed for debarment,declared ineligible, or voluntarily excluded from covered transactions by any Federaldepartment or agency.

OR

The prospective lower tier participant ____________________________is unable tocertify that neither it nor its principals is not presently debarred, suspended, proposedfor debarment, declared ineligible, or voluntarily excluded and attaches its explanationto this certification.

The prospective lower tier participant certifies or affirms the truthfulness and accuracy ofthe contents of the statements submitted on or with this certification and understands thatthe provisions of Title 31 USC § 3801 are applicable thereto.



Title


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Bidder/Proposer: ______________________

ATTACHMENT “A”

SECTION 3

CO-OPERATIVE PURCHASING AMONG GOVERNMENT AGENCIES

The successful contractor based on this bid, is hereby requested to extend the same prices,terms and conditions of this bid to other government agencies, contingent upon mutualagreement of these other government agencies and the successful contractor. Should suchagreements materialize, contracts would be issued and administered by each individualgovernment agency, directly with the successful contractor.

Bidder is requested to indicate if a contract based on this bid, will be extended to othergovernment agencies under the terms described above:

PLEASE CHECK ONLY ONE: YES NO


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Bidder/Proposer: ______________________

ATTACHMENT “A”

SECTION 4

CONTRACTOR BACKGROUND

This form must be completed by owner or authorized official. (Note: Attach additional pages asnecessary to complete answers.)

Name of Company: _____________________________________________________________

Business Address: ______________________________________________________________

Name of Owner: ________________________________________________________________

Number of years in Operations:

Year Business Founded: _____ Years in Business: _____ Number of Employees: ____

Has the company changed its address or has the company or its owner operated under any othername(s)?

_____ No ______Yes, please explain below.

____________________________________________________________________________________

____________________________________________________________________________________

____________________________________________________________________________________

Describe major areas of business or your expertise.

____________________________________________________________________________________

____________________________________________________________________________________

____________________________________________________________________________________

Describe any prior/current contracts with METRO.

____________________________________________________________________________________

____________________________________________________________________________________

____________________________________________________________________________________

Provide the names of any other transit or government or private companies that you have done businesswith.

____________________________________________________________________________________

____________________________________________________________________________________

____________________________________________________________________________________


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ATTACHMENT “B”

Code of Conduct for METRO Contractors and Consultants

Application of the Contractor Code of Conduct:This Code of Conduct

1shall govern the conduct of all contractors

2of METRO.

These standards supersede all prior written Ethics Policies duly adopted by METRO which are in conflictwith these standards.

These standards are to be read in conjunction with the latest edition of METRO Procurement Manual andother applicable METRO policies and procedures.

All contractors shall insure that their subcontractors comply with this Code of Conduct.

PurposeThe purposes of these Standards of Conduct are:

(1) To protect the integrity of the procurement process;

(2) To provide a comprehensive statement of pertinent regulations and obligations governing theconduct of contractors doing business with METRO so they will be able to compete fairly andperform their work and services in an ethical manner.

Not ExclusiveThis document does not purport to respond to all ethical issues which may arise in the course of doingbusiness with METRO. Each person and entity is expected to conduct himself or herself in the mannerof an ethical, reasonable person with the express understanding that acting ethically is not an optionalcourse of conduct at METRO but the only course of conduct permitted.

Ethical ConductMETRO Ethics Department is charged with educating and advising about ethical issues. If you have anyquestions regarding this Code of Conduct you are welcome to contact the Ethics Department.

EnforcementThe provisions of this Code of Conduct are enforced by METRO Inspector General and other appropriateenforcement authorities.

Avoiding the Appearance of ImproprietyAll contractors should refrain from conduct which they know or reasonably should know is likely to createin the minds of reasonable, objective, fair-minded observer the perception that they are using theircontract with METRO in an improper manner.

Contacts by Staff Prior to the Issuance of a SolicitationWhile informational and market research contacts with prospective contractors are a valuable source ofdata to METRO, such contacts can be perceived as improper. All parties must exercise sound judgmentand exercise caution to prevent an actual or implied impression that such contacts will result inpreferential treatment of the prospective contractor.

1In addition to the provisions in this Code of Conduct, contractors and prospective contractors shall be subject to related Federal and

State laws and local ordinances.2“Contractor” means any construction company, engineering firm, consultant, legal firm, or any company, supplier, or business entity

who is presently engaging in any business with METRO or any owner or employee of such entities and all entities who have submitted abid or proposal for METRO contract. “Contractor” shall also include “consultant” as defined in this code of conduct.


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LobbyingUnder METRO policy and P.U.C. §130051.18 a lobbyist is defined as any person who receivescompensation, other than reimbursement for reasonable travel expenses, to influence any METROaction. All persons classified as a lobbyist under this definition shall register with METRO prior to thecommencement of any lobbying activity. METRO shall not award a contract to any person or entity whois in violation of this policy.

This definition of lobbyist is broader than definitions used by other agencies. You should consult METROLobby Registration Manual to determine whether you are a lobbyist.

Zero Tolerance Regarding GiftsNo bidder or proposer shall offer, give, or promise to offer or give, directly or indirectly any money, gift,gratuity or other thing of value to any METRO procurement staff at any time.

Zero Tolerance Regarding Offers of EmploymentNo bidder, proposer, or contractor shall offer, or promise to offer, either directly or indirectly, any futureemployment or business opportunity to any METRO staff, their immediate family, spouse, significantother or business associates of such persons if such offer of employment is conditioned expressly orimpliedly on the awarding of a present or future contract or preference in the awarding of a contract toanyone at any time by METRO.

Disbursement of Preliminary InformationNo bidder, proposer or contractor shall request or attempt to request from any METRO staff thedissemination of any information regarding present or future contracts or expectations of such contractsunless this information is made available at the same time and in the same form to all other bidders,proposers or contractors.

Receipt of Protected InformationNo bidder, proposer or contractor shall solicit or obtain, directly or indirectly, from any METROemployee, any information developed during the course of conducting the procurement relating to theprocurement prior to the contract award unless this information is a public record under the PublicRecords Act.

Contractor Pre-QualificationMETRO will accept bids and proposals for contracts and procurement of goods or services having avalue, to be determined by METRO, only from firms or entities which are complying with METRO pre-qualification process. Firms or entities seeking certification as pre-qualified shall submit a completedPre-Qualification Application. Firms or entities intending to bid as a joint venture should submit aseparate Pre-Qualification Application for each joint venture.

Advice on DevelopmentNo contractor who participates in the development of a scope of work, solicitation documents,contractual instruments or technical specifications may participate as a proposer or sub-proposer on thatparticular procurement or perform any work on that particular procurement. This prohibition may bewaived in writing by METRO Executive Officer for Procurement upon a showing of good cause.

Conflicts of InterestA conflict of interest exists when one has a financial interest in or towards a person or entity which resultsin a real or apparent advantage to that person or entity. Contractors shall not have any financialrelationship with any METRO Board Member, Alternate or employee, or a member of that employee’simmediate family, who has participated or will participate in the contract to which the contractor is aparty.

If the contractor has a financial relationship with any METRO Board Member, Alternate or employee, thecontractor shall disclose this fact in writing to the Executive Officer for Procurement as soon as this


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possible conflict of interest is known. The Contractor is under a continuing duty to advise METRO of anyConflict of Interests which may arise during the term of the contract.

By its very nature, a perceived conflict of interest with METRO employee may exist under othernumerous situations including, but not limited to, past dealings with the contractor, a close personalrelationship with the officers or directors of the contractor, a pattern of regular contacts with the officersor directors of the contractor for any reason; a relationship with an entity or person favored by thecontractor.

A conflict of interest may also exist when the contractor has previously employed, or is currently offeringemployment to, or considering an employment application of, any METRO staff or his or her immediatefamily.

While not all conflicts will cause a contractor to be disqualified, failure to disclose a known conflict mayjustify disqualification and/or sanctions. BE SAFE - DISCLOSE.

The Executive Officer for Procurement, in consultation with legal counsel, shall determine whether aconflict of interest exists and recommend appropriate action for resolution. If it is determined that anactual or apparent conflict of interest exists, METRO Executive Officer for Procurement shall notify thecontractor of this finding and the action that METRO shall take to resolve this conflict of interest inwriting.

SanctionsMETRO encourages reporting of all good faith suspected violations of this Code of Conduct. Prior to adetermination of actual violation by the responsible party or entity, there exists the presumption thealleged violator is innocent of the violation. There shall be no adverse consequences suffered by anyonemaking a good faith report of a suspected violation nor shall there be any adverse consequencessuffered by anyone accused of violating these standards and subsequently found not to have violatedthis Code of Conduct. The identity of any persons reporting violations of these standards shall be keptconfidential.

All suspected violations shall be reported immediately to the Inspector General for investigation. TheInspector General shall investigate the allegations and, if determined to have merit, the matter will bereferred to the appropriate enforcement authorities.

In addition, if the Inspector General has determined that the alleged violations have merit, METRO maytake one or more of the following actions:

1. Meeting with the contractor to explain the violation;2. Imposing a monetary fine upon the contractor according to the schedule set forth in the

contract documents;3. Suspending the contract or subcontract involving the offending contractor;4. Directing the prime contractor to remove the offending subcontractor from the project;5. Rescinding, voiding, or terminating the contract; and/or6. Any other reasonable penalty deemed appropriate

The Executive Officer for Procurement shall state in writing to the contractor its recommendationsregarding the violation and, if appropriate, sanctions. The contractor may request an informal hearingwith the Executive Officer for Procurement or designee to explain its position regarding the allegedviolation and/or punishment prior to the Executive Officer for Procurement taking any action. Thisrequest must be made in writing and received by the Executive Officer for Procurement within 10working days of the recommendation for sanctions. If no request is received within the 10 working dayperiod the recommended action shall be taken.


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If a timely request for a hearing is received the informal hearing shall take place within ten days after theExecutive Officer for Procurement receives the request. The contractor may be represented by legalcounsel at its own expense at the hearing. Within working 10 days after the informal hearing, theExecutive Officer for Procurement or designee shall advise the contractor in writing the outcome of thehearing at which time the decision becomes final.

If the sanctions imposed by the Executive Officer for Procurement are anything more than a conferencewith the alleged offending contractor and/or a fine of more than $1,000.00 the alleged offendingcontractor may request a full hearing before the American Arbitration Association (AAA) pursuant to itsrules and regulations. This request must be in writing and directed to the Executive Officer forProcurement. This request must be received within 10 days after the Executive Officer’s decisionbecomes final.

The contractor shall bear the costs associated with the arbitration. The hearing shall take place in theCounty of Los Angeles, State of California and shall take place as soon as possible. Any decisionrendered by the AAA shall be binding on all parties.

In the case of a procurement in which a contract has not yet been awarded, METRO shall determinewhether to terminate the procurement or take other appropriate action.

Definitions“Board Member/Alternate” includes Board Members and their Alternates of the MetropolitanTransportation Authority.

“Consultant” means an individual who, pursuant to a contract with a state or local agency:

a) Makes a governmental decision whether to:

1) Approve a rate, rule, or regulation2) Adopt or enforce a law;3) Issue, deny, suspend, or revoke any permit, license, application, certification,

approval, order, or similar authorization or entitlement;4) Authorize the agency to enter into, modify, or renew a contract provided it is the type

of contract which requires Agency approval;5) Grant Agency approval to a contract which requires agency approval and in which

the agency is a party or to the specifications for such contract;6) Grant Agency approval to a plan, design, report, study, or similar item;7) Adopt, or grant agency approval of, policies, standards, or guidelines for the agency,

or for any subdivision thereof; or

b) Serves in a staff capacity with the agency and in that capacity perform the same orsubstantially all the same duties for the agency that would otherwise be performed by anindividual holding a position specified in the agency's Conflict of Interest Code.

“Contractor” means any construction company, engineering firm, consultant, legal firm, or anycompany, supplier, or business entity who is presently engaging in any business with METRO or anyowner or employee of such entities and all entities who have submitted a bid or proposal for METROcontract. “Contractor” shall also include “consultant” as defined in this code of conduct.

“(Campaign) Contribution” means a payment, a forgiveness of a loan, a payment of a loan by a thirdparty, or an enforceable promise to make a payment except to the extent that full and adequateconsideration is received unless it is clear from the surrounding circumstances that it is not made forpolitical purposes. An expenditure made at the behest of a candidate, committee, or elected officer is acontribution to the candidate, committee, or elected officer unless full and adequate consideration isreceived for making the expenditure.


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“Contribution” also includes the purchase of tickets for events such a dinners, luncheons, rallies, andsimilar fundraising events; the candidate's own money or property used on behalf of his or her candidacy;the granting of discounts or rebates not extended to the public generally or the granting of discounts orrebates by television and radio stations and newspapers not extended on an equal basis to all candidatesfor the same office; the payment of compensation by any person for the personal services or expensesof any other person if such services are rendered or expenses incurred on behalf of a candidate orcommittee without payment of full and adequate consideration.

“Contribution” also includes any transfer of anything of value received by a committee from anothercommittee, unless full and adequate consideration is received.

“Contribution” does not include amounts received pursuant to an enforceable promise to the extent suchamounts have been previously reported as a contribution. However, the fact that such amounts havebeen received shall be indicated in the appropriate campaign statement.

“Contribution” does not include a payment made by an occupant of a home or office for costs related toany meeting or fundraising event held in the occupant's home or office if the costs for the meeting orfundraising event are five hundred dollars ($500) or less.

“Contribution” does not include volunteer personal services or payments made by any individual for hisor her own travel expenses if such payments are made voluntarily without any understanding oragreement that they shall be, directly or indirectly, repaid to him or her.

“Financial interest” means, with regard to a Board Member/Alternate or METRO employee or amember of his or her immediate family, a financial interest in a decision if it is reasonably foreseeablethat the decision will have a material financial effect, distinguishable from its effect on the publicgenerally, or on:

(a) Any business entity or real property in which the Board Member/Alternate or METRO employeehas a direct or indirect investment worth one thousand dollars ($1,000) or more; or

(b) Any source of income, other than gifts and other than loans by a commercial lending institution inthe regular course of business on terms available to the general public without regard to officialstatus aggregating two hundred fifty dollars ($250) or more, provided to, received by, orpromised to the Board Member/Alternate or METRO employee within twelve (12) months prior tothe time the decision is made; or

(c) Any business entity in which the Board Member/Alternate or METRO employee is a director,officer, partner, trustee, or holds any management position; or

(d) Any donor of, or any intermediary or agent for a donor of, a gift or gifts aggregating two hundredfifty dollars ($250) or more in value provided to, received by, or promised to a BoardMember/Alternate or METRO employee within twelve (12) months prior to the time when thedecision is made; or employee knows or has reason to know that a party to the contract is aperson with whom the Board Member/Alternate or METRO employee, or any member of his orher immediate family, has engaged in any business transaction or transactions on terms notavailable to members of the public, regarding any investment or interest in real property, or therendering of goods or services totaling in value on thousand dollars ($1,000) or more withintwelve (12) months prior to the time the official action is to be performed.

For purposes of this section, indirect investment or interest means any investment or interestowned by the spouse or dependent child of a public official, by an agent on behalf of a publicofficial, or by a business entity or trust in which the official, the official's agents, spouse, anddependent children own directly, indirectly, or beneficially a 10-percent interest or greater.


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“Gift” means:

(a) except as provided in subdivision (b), any payment to the extent that consideration of equal orgreater value is not received and includes a rebate or discount in the price of anything of valueunless the rebate or discount is made in the regular course of business to members of the publicwithout regard to official status. Any person, other than a defendant in a criminal action, whoclaims that a payment is not a gift by reason or receipt of consideration has the burden ofproving that the consideration received is of equal or greater value.

(b) The term “gift” does not include:

(1) Informational material such as books, reports, pamphlets, calendars, or periodicals. Nopayment for travel or reimbursement for any expenses shall be deemed “informationalmaterial.”

(2) Gifts that are not used and which, within 30 days after receipt, are returned to the donor ordelivered to a charitable organization without being claimed as a charitable contribution fortax purposes.

(3) Gifts from an individual's spouse, child, parent, grandparent, grandchild, brother, sister,parent-in-law, brother-in-law, sister-in-law, nephew, niece, aunt, uncle, or first cousin or thespouse of any such person, or significant other; provided that a gift from any such personshall be considered a gift if the donor is acting as an agent or intermediary for any person notcovered by this paragraph.

(4) Campaign contributions as defined in this Appendix.

(5) Any devise or inheritance.

(6) Personalized plaques and trophies with an individual value of less than two hundred fiftydollars ($250).

(7) Hospitality (including food, beverages, or occasional lodging) provided by an individual in hisor her home when the individual or member of the individual's family is present, to anofficial.

(A) Hospitality provided by a lobbyist in accordance with the above is also not a gift unless:

(i) Any part of the cost of such hospitality is paid for by the lobbyist's employer orlobbying firm directly; or

(ii) The lobbyist is reimbursed by his or her lobbyist employer or lobbying firm for anypart of the cost of such hospitality; or

(iii) The lobbyist deducts any part of the cost of such hospitality as a business expenseon any tax return, either State or Federal; or

(iv) There is an understanding between the lobbyist and his or her lobbyist employer orlobbing firm that the amount of compensation received by the lobbyist includes aportion to be utilized by the lobbyist to provide gifts of hospitality in the lobbyist'shome.


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(B) In determining the applicability of subsections (A)(i) through (A)(iv) above, the cost ofproviding hospitality does not include any part of the value or rental of the home of thelobbyist, nor does it include any depreciation on the premises where the hospitality isextended.

“Lobbying” means influencing or attempting to influence METRO action through direct or indirectcommunication, other than administrative testimony, with METRO official.

“Lobbying firm” means any business entity, including an individual lobbyist, which meets either of thefollowing criteria: (1) The business entity receives or becomes entitled to receive any compensation,other than reimbursement for reasonable travel expenses, for the purpose of influencing METRO actionon behalf of any other person, and any partner, owner, officer, or employee of the business entity is alobbyist; or (2) The business entity receives or becomes entitled to receive any compensation, other thanreimbursement for reasonable travel expenses, to communicate directly with any METRO official for thepurpose of influencing METRO action on behalf of any other person, if a substantial or regular portion ofthe activities for which the business entity receives compensation is for the purpose of influencingMETRO action.

“Lobbyist” means any individual who receives any economic consideration, other than reimbursementfor reasonable travel expenses, for lobbying, including consultants and officers or employees of anybusiness entity seeking to enter into a contract with the METRO.

“Lobbyist employer” means any person, other than a lobbying firm, who does either of the following:

(1) Employs one or more lobbyists for the purpose of influencing METRO action, or;

(2) Contracts for the services of a lobbying firm for economic consideration for the purpose ofinfluencing METRO action.

“METRO action” means the drafting, introduction, consideration, modification, enactment, or defeat ofan ordinance, resolution, contract, or report by the governing board of an organizational unit of METRO,or by METRO official, including any action taken, or required to be taken, by a vote of the members ofMETRO or by the members of the governing board of an organizational unit of METRO, except thoseactions relating to Public Utilities Code, Article 10 (commencing with §30750) of Chapter 5 of Part 3 ofDivision 10.

“METRO employee” means any individual, including a consultant who receives compensation from theMETRO for full or part-time employment. The term METRO employee includes a "designated METROemployee".

“METRO official” means any Board Member, Alternate, member of an organizational unit of theMETRO, or employee of METRO.

“Official responsibility” means the direct administrative or operating duties for METRO, whetherintermediate or final, and whether exercisable alone or with others, and either personally or throughsubordinates, to approve, disapprove, or otherwise direct METRO action.

“Person” means an individual, proprietorship, firm, partnership, joint venture, joint stock company,syndicate, business trust, estate, company, corporation, association, club, committee, organization, orgroup of persons acting in concert.


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“Public official” means every member, officer, employee or consultant of a state or local governmentagency, but does not include judges and court commissioners in the judicial branch of government.“Public official” also does not include members of the Board of Governors and designated employees ofthe State Bar of California, members of the Judicial Council, and members of the Commission onJudicial Performance, provided that they are subject to the provision of Article 2.5 (commencing with§6035) of Chapter 4 of Division 3 of the Business and Professions Code as provided in §6038 of thatarticle.

“Significant other” means an individual with whom a Board Member/Alternate or METRO employeeparticipates in a dating relationship.


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LOS ANGELES COUNTY METROPOLITAN TRANSPORTATION AUTHORITYLOBBY ORDINANCE NO. 99-01 AND GUIDELINES 015 (JUNE 2000)

Section 1

In accordance with California Public Utilities Code Section 130051.18, METRO ratifies the LobbyingPolicy adopted on February 3, 1993, as amended from time to time and adopts this lobbying ordinance.

Section 2

Lobbyists, lobbying firms, and lobbyist employers shall register with the filing officer within 10 days afterqualifying as a lobbyist, lobbying firm, or lobbyist employer. Registration shall be completed prior to thecommencement of lobbying by the lobbyist. Registration shall include the filing of a registrationstatement, and the payment of any fees authorized by this section. Registration shall be renewedannually by January 15 of each succeeding year by the filing of a renewal statement and the payment ofa fee. Each lobbyist, lobbying firm, and lobbyist employer required to register under this section may becharged a fee by METRO that shall be in an amount necessary to pay the direct costs of implementingthis section.

Section 3

(a) The lobbyist registration statement shall include all of the following:

1. The name, address, and telephone number of the lobbyist.

2. For each person from whom the lobbyist receives compensation to provide lobbyingservices, all of the following:

A. The full name, business address, and telephone number of the person or company.

B. The time period of the contract or employment agreement.

C. The lobbying interests of the person or company.

D. A written authorization signed by the person.

3. A statement signed by the lobbyist certifying that he or she has read and understands theprohibitions contained in this ordinance.

(b) The registration statement of a lobbying firm shall include all of the following:

1. The full name, business address, and telephone number of the lobbying firm.

2. A list of the lobbyists who are partners, owners, officers, or employees of the lobbyingfirm.

3. For each person or company with whom the lobbying firm contracts to provide lobbyingservices, the following:

A. The full name, business address, and telephone number of the person or company.

B. The time period of the contract.

C. Information sufficient to identify the lobbying interests of the person or company.


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D. A written authorization signed by the person.

4. A statement signed by the designated responsible person that he or she has read andunderstands the prohibitions contained in this ordinance.

(c) The registration statement of a lobbyist employer shall include all of the following:

1. The full name, business address, and telephone number of the lobbyist employer.

2. A. list of the lobbyists or lobbying firms who are employed by the lobbyist employer.

3. The lobbying interests of the lobbyist employer, including identification of specificcontracts or METRO actions.

4. A statement signed by the designated responsible person that he or she has read andunderstands the prohibitions contained in this ordinance.

(d) The registration statement must be amended within 10 days of a change in the information includedin the statement. However, if the change includes the name of a person by whom a lobbyist orlobbying firm is retained, the registration statement shall be amended to show that change prior tothe commencement of lobbying by the lobbying firm or the lobbyist.

Section 4

Lobbyists, lobbying firms, and lobbyist employers which receive payments, make payments, or incurexpenses or expect to receive payments, make payments, or incur expenses in connection with activitieswhich are reportable pursuant to this section shall keep detailed accounts, records, bills, and receipts fora period of 4 years and make them reasonably available for inspection for the purposes of auditing forcompliance with, or enforcement of, this section.

Section 5

(a) A lobbyist shall complete and verify a quarterly report, and file his or her report with the filing officer,and a copy of the report with his or her lobbying firm or lobbyist employer. The quarterly report shallcontain all of the following:

1. A report of all activity expenses by the lobbyist during the reporting period.

2. The full name, business address, and telephone number of each person or company whocontracted with the lobbyist for lobbying services including the true party in interest

3, a

description of the specific lobbying interests of the person or company, and the totalpayments, including fees and the reimbursement of expenses, received from the person orcompany for lobbying services during the reporting period. If the lobbyist lobbied on aspecific contract, the lobbyist shall disclose the contract number and describe in detail thenature of the contract. The lobbyist shall also disclose payments received for lobbying on aspecific contract.

3. A report of all contributions of one hundred dollars ($100) or more made or delivered by thelobbyist to any METRO official during the reporting period.

3“True party in interest” is defined as the person or entity on whose behalf the lobbyist attempts to influence

METRO action, even if the lobbyist is compensated by another person.


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(b) A lobbying firm shall file a quarterly report containing all of the following:

1. The full name, address, and telephone number of the lobbying firm.

2. The full name, business address, and telephone number of each person or company whocontracted with the lobbying firm for lobbying services, a description of the specific lobbyinginterests of the person or company, and the total payments, including fees and thereimbursement of expenses, received from the person or company for lobbying servicesduring the reporting period. If the lobbying firm contracts with a lobbyist to lobby a specificcontract, the lobbying firm shall disclose the contract number and describe in detail thenature of the contract.

3. A copy of the quarterly report completed and verified by each lobbyist in the lobbying firmpursuant to this ordinance.

4. Each activity expense incurred by the lobbying firm including those reimbursed by a personor company who contracts with the lobbying firm for lobbying services.

5. The date, amount, and the name of the recipient of any contribution of one hundred dollars($100) or more made by the filer to METRO official.

(c) A lobbyist employer shall file a quarterly report containing all of the following:

1. The name, business address, and telephone number of the lobbyist employer.

2. The total amount of payments to each lobbying firm.

3. The total amount of all payments to lobbyists employed by the filer.

4. description of the specific lobbying interests of the filer. If the lobbyist employer hascontracted a lobbying firm or lobbyist to lobby a specific contract, the lobbyist employer shalldisclose the contract number and describe in detail the nature of the contract. The lobbyistemployer shall also disclose the amount of money paid to a lobbying firm or lobbyist to lobbythe specific contract.

5. A quarterly report, completed and verified by each lobbyist employed by a lobbyist employerpursuant to this ordinance.

6. Each activity expense of the filer and a total of all activity expenses of the filer.

7. The date, amount, and the name of the recipient of any contribution of one hundred dollars($100) or more made by the filer to METRO official.

8. The total of all other payments to influence METRO action.

(d) The quarterly reports required pursuant to this ordinance shall be filed within thirty (30) days after theend of each calendar quarter. The period covered shall be from the beginning of the calendar yearthrough the last day of the calendar quarter prior to the thirty day period during which the report isfiled, except that the period covered by the first report a person or company is required to file shallbegin with the first day of the calendar quarter in which the filer first registered or qualified.


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(e) When a person or company is required to report activity expenses pursuant to this section, all of thefollowing information shall be provided:

1. The date and amount of each activity expense.

2. The full name and official position, if any, of the beneficiary of each expense, a descriptionof the benefit, and the amount of the benefit.

3. The full name of the payee of each expense if other than the beneficiary.

Section 6

The original and one copy of each report required by §5.0 of this ordinance shall be filed with the filingofficer, shall be retained by METRO for a minimum of four years, and shall be available for inspection bythe public during regular working hours.

Section 7

(a) It is unlawful for a lobbyist, a lobbying firm or a lobbyist employer to make gifts to METRO officialaggregating more than ten dollars ($10) in a calendar month, or to act as an agent or intermediary inthe making of any gift, or to arrange for the making of any gift by any other person.

(b) It is unlawful for any METRO official knowingly to receive any gift which is made improper by theseregulations. For the purposes of this ordinance, "gift" shall have the meaning provided in Section 11below.

(c) No lobbyist or lobbying firm shall do any of the following:

1. Do anything with the purpose of placing METRO official under personal obligation to thelobbyist, the lobbying firm, or the lobbyist's or the firm's employer.

2. Deceive or attempt to deceive any METRO official with regard to any material fact pertinentto any METRO action.

3. Cause or influence any METRO action for the purpose of thereafter being employed tosecure its passage or defeat.

4. Attempt to create a fictitious appearance of public favor or disfavor of any METRO action, orcause any communications to be sent to any METRO official in the name of any fictitiousperson or in the name of any real person, except with the consent of that real person.

5. Represent falsely, either directly or indirectly, that the lobbyist or the lobbying firm cancontrol any METRO official.

6. Accept or agree to accept any payment that is contingent upon the outcome of any METROaction.

(d) Commencing with the issuance of an RFP, RFIQ or IFB and ending on the date the staffrecommendation for award is made public, no lobbyist representing a person or entity submitting aproposal in response to the RFP, RFIQ or IFB shall contact by any means or engage in anydiscussion concerning the award of the contract with any Board Member or his/her staff, or anyMETRO staff. Any such contact shall be grounds for the disqualification of the proposer.


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(e) During price negotiations of non-low bid contracts, lobbyists shall not contact, lobby or otherwiseattempt to influence METRO staff, other than negotiation team members, or Board Members andtheir staff, relative to any aspect of the contract under negotiation. This provision shall apply fromthe time of award until the recommendation for execution of the contract is made public. Anyconcerns relative to any contract under negotiation shall be communicated only to the CEO forresolution

(f) A lobbyist representing a person or entity who submitted a proposal or bid in response to the RFP,RFIQ, or IFB shall not contact a Board Member or his/her staff regarding a protest submittedregarding the recommended contract award or any lawsuit or potential lawsuit regarding therecommended contract award or any issue relating to the underlying procurement.

(g) Any person or entity who receives compensation pursuant to a contract or subcontract to lobby onbehalf of, or otherwise represent, METRO shall be prohibited from lobbying the METRO on behalf ofany person or entity for compensation.

(h) No former METRO official shall become a lobbyist for a period of one year after leaving METRO.

Section 8

(a) Lobbying firms and lobbyist employers upon ceasing all lobbying activity which required registrationshall file a notice of termination within 30 days after the cessation.

(b) Lobbyists and lobbying firms shall remain subject to §7(a), (b) and (c) of this ordinance for twelve(12) months after filing a notice of termination.

Section 9

(a) The provisions of this ordinance are not applicable to any of the following:

1. An elected public official who is acting in his or her official capacity to influence METROaction.

2. Any newspaper or other periodical of general circulation, book publisher, radio or televisionstation which, in the ordinary course of business, publishes or broadcasts news items,editorials, or other documents, or paid advertisement, that directly or indirectly urgesMETRO action, if the newspaper, periodical, book publisher, radio or television stationengages in no further or other activities in connection with urging METRO action other thanto appear before the METRO in support of, or in opposition to METRO action.

(b) The provisions of this ordinance are enforced by METRO Inspector General.

(c) METRO shall reject any bid or other proposal to enter into a contract with METRO by any person orentity who has not complied with the registration and reporting requirements of this ordinance.

(d) Furthermore, METRO may impose additional sanctions which may include one or more of thefollowing options:

1. Disqualification from lobbying on the matter related to the violation.

2. Suspension from all METRO lobbying activities for a period of time.

3. Permanent prohibition from all METRO lobbying activities.

4. A monetary fine.


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(e) The sanctions imposed for violations of this ordinance will depend upon the severity of the violationand may be progressive unless the violation is determined to be so egregious as to warrant moresevere action initially.

(f) Any person who knowingly or willfully violates any provision of these regulation of lobbyingprovisions is guilty of a misdemeanor.

(g) The District Attorney of the County of Los Angeles is responsible for the prosecution of violations ofthese regulation of lobbying provisions.

(h) Any person who violates any provision of these lobbying guidelines is liable in a civil action broughtby the civil prosecutor or by a person residing within the jurisdiction of METRO for an amount up tofive hundred ($500), or three times the amount of an unlawful gift or expenditure, whichever isgreater. In addition, METRO Board may impose additional sanctions pursuant to the procedures setforth in §9(d) of this policy.

(i) The following procedures should be followed prior to the imposition of any sanction(s) for violation ofthis ordinance:

1. All information relating to the alleged violation shall be forwarded to the Inspector Generalfor investigation.

2. Upon completion of the investigation, the Inspector General shall submit his/her findings toMETRO Board for review.

3. METRO Board, or its designee, shall hold an administrative hearing relating to the allegedviolation. Any entity may submit evidence in support of or in opposition to the allegations.

4. If METRO board, or its designee, finds that a violation of the Lobby Registration Policy hasoccurred, it shall decide appropriate sanctions. METRO Board shall have final approval overthe findings and sanctions imposed by its designee.

5. The imposition of sanctions by the Board shall not preclude any penalties which may accruepursuant to any civil action relating to the violations.

Section 10

This ordinance shall take effect thirty (30) days following its adoption.

Section 11

For the purposes of this ordinance, the following terms are defined as follows:

"Activity expense" means any expense incurred or payment made by a lobbyist, lobbying firm, orlobbyist employer, or arranged by a lobbyist, lobbying firm, or lobbyist employer, which benefits in wholeor in part any METRO official, or a member of the immediate family of METRO official.

"Administrative testimony" means influencing or attempting to influence METRO action undertaken byany person or entity who does not seek to enter into a contract or other arrangement with METRO byacting as counsel in, appearing as a witness in, or providing written submissions, including answers toinquiries, which become a part of the record of any proceeding of METRO which is conducted as anopen public hearing for which public notice is given.


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"Authority" means the Los Angeles County Metropolitan Transportation (“METRO”) and all of itsorganizational units, including any department, division, subsidiary, unit or similar entity established byMETRO.

"Board Member" includes Board Members of the Los Angeles County Metropolitan TransportationAuthority.

"Consultant" means an individual who, pursuant to a contract with a state or local agency:

a) Makes a governmental decision whether to:

1) Approve a rate, rule, or regulation

2) Adopt or enforce a law;

3) Issue, deny, suspend, or revoke any permit, license, application, certification, approval,order, or similar authorization or entitlement;

4) Authorize the agency to enter into, modify, or renew a contract provided it is the type ofcontract which requires Agency approval;

5) Grant Agency approval to a contract which requires agency approval and in which theagency is a party or to the specifications for such contract;

6) Grant Agency approval to a plan, design, report, study, or similar item;

7) Adopt, or grant agency approval of, policies, standards, or guidelines for the agency, or forany subdivision thereof; or

b) Serves in a staff capacity with the agency and in that capacity performs the same or substantially allthe same duties for the agency that would otherwise be performed by an individual holding a positionspecified in the agency's Conflict of Interest Code.

"(Campaign) Contribution" means a payment, a forgiveness of a loan, a payment of a loan by a thirdparty, or an enforceable promise to make a payment except to the extent that full and adequateconsideration is received unless it is clear from the surrounding circumstances that it is not made forpolitical purposes. An expenditure made at the behest of a candidate, committee, or elected officer is acontribution to the candidate, committee, or elected officer unless full and adequate consideration isreceived for making the expenditure.

"Contribution" also includes the purchase of tickets for events such a dinners, luncheons, rallies, andsimilar fundraising events; the candidate's own money or property used on behalf of his or her candidacy;the granting of discounts or rebates not extended to the public generally or the granting of discounts orrebates by television and radio stations and newspapers not extended on an equal basis to all candidatesfor the same office; the payment of compensation by any person for the personal services or expensesof any other person if such services are rendered or expenses incurred on behalf of a candidate orcommittee without payment of full and adequate consideration.

"Contribution" also includes any transfer of anything of value received by a committee from anothercommittee, unless full and adequate consideration is received.

"Contribution" does not include amounts received pursuant to an enforceable promise to the extent suchamounts have been previously reported as a contribution. However, the fact that such amounts havebeen received shall be indicated in the appropriate campaign statement.


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"Contribution" does not include a payment made by an occupant of a home or office for costs related toany meeting or fundraising event held in the occupant's home or office if the costs for the meeting orfundraising event are five hundred dollars ($500) or less.

"Contribution" does not include volunteer personal services or payments made by any individual for hisor her own travel expenses if such payments are made voluntarily without any understanding oragreement that they shall be, directly or indirectly, repaid to him or her.

"Designated Authority or METRO employee" means any officer, employee, member, or consultant ofMETRO whose position with the METRO entails the making or participation in the making of decisionswhich may foreseeable have a material effect on any financial interest. Such employees are designatedin Metro’s Conflict of Interest Code.

"Filing officer" means the individual designated by METRO with whom statements and reports requiredby this ordinance shall be filed.

"Financial interest" means, with regard to a Board Member or METRO employee or a member of his orher immediate family, a financial interest in a decision if it is reasonably foreseeable that the decision willhave a material financial effect, distinguishable from its effect on the public generally, or on:

(a) Any business entity or real property in which the Board Member or METRO employee has a direct orindirect investment worth one thousand dollars ($1,000) or more; or

(b) Any source of income, other than gifts and other than loans by a commercial lending institution in theregular course of business on terms available to the general public without regard to official statusaggregating two hundred fifty dollars ($250) or more, provided to, received by, or promised to theBoard Member or METRO employee within twelve (12) months prior to the time the decision ismade; or

(c) any business entity in which the Board Member or METRO employee is a director, officer, partner,trustee, or holds any management position; or

(d) any donor of, or any intermediary or agent for a donor of, a gift or gifts aggregating two hundred fiftydollars ($250) or more in value provided to, received by, or promised to a Board Member or METROemployee within twelve (12) months prior to the time when the decision is made; or employee knowsor has reason to know that a party to the contract is a person with whom the Board Member orMETRO employee, or any member of his or her immediate family, has engaged in any businesstransaction or transactions on terms not available to members of the public, regarding anyinvestment or interest in real property, or the rendering of goods or services totaling in value onthousand dollars ($1,000) or more within twelve (12) months prior to the time the official action is tobe performed.

For purposes of this section, indirect investment or interest means any investment or interest ownedby the spouse or dependent child of a public official, by an agent on behalf of a public official, or by abusiness entity or trust in which the official, the official's agents, spouse, and dependent children owndirectly, indirectly, or beneficially a 10-percent interest or greater.

"Gift" means:

(a) except as provided in subdivision (b), any payment that confers a personal benefit on therecipient to the extent that consideration of equal or greater value is not received and includes arebate or discount in the price of anything of value unless the rebate or discount is made in theregular course of business to members of the public without regard to official status. Any person,other than a defendant in a criminal action, who claims that a payment is not a gift by reason or


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receipt of consideration has the burden of proving that the consideration received is of equal orgreater value.

(b) The term "gift" does not include:

(1) Informational material such as books, reports, pamphlets, calendars, or periodicals. Nopayment for travel or reimbursement for any expenses shall be deemed "informationalmaterial."

(2) Gifts that are not used and which, within 30 days after receipt, are either returned to thedonor or delivered to a nonprofit entity exempt from taxation under Section 501(c)(3) of theInternal Revenue Code without being claimed as a charitable contribution for tax purposes.

(3) Gifts from an individual's spouse, child, parent, grandparent, grandchild, brother, sister,parent-in-law, brother-in-law, sister-in-law, nephew, niece, aunt, uncle, or first cousin or thespouse of any such person, or significant other; provided that a gift from any such personshall be considered a gift if the donor is acting as an agent or intermediary for any person notcovered by this paragraph.

(4) Campaign contributions as defined in this Appendix.

(5) Any devise or inheritance.

(6) Personalized plaques and trophies with an individual value of less than two hundred fiftydollars ($250).

(7) Hospitality (including food, beverages, or occasional lodging) provided by an individual in hisor her home when the individual or member of the individual's family is present, to anofficial.

(A) Hospitality provided by a lobbyist in accordance with the above is also not a gift unless:

(i) Any part of the cost of such hospitality is paid for by the lobbyist's employer orlobbying firm directly; or

(ii) The lobbyist is reimbursed by his or her lobbyist employer or lobbying firm for anypart of the cost of such hospitality; or

(iii) The lobbyist deducts any part of the cost of such hospitality as a business expenseon any tax return, either State or Federal; or

(iv) There is an understanding between the lobbyist and his or her lobbyist employer orlobbing firm that the amount of compensation received by the lobbyist includes aportion to be utilized by the lobbyist to provide gifts of hospitality in the lobbyist'shome.

(B) In determining the applicability of subsections (A)(i) through (A)(iv) above, the cost ofproviding hospitality does not include any part of the value or rental of the home of thelobbyist, nor does it include any depreciation on the premises where the hospitality isextended.

"Lobbying" means influencing or attempting to influence METRO action through direct or indirectcommunication, other than administrative testimony, with METRO official.


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"Lobbying firm" means any business entity, including an individual lobbyist, which meets either of thefollowing criteria: (1) The business entity receives or becomes entitled to receive any compensation,other than reimbursement for reasonable travel expenses, for the purpose of influencing METRO actionon behalf of any other person, and any partner, owner, officer, or employee of the business entity is alobbyist; or (2) The business entity receives or becomes entitled to receive any compensation, other thanreimbursement for reasonable travel expenses, to communicate directly with any METRO official for thepurpose of influencing METRO action on behalf of any other person, if a substantial or regular portion ofthe activities for which the business entity receives compensation is for the purpose of influencingMETRO action.

"Lobbyist" means any individual who receives any economic consideration, other than reimbursementfor reasonable travel expenses, for lobbying, including consultants and officers or employees of anybusiness entity seeking to enter into a contract with METRO.

"Lobbyist employer" means any person, other than a lobbying firm, who does either of the following:

(1) Employs one or more lobbyists for the purpose of influencing METRO action, or;

(2) Contracts for the services of a lobbying firm for economic consideration for the purpose ofinfluencing METRO action.

"METRO action" means the drafting, introduction, consideration, modification, enactment, or defeat ofan ordinance, resolution, contract, or report by the governing board of an organizational unit of METRO,or by METRO official, including any action taken, or required to be taken, by a vote of the members ofMETRO or by the members of the governing board of an organizational unit of METRO, except thoseactions relating to Public Utilities Code, Article 10 (commencing with §30750) of Chapter 5 of Part 3 ofDivision 10.

"METRO employee" means any individual who receives compensation from METRO for full or part-time employment and any contractor, subcontractor, consultant, expert or advisor acting on behalf of, orproviding advice to METRO. The term METRO employee includes a "designated METRO employee".

"METRO official" means any Board member, member of an organizational unit of METRO, oremployee of METRO.

"Official responsibility" means the direct administrative or operating duties for METRO, whetherintermediate or final, and whether exercisable alone or with others, and either personally or throughsubordinates, to approve, disapprove, or otherwise direct METRO action.

"Participation in the making of an METRO decision" means a Board Member or METRO employeewho:

(a) acting within METRO of his or her position:

(1) Votes or engages in discussion on a matter;

(2) Appoints a person;

(3) Obligates or commits his or her agency to any course of action;

(4) Enters into any contractual agreement on behalf of METRO;

(5) Determines not to act, within the meaning of subparagraphs (1), (2), (3), or (4),unless such determination is made because of his or her financial interest. Whenthe determination not to act occurs because of his or her financial interest, the


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official's determination must be accompanied by disclosure of the financial interest,made part of Metro’s official record or made in writing to the official's supervisor,appointing power or any other person specified in a conflict of interest code adoptedpursuant to Government Code §87300.

(b) A public official or designated employee "participates in the making of METRO decision"when, acting within METRO of his or her position, he or she:

(1) Negotiates, without significant substantive review, with a governmental entity or privateperson regarding the decision; or

(2) Advises or makes recommendations to the decision-maker, either directly or withoutsignificant intervening substantive review, by:

(A) Conducting research or making any investigation which requires the exercise ofjudgment on the part of the official or designated employee and the purpose of whichis to influence the decision; or

(B) Preparing or presenting any report, analysis or opinion, orally, or in writing, whichrequires the exercise of judgment on the part of the official or designated employeeand the purpose of which is to influence the decision.

(c) Making or participating in the making of METRO decision shall not include:

(1) Actions of public officials which are solely ministerial, secretarial, manual or clerical;

(2) Appearance by a public official as a member of the general public before agovernmental agency in the course of prescribed governmental function to representhimself or herself on matters related solely to his or her personal interests; or

(3) Actions by public officials, employees, or employee representatives relating to theircompensation or the terms or conditions of their employment or contract.

"Person" means an individual, proprietorship, firm, partnership, joint venture, joint stock company,syndicate, business trust, estate, company, corporation, association, club, committee, organization, orgroup of persons acting in concert.

"Public official" means every member, officer, employee or consultant of a state of local governmentagency, but does not include judges and court commissioners in the judicial branch of government.“Public official” also does not include members of the Board of Governors and designated employees ofthe State Bar of California, members of the Judicial Council, and members of the Commission onJudicial Performance, provided that they are subject to the provision of Article 2.5 (commencing with§6035) of Chapter 4 of Division 3 of the Business and Professions Code as provided in §6038 of thatarticle.

"Significant other" means an individual with whom a Board Member or METRO employee participatesin a dating relationship.

Section 12

METRO Board Secretary shall attest to the adoption of this ordinance and shall cause its publicationonce, within fifteen days of its adoption in a newspaper of general circulation printed and published withinMETRO service area.


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Bidder: _____________________

CERTIFICATION OF COMPLIANCE WITH FEDERAL LOBBYINGREQUIREMENTS (49 CFR PART 20)

To be submitted with each Bid/Proposal or offer of Bidder/Proposer exceeding $100,000

The __________________ (Bidder/Proposer) certifies to the best of its knowledge and beliefthat:

1. No federally appropriated funds have been paid or will be paid, by or on behalf of theundersigned, to any person for influencing or attempting to influence an officer oremployee of any agency; a member of Congress, an officer or employee of Congress, anemployee of a member of Congress; or any Board member or employee of METRO inconnection with the awarding of any federal contract; any federally funded contract; or themaking of any federal grant, the making of any federal loan, the entering into of anycooperative agreement, or the extension, continuation, renewal, amendment ormodification of any federal contract, federally funded contract grant, loan or cooperativeagreement.

2. If any funds other than federal appropriated funds have been paid or will be paid to anyperson for making lobbying contacts, or influencing or attempting to influence; an officer oremployee of any agency; a member of Congress; an officer or employee of Congress; anemployee of a member or Congress or a Board member or employee of METRO inconnection with this federally funded contract, grant, loan, or cooperative agreement, theundersigned shall register and comply with all federal disclosure requirements.

3. The undersigned shall require that the language of this certification be included in thesolicitation and award documents for all subawards at all tiers including but not limited tosubcontracts, subgrants and contracts under grants, loans and cooperative agreementsand that all subrecipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when thistransaction was made or entered into. Submission of this certification is a prerequisite formaking or entering into this transaction imposed by Title 31 USC § 1352 (as amended by theLobbying Disclosure Act of 1995). Any offeror who fails to file the required certification shallbe subject to a civil penalty of not less than $10,000 and not more than $100,000 for eachsuch failure.



Title


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ETHICS DECLARATION

A. The following questions are designed to ensure contractors and Metro, including itsemployees and Board of Directors, are able to comply with their obligations to avoidconflicts of interest issues. Your company should make or cause to be made a reasonablydiligent investigation prior to responding to the questions to ensure your responses arecorrect and you must have an authorized official sign below where indicated.

The authorized official is responding on behalf of your company and your sub-contractorsand other persons and entities that your company or its subsidiaries have designated toperform the work requested in the bid/proposal.

An affirmative response to any of the questions will not automatically cause your companyto be disqualified. However, failure to answer the questions in good faith or providingmaterial false answers may subject your company to consequences up to and includingdisqualification of its bid.

If you have any questions please contact the Contract Administrator assigned to thisprocurement.

B. State the names of your company’s parent, all subsidiaries, and “related business entities”as that term is defined in California Code of Regulations 18703.1(d). If none, circle “none”under each category below:

Name of parent: (none)

Name of subsidiaries (use additional sheet if necessary): (none)

Name of related businesses (use additional sheet if necessary): (none)

Questions Yes/No1. Are any of your employees, officers, shareholders, partners, or

directors (including your and those of your subcontractors’ andconsultants’ collectively “Employees”) formerly Metro board memberor employee within the previous 12 months?

2. Are any of your Employees related to any Metro board member oremployee?

3. Are any of your Employees also Metro board members oremployees?

4. Do any Metro board members or employees own any stock in yourcompany, or that of your consultants or subcontractors?

5. Have you or Employees given any gifts within the previous 12 months

http://www.metro.net/deod


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Questions Yes/Noto Metro board member or employee?

6. Have you, your Employees or their family members of your parent,subsidiaries and related business entities as stated above, made anycampaign contributions to any present Metro Board Member oremployee in the past four years?

7. Have you employed or do you intend to employ as a lobbyist anyformer Metro board member or employee who has left Metro withinthe last twelve months?

8. Did you or your Employees receive any confidential informationconcerning this contract?

9. Did you or any of your Employees perform work within the last 3years relating to the project or services contemplated to be performedunder this contract, including development of the specifications orearlier phases of the project or services to be provided under thiscontract?

No. ofPagesAttached

10. If you answered “yes” to any question 1 through 9 above, explain indetail on a separate sheet the facts and information, including names,dates, amounts, and other circumstances relevant to the question.

You have read and shall abide by the Metro Code of Conduct for Contractors at all timesduring your relationship with Metro. Your consultants and subcontractors you retain (if any)to perform any services under the contract you are seeking have or will promptly upon yourhiring of those persons, shall read and abide by the Metro Code of Conduct forContractors. You have read and will continually remain in compliance with the Metro LobbyOrdinance.

C. DECLARATION

I, (name)_______________________________, on behalf of (name of bidder/proposer)including its subcontractors and consultants,______________________________________________________ at which I am employed as (yourtitle)____________________________, declare that after having made or caused to be madea reasonably diligent investigation both regarding my company and all sub-contractors andconsultants designated by the above bidder/proposer, the foregoing responses, and theexplanation on the attached sheet, if any, in response to question 10, are correct to the best ofmy knowledge and belief.

__________________________________ ________________________Signature Date


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ATTACHMENT “C”

LETTER OF INVITATION SUPPLEMENT (RC-FTA)

FOR RC-FTA FUNDED CONTRACTS:

Bidders/Proposers are hereby notified that:

This project is funded in whole or in part with US Department of Transportation (DOT) fundsand will comply with LACMTA’s Race Conscious Disadvantaged Business Enterprise (RCDBE) Program requirements. LACMTA shall not discriminate on the basis of race, color,national origin, or sex in the award and performance of any federal-assisted contract or inthe administration of its DBE program or the requirements of 49 Code of FederalRegulations (CFR) Part 26, as amended.

A. LACMTA has determined that this solicitation is a race neutral “Small BusinessEnterprise Set-Aside” project. Pursuant to the LACMTA DBE Program Race-NeutralSBE Set-Aside Policy and in compliance with 49 CFR Section 26.39 “Fostering SmallBusiness Participation”:

1. Bidders/Proposers are hereby notified that bids or proposals for this FTA fundedcontract shall only be considered from certified SBE firms in accordance with LACMTASBE certification requirements.

2. Bidders/Proposers must be certified by LACMTA as an SBE at the time of bid orproposal due date to be eligible for a set-aside contract award. Any firm seeking to becertified as an SBE shall comply with LACMTA’s SBE certification process detailed inLACMTA’s website at www.metro.net/deod.

3. Bidders/Proposers must perform a commercially useful function (CUF) during theperformance of the contract. An SBE is presumed to be performing a CUF when itperforms and exercises responsibility for at least thirty percent (30%) of the total costof the contract work with its own workforce. Metro encourages SBE Primes to considerjoint venture opportunities with other SBEs firms. However, should an SBE choose tojoint venture with a non-SBE, the SBE partner shall perform a CUF. Currently,instruction for counting and calculating SBE credit is included in the Instructions toBidders/Proposers. As referenced in the instructions, Metro will only credit SBEparticipation, for firms performing a CUF.

4. Bidders/Proposers shall provide LACMTA, as part of its bid/proposal, a complete list(including names and addresses) of all subcontractors (SBE and non-SBE) who willperform any portion of the contract work. Instructions to Bidders/Proposers providethe SBE Set-Aside Bid/Proposal Forms that must be completed and submitted by allBidders/Proposers at time of bid or proposal due date.

http://www.dot.ca.gov/hq/bep


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B. LACMTA established a “Race Conscious Disadvantaged Business Enterprise” (RCDBE) contract goal for this project in the percentage of:

____ Percent ( %) of the Total Contract Price

For a Bidder/Proposer to be considered responsive to the RC DBE goal, they must:

1. Meet or exceed the DBE goal at the time of bid/proposal submittal. If the RC DBE goalis not met at the time of bid/proposal submittal, Bidder/Proposer must submit GoodFaith Efforts (GFE) documentation with its bid/proposal. Bidder/Proposer determinedto have not adequately documented GFE will be deemed non-responsive to the RCDBE goal. Bidders/Proposers are referred to the DBE Instructions toBidders/Proposers for additional GFE requirements.

2. Bidders/Proposers shall provide Metro, as part of its bid/proposal, a complete list(including names and addresses) of all subcontractors (DBE and non-DBE) who willperform any portion of the required scopes of work. Bidders/Proposers shall includethe scope of work and dollar amount(s) committed to each subcontractor.

3. RC DBE contract goal(s) applies to all federal DBE groups, which includes: AfricanAmericans, Asian Pacific Americans, Native Americans, Hispanic Americans,Subcontinent Asian Americans, and Women (including Caucasian Women)

4. DBE Instructions to Bidders/Proposers provide guidelines on how DBE commitmentswill be counted toward the goal and designates the DBE Commitment Forms that mustbe completed and submitted by all Bidders/Proposer by the bid/proposal due date.

5. DBEs must perform a commercially useful function (CUF) during the performance ofthe contract. A DBE is presumed to be performing a CUF when it performs andexercises responsibility for at least thirty percent (30%) of the total cost of the contractwork with its own workforce. Metro encourages Primes to consider joint ventureopportunities with DBE firms. The DBE partner(s) shall perform a CUF. Currently,instruction for counting and calculating DBE credit is included in the Instructions toBidders/Proposers. As referenced in the instructions, Metro will only credit DBEparticipation for firms performing a CUF.

6. The level of DBE participation Bidders/Proposers commit to in its bid/proposalbecomes the Offeror’s DBE contract commitment. The DBE commitment will be listedin the Special Provisions of the contract and shall be enforced by Metro. After award,DBE commitments shall apply to contract options, changes and/or modifications.While the overall goal is 30% DBE, Metro will monitor DBE commitments for each taskorder issued throughout the contract term, as described in the Contract ComplianceManual (Federal), General Conditions and Special Provisions of the contract.

7. All DBE firms must be certified under the California Unified Certification Program(CUCP) by the bid/proposal due date. A List of Certified DBE Firms is attached foryour convenience, and may be used to assist with outreach efforts. An additionalresource is the online CUCP database inclusive of certified DBEs from all certifying


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agencies participating in the CUCP. Access the CUCP database from the Departmentof Transportation, Civil Rights, Business Enterprise Program website at:http://www.dot.ca.gov/hq/bep.

Click on the link in the left menu titled Disadvantaged Business Enterprise (DBE); Click on Search for a DBE Firm Click on Click here To Access DBE Query Form Searches can be performed by one or more criteria Follow instructions on the screen “Civil Rights Home,” and “Caltrans Home” links are located at the top of the query

form

C. DBE Contracting Outreach and Mentoring Plan (COMP) is required for this Project

1. At a minimum, Proposers shall mentor a total of (XX firms) for Protégé development as partof the SBE/DVBE Contracting Outreach and Mentoring Plan (COMP).

2. Bidders/Proposers must submit as part of its bid/proposal a DBE Contracting Outreachand Mentoring Plan (COMP) evidencing how it will achieve its listed commitmentsthrough the utilization of DBE firms for the project. Bidders/Proposers shall include inits plan creative strategies and innovative non-traditional approaches to include DBE’sin all phases of subcontracting, inclusive of a mentor protégé development approach.The DBE COMP will be reviewed and approval by Metro.

3. Bidders/Proposers shall host at least one outreach event with the DBE and smallbusiness community and stakeholders. Bidders/Proposers shall submit with itsbid/proposal an assessment of the event(s) in the executive summary of the DBECOMP and describe plan to follow-up with DBE firms after contract award to meet theDBE commitment. The outreach event shall be held at least fifteen (15) days prior tothe bid/proposal due date. Bidders/Proposers are required to notify the Diversity &Economic Opportunity Department (DEOD) assigned Contract Compliance Officer of theirDBE outreach event(s). Metro may attend as an observer but are not obligated toattend. Bidders/Proposers are responsible for their own outreach to the DBE and smallbusiness community. Metro is wil l ing to assist Bidders/Proposers in their outreachefforts by posting event(s) advertisements to Metro outreach calendar of events.

4. Metro expect Proposers to develop a subcontracting approach and implementinitiatives, that would include processes and procedures for outreach, prompt andexpedited payment for DBEs, provide technical assistance initiatives, implementmentor protégé development plan, create opportunities for joint venturing, teaming andpartnering with DBE firms in the ordinary course of its business/teaming strategy toexceed the stated goals. Metro is interested in hearing creative strategies andinnovative non-traditional approaches to include DBEs in all phases of subcontracting.The Contracting Outreach and Metro Protégé Approach shall be included with forms

submitted as required.


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D. LACMTA has not established a “Race Conscious Disadvantaged Business Enterprise(RC DBE)” contract goal for this project.

It is LACMTA’s policy to provide equal opportunity for DBE firms to compete on itsfederally-assisted contracts. The successful Bidder/Proposer shall utilize DBE firms whenopportunities are available during the performance of the contract. DBE participationobtained when a contract goal is not established is counted as RN participation.


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ATTACHMENT CDBE INSTRUCTIONS TO BIDDERS/PROPOSERS AND FORMS (FTA-

SA)

SECTION 100 DBE PROGRAM

100 METRO POLICY STATEMENT: The Los Angeles County Metropolitan TransportationAuthority (Metro) is the recipient of Federal Transit Administration (FTA) funds and thiscontract is subject to the requirements of Title 49, Code of Federal Regulations (CFR)Part 26. The Metro Small Business Set-Aside complies with the 49 CFR Part 26.39,Fostering Small Business Participation Element of its Disadvantaged BusinessEnterprise (DBE) Program.

These elements seek to facilitate the participation of small business concerns in ourcontracting activities; to meet the maximum feasible portion of Metro’s overall DBE goalthrough race-neutral means; and to comply with the requirements of 49 CFR 26.39.The elements are active, effective steps to increase race-neutral DBE participation, byfostering competition for Metro’s contracts by increasing the capacities of smallbusinesses.

It is Metro’s policy to provide equal opportunity for SBEs DBEs to compete on FTA-funded contracts. Metro shall take all necessary and reasonable steps to: ensurenondiscrimination in the award and administration of with FTA funds.

1. Ensure nondiscrimination in the award and administration of federally fundedcontracts.

2. Create a level playing field on which SBEs can compete fairly for Metrocontracts.

3. Ensure that only firms that fully meet the eligibility requirements of the MetroSBE Program are permitted to participate as SBEs.

4. Help remove barriers to the participation of SBEs in Metro contracts.5. Assist the development of firms that can compete successfully in the

marketplace outside the DBE program.

101 INTERPRETATION: Any conflict, error, omission or ambiguity which may arisebetween these instructions and the federal regulations or the above mentioned DBEProgram obligation, shall be resolved first in favor of the federal regulations andsecond the DBE Program. Failure of an Offeror, its subcontractors, consultants,suppliers or other entities to carry out these requirements may be grounds for Metroto implement administrative penalties or other remedies imposed by Metro.

102 SUSPENSION OR DEBARMENT

a) Suspension or debarment proceedings may be initiated by Metro against anyfirm:

1. That attempts to participate in the Metro DBE Program SBE Set-Aside orany other component of the DBE program as an SBE or DBE if the firm doesnot meet the eligibility criteria stated in the Certification Standards and if it


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attempts to participate on the basis of false, fraudulent or deceitful statementsor representations or under circumstances indicating a serious lack ofbusiness integrity or honesty.

2. That in order to be eligible for the DBE Program SBE Set-Aside or any othercomponent of the DBE program uses or attempts to use on the basis offalse, fraudulent or deceitful statements or representations, another firm thatdoes not meet the certification eligibility criteria stated in the certificationstandards.

In either case, Metro shall take action through the Diversity & Economic OpportunityDepartment, Metro’s Office of Inspector General, or Department of Justice furtheraction under suspension and debarment and/or referral of matter for prosecutionunder appropriate criminal statutes.

103 SBE PROPOSAL FORMS: Proposers shall submit with its proposal completed SBEForms as provided in these Instructions to Proposers (See: TABLE 1 – SBEPROPOSAL FORMS).

104 SBE PARTICIPATION: After contract award, SBE participation percentage(s) forSBE subcontractors, consultants or suppliers, listed by the Offeror at time of bid orproposal will be monitored and enforced from contract inception through the term ofcontract. Failure to meet the SBE commitment may result in penalties and/oradministrative sanctions.

105 METRO OVERALL DBE GOAL: Metro has set an overall goal for DBEparticipation. The overall DBE goal applies to federally funded contracts Metroexpects to expend for the fiscal year. Metro supports the use of race neutralmeasures to facilitate participation of SBEs and other small businesses, andencourages prime contractors to subcontract portions of their work that they mightotherwise perform with their own forces. Metro will track and report any SBE race-neutral participation by certified DBEs achieved through their small business Set-Asideelement.

106 INFORMATION MUST BE CURRENT ACCURATE AND COMPLETE

Proposers shall ensure all information provided in its response to the SBErequirements are current, accurate, and complete. Metro will perform anindependent review and assessment of the data and information provided.

107 SBE INFORMATION: Proposers are informed of the following:

1. SBE firms listed to meet the SBE goal must be SBE certified by Metro. (See:Section 300 SBE Certification Requirements).

2. An SBE may participate as a prime contractor, subcontractor, joint venturepartner with a prime or subcontractor, vendor of material or supplies, or as atrucking company.

3. An SBE joint venture partner must be responsible for performing a clearlydefined scope of work. SBE joint venture partners must actually perform,manage and supervise the work with its own forces; and share in the capital


84

contribution, control, management, risks and profits of the joint venturecommensurate with its ownership interest.

4. An SBE must perform a commercially useful function, by being responsible forthe execution of a distinct element of the work and must carry out itsresponsibility by actually performing, managing and supervising at least 30% ofthe project work with its own workforce (See: Section 200- “Commercially UsefulFunction”).

108 RECOMMENDED SBE OUTREACH: Proposers shall outreach to SBE firms in allavailable subcontract work categories identified for this contract. The followingare recommended outreach efforts the Proposer/Proposer can undertake toprovide maximum opportunities to SBE firms include the following:

1. Solicit certified SBE firms that have the capability to perform the work of thecontract through all available means (e.g. attendance at pre-proposalmeetings, advertising and/or written notices). Provide sufficient time for SBEfirms to respond and take appropriate steps to follow-up initial solicitations.

2. Select portions of work to be performed by SBE firms in order to obtain SBEparticipation, which may include breaking out contract work items intoeconomically feasible units to facilitate SBE participation even when theProposer/Proposer might otherwise prefer to perform these work items withits own work forces.

3. Provide interested SBE firms with adequate information about the plans,specifications, and requirements of the contract in a timely manner to assistwith response to a solicitation.

4. Negotiate in good faith with SBE firms.

5. Make efforts to assist interested SBE firms in obtaining lines of credit orinsurance as required for the contract.

6. Effectively use the services of available small business organizations andother business assistance offices to provide assistance in the recruitment ofSBE firms.

109 REPLACEMENT OF AN SBE FIRM: If a Proposer lists an SBE subcontractor,subconsultant or supplier/brooker firm that is subsequently denied prequalification,or if for any reason SBE firm cannot perform under contract and must be replaced,the Proposer shall use its best efforts to replace the SBE with another SBE firm.The Proposer shall submit a written request to Metro for approval, prior to replacingan SBE. The Proposers’ written request shall include the scope of work, dollarcommitment for the replaced SBE and the SBE replacement, and documentreasons it could not find an SBE replacement.

SECTION 200 CALCULATING AND COUNTING SBE PARTICIPATION

200 COMMERCIALLY USEFUL FUNCTION: SBE primes and subcontractors, at any tier,must perform a Commercially Useful Function (CUF). A SBE performs acommercially useful function when it is responsible for execution of the work of thecontract and is carrying out its responsibilities by actually performing, managing,and supervising the work involved. To perform a commercially useful function, the


85

SBE must also be responsible, with respect to materials and supplies used on thecontract, for negotiating price, determining quality and quantity, ordering thematerial, and installing (where applicable) and paying for the material itself. Todetermine whether a SBE is performing a commercially useful function, you mustevaluate the amount of work subcontracted, industry practices, whether the amountthe firm is to be paid under the contract is commensurate with the work it is actuallyperforming and the SBE credit claimed for its performance of the work, and otherrelevant factors.

A SBE does not perform a commercially useful function if its role is limited to that ofan extra participant in a transaction, contract, or project through which funds arepassed in order to obtain the appearance of SBE participation. If a SBE does notperform or exercise responsibility for at least 30 percent (30%) of the total cost of itscontract with its own work force, or the SBE subcontracts a greater portion of thework of a contract than would be expected on the basis of normal industry practicefor the type of work involved, Metro must presume that the SBE is not performing acommercially useful function.

When a SBE is presumed not to be performing a commercially useful function, theSBE may present evidence in writing to rebut this presumption. Metro maydetermine that the firm is performing a commercially useful function given the typeof work involved and normal industry practices. Metro decisions on commerciallyuseful function, but are not administratively appealable.

201 CALCULATING SBE PARTICIPATION: Metro is only able to count toward theachievement of the SBE commitment percentage the value of actual dollar paid forwork actually performed by SBE firms. There will be no credit for work performed bya non-SBE prime and/or subcontractor. SBE participation listed in the proposal orproposal must comply with the provisions of this section.

Counting guidelines are provided as follows:

1. SBE as the Prime Contractor: 100% SBE credit for that portion of the workperformed by the SBE’s own forces, including the cost of materials andsupplies. Work that a SBE prime subcontracts to a non-SBE firm does not counttoward the SBE.

2. SBE as a Joint Venture Contractor: 100% SBE credit for that portion of thetotal dollar value of the contract equal to the distinct, clearly defined portion ofthe work performed by the SBE’s own forces.

3. SBE as a Subcontractor: 100% SBE credit for the work of the subcontractperformed by the SBE’s own forces, including the cost of materials andsupplies, excluding the purchase of materials and supplies or the lease ofequipment by the SBE subcontractor from the prime contractor or its affiliates.Work that a SBE subcontractor in turn subcontracts to a non-SBE firm does notcount toward the SBE.


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4. SBE as a Material Supplier or Broker:

a) 60% SBE credit for the cost of the materials or supplies purchased froma SBE regular dealer.

b) 100% SBE credit for the cost of materials or supplies obtained from aSBE manufacturer.

c) 100% SBE credit for the value of reasonable fees and commissions forthe procurement of materials and supplies if not a regular dealer ormanufacturer.

5. SBE as a Trucker: 100% SBE credit for trucking participation provided the SBEis responsible for the management and supervision of the entire truckingoperation for which it is responsible. At least one truck owned, operated,licensed and insured by the SBE must be used on the contact. Credit will begiven for the full value of all such SBE trucks operated using SBE employeddrivers. SBE credit will be limited to the value of the reasonable fee orcommission received by the SBE if trucks are leased from a non-SBE company.Metro uses the following six (6) factors in determining whether to countexpenditures to a SBE trucking firm, to determine if it is performing acommercially useful function:

a) The SBE must be responsible for the management and supervision of theentire trucking operation for which it is responsible on a particular contractand there cannot be a contrived arrangement for the purpose of meetingSBEs.

b) The SBE must itself own and operate at least one fully licensed, insured andoperational truck used on the contract.

c) The SBE receives credit for the total value of the transportation services itprovides on the contract using trucks it owns, insures, and operates usingdrivers it employs.

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

e) The SBE may also lease trucks from a non-SBE, including an owner-operator. The SBE who leases trucks from a non-SBE is entitled to creditonly for the fee or commission it receives as a result of the leasearrangement. The SBE does not receive credit for the total value of thetransportation services provided by the lessee, since these services are notprovided by a SBE.

f) For the purposes of determining whether a SBE trucking company isperforming a commercially useful function, a lease must indicate that theSBE has exclusive use of and control over the truck. This does not preclude

mailto:[email protected]


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the leased truck from working for others during the term of the lease with theconsent of the SBE, so long as the lease gives the SBE absolute priority foruse of the leased truck. Leased trucks must display the name andidentification number of the SBE.

SECTION 300 SMALL BUSINESS ENTERPRISE CERTIFICATION

300 CERTIFICATION REQUIREMENTS

For the purposes of the DBE Program Small Business Set-Aside Program, firms,including all DBE groups, must meet the Metro SBE certification eligibilitystandards. Firms must be SBE certified by bid/proposal due date to be eligible for acontract award under the Set-Aside Program or any other component of the DBEprogram. If not, that firm’s participation may not be counted as SBE participation inthe contract. Proposers shall ensure SBE firms are certified in the North AmericanIndustry Classification System (NAICS) codes for the work in which the SBE firm islisted to perform and for which the Proposer seeks SBE credit towards its SBEcommitment. Certifications as a Metro SBE firm, means the firm met the SBEcertification requirements and eligibility standards described in Metro’s SBEProgram.

301 SBE CERTIFICATION STANDARDS

Metro follows the standards and procedures defined by Metro SBE ProgramSubpart E to determine whether an applicant is eligible for SBE certification. Thesestandards and procedures are described in detail in the Certification Instructions,provided with the Application for Certification. Interested individuals or companieswill start the process by obtaining a copy of the SBE Application and SBECertification Instructions.

302 SBE CERTIFICATION ELIGIBILITY

1. Each applicant for SBE certification must prove to Metro’s Certification Unit,by a preponderance of the evidence, that the applicant meets the criteria ofeconomic disadvantage, business size, ownership and control.

2. An eligible SBE firm, including its affiliates, must be an existing smallbusiness, defined by the Metro SBE Program as appropriate to the type ofwork that the firm seeks to perform on each federally funded contract.

3. Certifications with respect to economic disadvantage, including signedstatements of personal net worth and supporting documentation arerequired. If an individual’s Statement of Personal Net Worth shows that theindividual’s personal net worth exceeds $1.32 million the individual’spresumption of economic disadvantage is rebutted and the person is notqualified to be a SBE owner.

4. The applicant firm can only be an eligible SBE, if the firm, including itsaffiliates, has had average gross receipts over the previous three years of


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less than $22.41 million or as adjusted for inflation by the US Secretary ofTransportation.

5. A firm’s ownership by economically disadvantaged individuals must be real,substantial and continuing, going beyond pro forma ownership of the firm asreflected in merely the ownership documents.

6. The firm must be independent and not depend on its relationship withanother firm or firms to be viable.

303 VERIFY THAT SBE CERTIFICATION IS CURRENT

SBE Certification is granted for a period of five years. The certification expirationdate is included in the SBE certification letter issued by Metro. An SBE maybecome inactive or ineligible during its certification. Only SBEs with a validcertification status are eligible to participate in the DBE Program Small BusinessSet-Aside Program.Proposers shall confirm the SBE certification status of listed SBE firms. To verifystatus of firms, for additional certification information, questions and to obtain acertification application, Proposers or other interested parties may contact the MetroCertification Unit via email at [email protected] and by calling the DEODHotline at (213) 922-2600. Requests for verification of a firm’s SBE certificationstatus, granted by Metro, can also be sent by fax to (213) 922-7660. It isrecommended that verification be made within 72 hours of the proposal due date.

Proposers shall include in its proposal a copy of the SBE certification letter for eachSBE firm listed in its proposal. The letter serves to assist in verifying a firm’seligibility.


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TABLE 1 - SBE PROPOSAL FORMS

FormNo.

Form Name

To Be Completed By

Prime(Includes SBE Primes)

AllSubcontractors/Suppliers

Form 1 Proposed Subcontractors & Suppliers

Form 2 Commercial Useful Function Affidavit

Form 3 Business Data Sheet

Form 4Proposed lower tier subcontractors &suppliers

Form 5SBE Affirmation(Only if subcontracting with SBE business)

The Prime is required to complete and submit SBE Forms 1, 2 and 3. The Prime is required to jointly complete and submitForm 5 if subcontracting with a SBE business.

All Subcontractors/Suppliers are required to complete and submit Form 3 and 4. SBE subcontractors and Suppliers arerequired to jointly complete and submit Form 5 when subcontracting with the Prime.

SBE Forms 1 -5 are available in the SBE Instructions to Proposers (document 068B) on Metro’s website.


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FORM 1 - PROPOSED SUBCONTRACTORS & SUPPLIERSPRIME ONLY

The Prime is requested to list ALL first-tier businesses which include SBEs & Non SBEs to be utilized on this project. Completion of this form and Form 3,Business Data Sheet also fulfills the requirements of the California Subletting and Subcontracting Fair Practices Act.

1. IFB/RFP/RFIQ Number: 2. Project Name:

3. Total Proposal Price: 4. Today’s DATE:

A B C D E F G H

NAME EACH BUSINESSFIRM

Is FIRMan SBE?

CIRCLEOnlyOne

PRIME Consultant:C = Consultant or

SubcontractorS = Supplier1

M= ManufacturerB = BrokerT = Trucker

PROPOSALPRICE

Subcontractors:$ Amount of Work

in Column “D” to bePerformed with Its

Subcontractor’sOwn Work Force

Subcontractors:$ Amount in

Column “D” to beSUBCONTRACTED

$ Amount InColumn “D” To BeCounted Toward

SBE Goal(Excluding

Supplier COST)

Subcontractors:$ Amount For

Supplies In Column“D”

To Be CountedToward SBE Goal(Supplier Cost In

Column “D” X 0.6)

Prime Y N Prime’s $ Amountwith its own workforce

1. Y N

2. Y N

3. Y N

4. Y N

5. Y N

6. Y N

7. Y N

8. Y N

9. Y N

10. TOTAL (should add up to equalTotal Proposal Price listed above on#3)

1If a SBE business is listed to provide materials/supplies, only sixty-percent (60%) of the cost for materials/supplies will be counted toward the SBE participation.. As such, Metro will take 60% of the costs for materials/supplies listed

in column D to determine amount to credit toward SBE participation.


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FORM 2 – COMMERCIAL USEFUL FUNCTION AFFIDAVITPRIME ONLY

AFFIDAVIT

A SBE performs a commercially useful function (CUF) when it is responsible for executionof the work of the contract and is carrying out its responsibilities by actually performing,managing, and supervising the work involve. A SBE does not perform a CUF if its role islimited to that of an extra participant in a transaction, contract, or project through whichfunds are passed in order to obtain the appearance of SBE participation.

The Offeror acknowledges that it will perform at least 30% of the work for during theperformance this contract with its own workforce in compliance with the CUF requirements.

The Offeror declares to perform the following percentage of work with its own workforce:

________________________________________________________ Percent (____ %)

SIGNATUREThe undersigned Director, Officer, General Partner, or similarly situated Principal of the businessdeclares he/she is informed and believe, and thereon allege, that to the best of their knowledge,information and belief, the information set forth on this page of this document and anyattachments, is current, complete and accurate.

Executed on: _____________________, 20 ___, at, _____________________________, _________Date City State

Business Name: ______________________________________________________________

Business Address __________________________________________________________________Street City State

Authorized Signature: ______________________________________________________________

Printed Name: __________________________________ Title: _____________________________

Phone: ____________________________ Email: _____________________________________


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FORM 3 - BUSINESS DATA SHEETPage 1 of 2

TO BE COMPLETED BY PRIME AND ALL SUBCONTRACTORS LISTED ON FORM 1 AND FORM 3

Completion of this Form and Form 1 (or Form 4) fulfills the requirements of the California Subletting &Subcontracting Fair Practices Act.

Part A: Business Data

If “SBE” is checked in #2 or #3B, a copy of certification letter for the SBE business must be attached to thisForm.

1. Business Name: _________________________________________________________

2. Is your business currently a SBE4

SBE Non-SBE

a. certified by the LACMTA?

If marked “SBE”, a copy of certification letter for this business must be attached to this Form.

3A. Is your business currently participating in a Joint Venture Yes No

If answered YES, a copy of the Joint Venture Agreement must be attached to this Form.

3B. Name of Joint Venture and Partners. Is this business currently a certified SBE? SBE Non-SBE

a. Business Name __________________________________________

Name of Certifying Agency _________________________________

b. Business Name __________________________________________


c. Business Name __________________________________________


If marked “SBE”, a copy of certification letter for the business must be attached to this Form.

3. Business Address _______________________________________________________________________________Street City State Zip

4. Mailing Address________________________________________________________________________________________________(if different from above) PO. Box or Street Address City State Zip

5. County Business is located in ________________________________________________________________

6. Name of Contact Person __________________________________, ____________________________________Title

7. Phone ( ) ___________ - ____________ 9. Email Address_______________________________

10. Fax ( ) ____________ - ______________ 11. Age of Business ______ Years _______Months

12. If your business requires a license, complete below. 13. Business Annual Gross Receipts:

a. License Type _________________________ a. Less than $500,000b. $500,000 to $1,000,000

b. License # _________________________ c. $1,000,000 to $2,000,000d. $2,000,000 to $5,000,000

c. Expires on _________________________ e. Over $5,000,000

4The Prime must independently verify the current SBE certification status for each of their proposed SBE subcontractors on or before the date the proposal/proposal is

opened. SBE business must be certified by proposal/proposal due date. A copy of the SBE certification letter must be submitted with the proposal/proposal.


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FORM 3 - BUSINESS DATA SHEET (Continued)Page 2 of 2

Part B: Work Descriptions

14. Provide complete description of scope of work, services, and materials to be performed/furnished by your firmfor this contract:

2

14a. Provide NAICS5

code(s) for work listed above to be performed for this contract.

15. Will your business provide trucking company services on this project? Please mark one: Yes No

If marked YES, please complete items a. to c. below. If answered NO, answer “Not Applicable.”

a. How many trucks does your company own _______________

b. How many trucks does your company lease? _______________

c. How many trucks are registered to your company? _______________

Part C: Signature

The undersigned Director, Officer, General Partner, or similarly situated Principal of the business declareshe/she is informed and believe, and thereon allege, that to the best of their knowledge, information andbelief, the information set forth on this page of this document and any attachments, is current, completeand accurate.

Business Name:

Authorized Signature:

Printed Name:

Signature of Director, Officer, General Partner or similarly situated Principal of the Business

Title:

Date:

5The NAICS web site http://www.bls.gov/bls/NAICS.htm


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FORM 4 - PROPOSED LOWER TIER SUBCONTRACTORS & SUPPLIERS

To Be Completed By All Subcontractors Listed on Form 1

All subcontractors listed on Form 1 that are subcontracting work are requested to list ALL lower-tier businesses, which include SBEs & Non SBEs to beutilized on this project. Completion of this form and Form 3, Business Data Sheet fulfills the requirements of the California Subletting and SubcontractingFair Practices Act.

1. Your Business Name: 2. Project Name:3. Your Proposal/Proposal

Price: 4. Your Prime Name:

A B C D E F G H

Name Each IndividualBusiness

(List One Business per Form)

IsBusinessan SBE?

CircleOnly One

Subcontractors:C = Consultant orSubcontractorS = Supplier

1

M= ManufacturerB = BrokerT = Trucker

Proposal/Proposal Price

Subcontractors:$ Amount of Work

in Column “D” to bePerformed withSubcontractor’s

Own Work Force

Subcontractors:$ Amount in

Column “D” to beSUBCONTRACTED

,(if any):

$ Amount inColumn “D” to beCounted toward

SBE GoalExcluding

Supplier Cost

Subcontractors:$ Amount for

Supplies in Column“D”

to be Countedtoward SBE Goal(Supplier Cost in

Column “D” x 0.6)Your

Bus. Y N Your Business’Amount $ (with own

1 Y N

2 Y N

3 Y N

4 Y N

5 Y N

6 Y N

7 Y N

8. TOTAL should add up toequal “Your Proposal Price” listedabove in #3

1If a SBE business is listed to provide materials/supplies, only sixty-percent (60%) of the cost for materials/supplies will be counted toward the SBE participation. As such, Metro will take 60% of the costs for materials/supplies listed in

column D to determine amount to credit toward SBE participation.


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FORM 5 - SBE AFFIRMATION

TO BE COMPLETED BY PRIME AND ALL SUBCONTRACTORS THAT WILL SUBCONTRACT TO A5SBE BUSINESS

Prime and subcontractor(s) at any tier level that will subcontract work to a SBE business are requested tocomplete this form to affirm that it will utilize the SBE businesses listed on Form 1 or Form 3. This formmust be signed by the SBE business acknowledging that it has submitted a written quote to therespective Prime or Subcontractor, and has been listed to perform work on this contract.

1. IFB/RFP/IFB Number ___________________________

2. Project Name _______________________________________________________________

3. Name of the Prime _______________________________________________________________

4. Business Address _______________________________________________________________Street City State Zip

5. Name of Proposed SBE Business__________________________________________________

6. Business Address _______________________________________________________________Street City State Zip

7. Financial Description Total $ Amount listed for this SBE business is $ ____________________(amount should match $ Amount listed for this business on Form 1 or Form 3)

8. Technical Description Identify the scope of work that will be performed by this SBE business. Also,provide applicable Northern America Industry Classification System (NAICS) code(s).

[NAICS Code(s)]

Affirmation:Signatures of the authorized representatives of this Contractor and of the SBE business below representthe commitment by both parties to enter into a formal subcontract agreement for the work and any termsor conditions described above and in the accompanying attachments, conditioned on theProposer/Proposer being awarded this Contract.

Name of Business Name of SBE Business

Authorized Signature of Business6 Authorized Signature of SBE Business

Typed or Printed Name of Signee Typed or Printed Name of Signee

Title of Signee Title of Signee

Date Date

Telephone Email Telephone Email

6Signature of the Contractor to which the SBE business will report to directly.


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BIDDERS LIST FORM

The Los Angeles County Metropolitan Transportation Authority (LACMTA) is required per 49 CFR 26. 11 (c) to createand maintain a comprehensive Bidders List. The Bidders List Form (PRO FORM 132) will be used to determine therelative availability of Disadvantaged Business Enterprise (DBE) and non-DBEs, and will assist with establishing theagency’s annual DBE goal. Each Bidders List is a compilation of bidders, proposers, quoters, subcontractors,manufacturers, and suppliers of materials and services who have submitted bids during the advertising period of aspecific acquisition. Please provide the following mandatory data:

Part A: Business Data

1.Business Name: ______________________________________________________________

2.Business Address:

___________________________________________________________________________________Street City State Zip

8. County Business is located in: ____________________________________________________

9. Name of Contact Person: ________________________________________________________

10. Phone: ( ) ________________________ 6. Fax: ( ) ________________________

7. Email Address: ______________________________________________________________

8. Is this business certified as a Disadvantaged Business Enterprise? a. Yes b. No

9. Business Annual Gross Receipts: 10. Age of Business: _______ Years _______ Months

a. Less than $500,000 b. $500,000 to $1,000,000 c. $1,000,000 to $2,000,000

d. $2,000,000 to $5,000,000 e. Over $5,000,000

Part B: Project and Work Description

11. RFIQ, IFB, or RFP # ______________________________________________________________

12. Project Name: _________________________________________________________________

13. Provide brief description of scope of work, services, and/or materials to be performed/furnished:

14. Will you subcontract any of your work? a. Yes * b. No(* If “Yes,” the subcontractor(s) must complete an individual Bidders List Form also.)

Part C: Signature

The undersigned declares that the information set forth on this page is current, complete and accurate.

Authorized Signature: ______________________________________ Date: _____________________________

Printed Name: ______________________________________ Title: _____________________________


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DIVERSITY & ECONOMIC OPPORTUNITY DEPARTMENTSBE CONTRACT COMPLIANCE MANUAL (SET-ASIDE)

SECTION 100 - SMALL BUSINESS REQUIREMENTS

100 METRO POLICY STATEMENT: It is Metro’s policy to provide equal opportunity for SmallBusiness Enterprise (SBE) firms on contracts funded with Federal Transit Administration(FTA) funds subject to the requirements of Title 49, Code of Federal Regulations (CFR)Part 26. and non-federally funded contracts subject to the Metro Small BusinessEnterprise Program. The Metro Small Business Set-Aside Policy complies with the 49CFR Part 26.39, Fostering Small Business Participation Element. The Set-Aside programseek to facilitate the participation of small business concerns in our contracting activities;to meet the maximum feasible portion of Metro’s overall DBE and SBE goal through race-neutral means; and are active, effective steps to foster competition for Metro’s contractsby increasing the capacities of small businesses.

Metro shall take all necessary and reasonable steps to:

1. Ensure nondiscrimination in the award and administration of federally fundedcontracts.

2. Create a level playing field on which SBEs can compete fairly for Metro contracts.3. Ensure that only firms that fully meet the eligibility requirements of the Metro SBE

Program are permitted to participate as SBEs.4. Help remove barriers to the participation of SBEs in Metro contracts.5. Assist the development of firms that can compete successfully in the marketplace

outside the DBE program.6. To assist the development of firms that can compete successfully in the marketplace

outside the SBE program

101 INTERPRETATION: For non-federally funded contracts if any conflict, error, omission orambiguity which may arise between these instructions, California law and Metro’s SBEProgram shall be resolved first in favor of California Law and second in favor of Metro’sSBE program. For FTA funded contracts if any conflict, error, omission or ambiguity whichmay arise between this Manual, and the federal regulations or the DBE Program, shall beresolved first in favor of the federal regulations and second the DBE Program.Failure of a bidder or its subcontractors, consultants, suppliers or other entities to carry outthese requirements may be grounds for Metro to implement administrative penalties orother remedies imposed by Metro.

102 NON DISCRMINATION: Metro’s policy ensures that SBE firms have an equal opportunityto receive and participate on projects that are FTA funded and non-federally funded Metrocontracts. It is also Metro’s policy to ensure that there is no discrimination in the award andparticipation on the basis of race, color, national origin, or sex.

103 SUSPENSION OR DEBARMENT: Suspension or debarment proceedings may be initiatedagainst any firm when:

A. Attempts to participate in the Metro SBE Program or DBE Program as a SBE if thefirm does not meet the eligibility criteria stated in the Certification Standards for SBEprograms and if it attempts to participate on the basis of false, fraudulent or deceitful


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statements or representations or under circumstances indicating a serious lack ofbusiness integrity or honesty.

B. In order to be eligible for a Set-Aside contract award, meet the SBE subcontractinggoals or other SBE program requirements uses or attempts to use on the basis offalse, fraudulent or deceitful statements or representations, another firm that doesnot meet the SBE eligibility criteria stated in the certification standards.

In either case, Metro shall take action through the Diversity & Economic OpportunityDepartment, Metro Office of Inspector General and/or Federal Department of Justice forfurther action and may refer the matter for prosecution under appropriate state an andfederal criminal statutes.

104 AUDIT AND INSPECTION: The Contractor shall maintain records of all subcontractsentered into with SBE firms and records of materials purchases from SBE suppliers. Suchrecords shall show the name and business address of each SBE subcontractor or supplerand the total dollar amount actually paid to each SBE subcontractor or supplier. Metroreserves the right to audit the records and inspect the facilities of its contractors and anysubcontractors of any tier for the purpose of verifying the SBE participation and/oradherence to the SBE program requirements. Contractor records shall be maintained forfive years from contract completion and be made available upon request for Metrocontracting studies. Contractors and subcontractors shall permit access to their records atthe request of Metro. Notice is hereby given that state, local, and federal authorities mayinitiate or cooperate with Metro in auditing and inspecting such records.

SECTION 200 - SBE PARTICIPATION

200 SBE PARTICIPATION: After contract award, SBE participation percentage(s) for SBEsubcontractors, consultants or suppliers, listed by the Offeror at time of bid or proposal willbe monitored and enforced from contract inception through the term of contract. Failure tomeet the SBE commitment may result in penalties and/or administrative sanctions.

201 METRO OVERALL DBE GOAL: Metro has set an overall goal for DBE participation. Theoverall DBE goal applies to federally funded contracts Metro expects to expend for thefiscal year. Metro supports the use of race neutral measures to facilitate participation ofSBEs and other small businesses, and encourages prime contractors to subcontractportions of their work that they might otherwise perform with their own forces.

202 METRO OVERALL SBE GOAL: Metro has set an overall goal for SBE participation. Theoverall SBE goal applies to non-federally funded contracts Metro expects to expend forthe fiscal year. Metro will strive to meet its overall goal through race neutral measures.Metro supports the use of race neutral measures to facilitate participation of SBEs andother small businesses, and encourages prime contractors to subcontract portions of theirwork that they might otherwise perform with their own forces. To ascertain whether theoverall SBE goal is being achieved, Metro will track the dollar amount paid to all certifiedSBE firms performing work called for in this contract that is eligible to be credited towardMetro’s overall goal.

203 CHANGES IN WORK LISTED TO SBE FIRMS: If Metro or the Contractor proposeschanges for work contracted to an SBE, the Contractor is required to notify the SBE firmin writing within 10 working days prior to execution of the proposed change, reduction, or


99

deletion of any work listed at time of contract award or after contract award. The dollaramount of changes as a result of contract modifications, change orders, or provisionssums, that increase or decrease the work commitment to a SBE firm(s) will becommensurately added to or subcontracted from the total contract amount used tocompute actual dollars paid to SBEs. Failure to comply with Section 205 (“Crediting andCounting SBE Participation“) will be cause for non-compliance and assessment ofadministrative sanctions.

204 COMMERCIAL USEFUL FUNCTION (CUF): To receive SBE participation credit towardsthe SBE contract commitments, SBE firms must perform a commercially useful function(CUF). An SBE must perform at least 30% of its listed work with its own workforce ormust not subcontract a greater portion of the work than would be expected on the basisof normal industry practices for that type of work. An SBE performs a CUF when the SBEis responsible for a clearly defined and distinct scope of work. SBE firms must beresponsible for the execution of the work, is carrying out its responsibilities by actuallyperforming, managing, and supervising the work involved

On-site visit reviews will be used to ascertain whether the SBE is actively performing,managing, and supervising the work. SBE firms shall employ a labor force which isseparate and apart from individuals employed by the prime, and independently recruitedby the SBE in accordance with standard industry practice.

205 VIOLATION OF COMMERICAL USEFUL FUNCTION : If an investigation reveals thatthere is a violation of the CUF provisions, that portion of the work found to be in violationwill not be counted toward achievement of the SBE contract commitment, nor Metro’soverall SBE goal. When a SBE is presumed not to be performing a CUF as described inthis section, the SBE may present evidence through the Contractor to Metro to rebut thatpresumption no later than fifteen (15) days after receipt of notice of violation(s). If afterreview of the evidence presented by the SBE does not meet the CUF provisions herein,the Contractor will be required to cure deficiencies found. Metro’s CUF decisions are notappealable.

206 CREDITING AND COUNTING SBE PARTICIPATION: Metro is only able to count towardthe achievement of the SBE commitment percentage the value of actual dollar paid forCUF work actually performed by SBE firms. There will be no credit for work performed bya non-SBE prime and/or subcontractor. SBE participation listed in the bid or proposal mustcomply with the provisions of this section.

A. SBE as the Prime Contractor: 100% SBE credit for that portion of the workperformed by the SBE’s own forces, including the cost of materials and supplies.Work that a SBE prime subcontracts to a non-SBE firm will not count toward theSBE commitment.

B. SBE as a Joint Venture Contractor: 100% SBE credit for that portion of the totaldollar value of the contract equal to the distinct, clearly defined portion of the workperformed by the SBE’s own forces.

C. SBE as a Subcontractor: 100% SBE credit for the work of the subcontractperformed by the SBE’s own forces, including the cost of materials and supplies,excluding the purchase of materials and supplies or the lease of equipment by theSBE subcontractor from the prime contractor or its affiliates. Work that a SBE


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subcontractor in turn subcontracts to a non-SBE firm does not count toward theSBE commitment.

D. SBE as a Material Supplier or Broker:

1) 60% SBE credit for the cost of the materials or supplies purchased from aSBE regular dealer.

2) 100% SBE credit for the cost of materials or supplies obtained from a SBEmanufacturer.

3) 100% SBE credit for the value of reasonable fees and commissions for theprocurement of materials and supplies if not a regular dealer or manufacturer.

E. SBE as a Trucker: 100% SBE credit for trucking participation provided the SBE isresponsible for the management and supervision of the entire trucking operationfor which it is responsible. At least one truck owned, operated, licensed andinsured by the SBE must be used on the contract. Credit will be given for the fullvalue of all such SBE trucks operated using SBE employed drivers. SBE credit willbe limited to the value of the reasonable fee or commission received by the SBE iftrucks are leased from a non-SBE company. Metro uses the following six (6)factors in determining whether to count expenditures to a SBE trucking firm, todetermine if it is performing a commercially useful function:

1) The SBE must be responsible for the management and supervision of theentire trucking operation for which it is responsible on a particular contractand there cannot be a contrived arrangement for the purpose of meeting SBEgoals.

2) The SBE must itself own and operate at least one fully licensed, insured andoperational truck used on the contract

3) The SBE receives credit for the total value of the transportation services itprovides on the contract using trucks it owns, insures, and operates usingdrivers it employs.

4) The SBE may lease trucks from another SBE firm, including an owner-operator who is SBE certified. The SBE who leases the trucks from anotherSBE receives credit for the total value of the transportation services thelessee SBE provides on the contract.

5) SBE firms that lease trucks from non-SBE firms are entitled to credit only forthe fee or commission it receives from the lease arrangement. SBE firms arenot eligible to receive full credit for the total value of transportation services.

6) To perform a commercially useful function reference Section 203(“Commercial Useful Function”) an SBE trucking company shall haveexclusive use of and control of the day-to-day trucking operation. This doesnot preclude the leased truck from working for others during the term of thelease with the consent of the SBE, so long as the lease gives the SBE


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absolute priority for use of the leased truck. Leased trucks must display thename and identification number of the SBE firm.

7) SBE firms that leases trucks from a prime contractor during the performanceof contract, is considered a violation of the commercial useful functionrequirement.

207 THE SBE (AND NOT OTHER BUSINESS ENTITITIES) SHALL ACTUALLY PERFORMTHE SUBCONTRACT: The SBE’s utilization of labor, supervisory personnel, equipmentand material in the performance of the subcontract, shall be consistent with industrystandards and shall demonstrate that the SBE, and not some other business entity isactually performing the subcontract. If a SBE associates itself too closely with anotherbusiness entity or entities, in acquiring labor force, supervisors, equipment, or materials toan extent inconsistent with industry standards, the SBE can no longer be said to beactually performing a commercially useful function (reference §203)the subcontract.

208 SBE CONTRACTOR’S WORK FORCE: The SBE shall solicit, hire, place on its payroll,direct, and control all workers performing work under its contract. The SBE owner or itssuperintendent shall, on a full-time basis, supervise and control the work of the contract.The SBE may, with Metro’s prior written consent, augment its work force with personnel ofanother firm. Metro shall approve the request in writing only when specialized skills arerequired and the use of such personnel is for a limited duration.

SECTION 300 - CONTRACT COMPLIANCE MONITORING

300 REVIEW AND MONITORING SYSTEM: This section describes the review and monitoringsystem to ensure that all contractors, subcontractors, consultants, vendors, suppliers,dealers, brokers and other sources, and all Metro departments comply with the SBErequirements and all other contract provisions related to SBE participation.

Non-compliance by the Contractor with the SBE contract requirements or federalregulations constitutes a breach of contract, and requires, at a minimum, a writtenexplanation and documented description of the contractor’s GFE. Failure to comply mayresult in: (1) mandatory participation in a SBE Program Training Session, reviewing theperformance, accountability, record keeping and reporting aspects of the SBE or DBEProgram, and/or (2) termination of the contract, and/or (3) administrative sanctions, and/or(4) other appropriate remedies.

301 CREATE A LEVEL PLAYING FIELD OF OPPORTUNITY TO PARTICIPATE: Contractorsshall ensure that SBEs have a level playing field to successfully perform theresponsibilities of their contract in order to meet its SBE contract commitment. Theseefforts include, but are not limited to the following:

A. Negotiate in good faith to attempt to finalize subcontract and supply agreementswith SBEs listed in its bid.

B. Continue to provide assistance to SBE Subcontractors or Suppliers in obtainingbonding, lines of credit, or other capital financing.

C. Contractor shall immediately inform DEOD of any problems anticipated or concernswith SBE participation or CUF during the performance of the contract.


102

E. Issue the SBE(s) a written Cure Notice of any potential problem and provide areasonable time frame for the SBE to cure the problem. The Contractor shall,concurrently with the issuance of the Cure Notice to the SBE, send a copy of theCure Notice by First Class mail, postage prepaid, to the assigned ContractCompliance Officer, DEOD Contract Compliance Manager and to the ContractAdministrator. In instances where the SBE fails to cure, the Contractor is thenobligated to take the steps outlined in the section herein RESOLUTION OF SBEDISPUTES BETWEEN CONTRACTOR AND SBE SUBCONTRACTORS beforeformally requesting approval from Metro to substitute a SBE.

302 NOTIFICATION OF REPORTING REQUIREMENTS: For SBE contracting requirements,Contractors shall refer to the SBE Contract Compliance Manual, the General Conditionsand the Special Provisions sections of the executed contract. Contractors are advised ofprompt payment provisions and retention covering all SBE and Non SBE subcontracts,implemented pursuant to the California Business and Professions Code 7108.5 and 49CFR Part 26.

303 KICK-OFF MEETING: Contractors and subcontractor(s) or designees shall be notified ofthe scheduled project kick-off meeting, if applicable, prior to or immediately after Notice toProceed is issued. The Contractor shall be responsible for informing the SBEsubcontractors requirements.

304 CONTRACT COMPLIANCE SUBMITTALS – REPORTING SBE PARTICIPATION:Contractor and all subcontractors shall report payment details to LACMTA using the web-based Small Business Programs Compliance Reporting System (SBCRS) by the 15th ofeach month. SBCRS allows Contractors to manage their own records, maintain accuratecontract information, and report payment details online. SBCRS is mandatory forContractors and subcontractors to use unless LACMTA instructs otherwise. LACMTA willprovide the Contractor, subcontractors, suppliers, brokers, and truckers online training,login and password information, at no cost to the Contractor or its subcontractors,suppliers, and truckers.

After award, Contractor will receive instructions on how to set up their account and enterrequired Subcontractor data. Contractor must require each of its subcontractors to enterrequired payment information into SBCRS. Failure of Contractor or its subcontractors toenter required information on a timely basis may result in delay of payment by LACMTAand assessment of SBE non-compliance for reporting requirements as identified inSection 314 of this Manual.

A. SUMMARY OF CONTRACTORS PAID REPORT (Form 103): Contractor shallsubmit timely and complete monthly progress reports of SBE utilization andpayment to the Diversity & Economic Opportunity Department (DEOD) the FORM103, SUMMARY OF SUBCONTRACTORS PAID REPORT. These reports shallinclude information through the end of the previous month. Failure to submit theFORM 103 reports by the 15th of each month may result in the imposition of apenalty of $1,000 per day for each report overdue.

The FORM 103, Summary of Subcontractors Paid Report, includes the followinginformation:


103

1) Name, address, and phone number of each SBE Subcontractor2) General work assignment of each SBE Subcontractor3) The specific portion of work performed by each SBE Subcontractor during the

reporting period4) SBE Subcontractor the dollars commitments (including identifying

changes/modifications)5) Dollars paid to each SBE Subcontractor during the reporting period.6) Dollars paid to date for each SBE Subcontractor.7) Dollars paid to the SBE as a result of a change order or other cost

modification.8) Dollars paid to date as a percentage of the total commitment to each SBE.9) Date of last progress payment10) Invoice number, date and amount11) Invoice number corresponding to last payment to subcontractor12) Task Order or Contact Work Order number and amount. (If applicable)

B. CONTRACTOR MONTHLY SBE PROGRESS REPORT (Design/Build Only): TheContractor shall submit timely and complete monthly progress report summarizingthe overall status of commitments to SBE firms, attainments to SBE firms, andprompt payment/retainage for all firms (SBE and non-SBE firms) performing on thiscontract.

The monthly progress report shall be submitted to Metro by the 15th

day followingthe reporting month. The monthly report shall provide, at a minimum, the followinginformation:

1) The following general contract value information must be provided:

a. Original Contract Amountb. Running Total of Change Order Amountc. Current Contract Amountd. Amount Paid to Contractor during the each monthe. Amount Paid to Contractor from inception to Datef. SBE Contract Goalg. Total Dollar Amount of SBE Commitmenth. SBE Commitment as Percentage of Current Contract Amount

2) The following general information shall be prepared for the Contractor andeach subcontractor (at every tier level): Name, address, phone, SBE status,contact person, contractor(s), name, date contract agreement signed, scopeof work, anticipated first date of performance and anticipated last date ofperformance.

3) Supplemental Reports (Design/Build Only)Prime contractors shall submit, each month (unless otherwise instructed byMetro’ s). Contractor may develop their own reporting format (subject to Metro’sapproval) to meet the following supplemental report requirements:

a. SBE Attainment and Commitment Report, a monthly listing of SBE andnon-SBE subcontractors with current and anticipated participation. This


104

report shall includes a current SBE attainment and commitment talliesfrom each subcontractor (at any tier) listing of all its subcontractors.

b. Prompt Payment” Report listing its immediate subcontractors and the“Prompt Payment” activity from each subcontractor subcontracting ateach tier listing their immediate subcontractors, to the ContractCompliance Officer, documenting the status of each subcontractor’sretainage account with the Prime Contractor engaged in subcontractingand their compliance with the return of the retainage regulations.

c. The Prime Contractor’s “Prompt Payment and Retainage” Report for themonth (or the period of time designated by DEOD), listing its immediatesubcontractors and the prompt payment and retainage activity from eachsubcontractor (at any tier).

C. MONTHLY EXPENDITURE PLAN (FOR CONSTRUCTION WORK ONLY):An expenditure plan in calendar format for each of its approved SBESubcontractors/Suppliers shall be submitted 14 working days after the Contractorexecutes a contract or purchase order with Metro, and submitted each monththereafter. The planned expenditures shall equal the dollars committed to eachSBE Subcontractor/Supplier and shall be developed according to the approvedproject schedule.

The plan shall be updated to incorporate any schedule changes and executedChanged Notices and Work Authorization Change Notices affecting the SBE'swork. The original plan must be approved and each revision must be approved bythe, “Construction Manager's Resident Engineer,” prior to being submitted to theassigned Contract Compliance Officer and the Contract Administrator. Revisedplans shall be submitted within 30 days from the incorporation of the change.

D. SBE TRUCKING VERIFICATION REPORTWhen trucking is listed to be performed, the Contractor shall provide to Metro, bythe fifth (5th) day of each month, the preceding month's trucking activity. TheContractor shall submit documentation showing the amount paid to SBE truckingcompanies listed to perform on the contract. This monthly documentation shallindicate the portion of revenue paid to SBE trucking companies which is claimedtoward SBE participation. The Contractor shall also obtain and submitdocumentation to the DEOD showing the amount paid by SBE trucking companiesto all firms, including owner-operators, for the leasing of trucks. The SBE wholeases trucks from a non-SBE is entitled to credit only for the fee or commission itreceives as a result of the lease arrangement. The records must confirm that theamount of credit claimed toward SBE participation conforms to Subsection 205,referenced above.

The Contractor shall also obtain and submit documentation showing the trucknumber, owner’s name, California Highway Patrol CA number and if applicable,the SBE certification letter of the owner of the truck for all trucks used during thatmonth for which SBE participation will be claimed. The Contractor shall promptlypay SBE trucking companies in accordance with the prompt payment provisionsprescribed in Section 300, Subsections 304 through 312.


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E. EXECUTED SBE SUBCONTRACT AGREEMENTS: The Contractor shall submitcopies of all executed SBE subcontract agreements and/or SBE purchase orders(PO) within 14 days (working) after the Contractor executes their contract or POwith Metro. For Design/Build contracts, subcontract agreements are require for allDesign and Construction firms known and listed at time of bid within 14 days ofissuance of NTP. Other Design/Build construction subcontract agreements aredue to Metro 14 days from date to request to add firm. DBE firms are not to startwork without a signed subcontract agreement, unless Contractor has receivedwritten approval from subcontractor to start work without a signed agreement.Failure to comply with this section will be cause for non-compliance andassessment of administrative sanctions, and may include, imposing a specialassessment against the Contractor.

The SBE subcontract or PO should be sent to the attention of the assignedContract Compliance Officer. The Contractor shall incorporate the SBE Programdocument and this SBE Contract Compliance Manual into each PO and into eachSubcontract issued under this DOT-assisted contract and each subcontractor,consultant, dealer, broker, vendor or other source shall agree to the terms andconditions. The Contractor shall immediately notify DEOD in writing, within the 14-day timeframe mentioned above, of any problems it may have in obtaining thesubcontract agreements from listed SBE firms within the specified time. Failure tonotify DEOD may deem the Contractor in non-compliance with this requirementand subject to imposed administrative sanctions. Contractor must document allefforts taken to with subcontractor to executive subcontract agreements.

F. CONTRACT ASSURANCE: The Contractor shall include the following language ineach subcontract agreement the Contractor signs with a SBE subcontractor:

The contractor, sub-recipient, or subcontractor shall not discriminate on the basisof race, color, national origin, or sex in the performance of this contract. Thecontractor shall carry out applicable SBE requirements in the award andadministration of DOT-assisted contracts. Failure by the contractor to carry outthese requirements is a material breach of this contract, which may result in thetermination of this contract or such other remedy as the recipient deemsappropriate.

305 PROMPT PAYMENT: The prime contractor is required to incorporate the Prompt PaymentClause referenced in Section 302 above, in all subcontract, broker, dealer, vendor,supplier or other source agreements or Purchase Orders (at all tiers) issued to both SBEand non-SBE firms. Contractor shall reference the following contract clauses: GeneralTerms and Conditions concerning Prompt Payment to Subcontractors and PromptPayment of Withheld Funds to Subcontractors.

306 PROGRESS PAYMENTS: Prompt Payment and Progress Payment language mustinclude in all non-SBE and SBE subcontract agreements verbatim. Pursuant to theCalifornia Business and Professions Code Section 7108.5, the Contractor shall pay eachsubcontractor under this Contract for satisfactory performance of its subcontract work nolater than seven (7) days after its receipt of each Progress Payment from Metro.


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307 FINAL PAYMENT TO SUBCONTRACTOR (RELEASE OF RETAINAGE): The Contractorand all subcontractors shall pay to each subcontractor all amounts it has retained frompayments under the Subcontractor within seven (7) days after the Subcontractor’s Work issatisfactorily completed.

Prompt Payment of Retention to Subcontractors (Required in all SBE and non-SBEsubcontract agreements verbatim):

With respect to retention that Metro withholds from the Contractor, Metro shall makeprompt and regular incremental inspection(s) and upon approval of the Contractor’s workat various stages of the Project, Metro shall pay a percentage of retention to theContractor. The Contractor shall, within 30 days after Metro has made such payment,promptly pay all retention owed to Subcontractor(s) who has satisfactorily completed all ofits work and whose work is covered by Metro inspection(s) and approval(s). For thepurposes of this section, a subcontractor’s work is satisfactorily completed when theContractor certifies to Metro that all the tasks called for in the subcontract have beensatisfactorily accomplished and that subcontractor’s retention may now be paid. Anydelay or postponement of prompt release of retention beyond the 30 day time limit shall befor good cause, and only upon prior written approval by Metro.

308 WORK SATISFACTORILY COMPLETED: Satisfactory completion of a subcontractor’swork is when all the tasks called for in the subcontract have been accomplished anddocumented as required by Metro.

309 DELAY OR POSTPONEMENT OF PAYMENT: Any delay or postponement of paymentbeyond the 7-day time limit shall take place only for good cause, and only upon priorwritten approval of Metro.

310 NON-PROGRESS OR RETAINAGE PAYMENT INQUIRIES: If Subcontractor (at any tier)is not paid within 7 days according to prompt payment and or retainage. Thesubcontractor must notify the prime contractor in writing within 30 calendar days from thetime payment should have been received. The subcontractor shall copy the Metro DEODRepresentative and Contract Administrator. The prime contractor (or lower tier directsubcontractor) has 7 calendar days to respond in writing back to the inquiringsubcontractor. The prime contractor shall also copy the Metro DEOD Representative andContract Administrator.

311 VIOLATION OF PROMPT PAYMENT: The Contractor and all subcontractors, consultantsand suppliers shall comply with all prompt payment requirements in the Contract. Anyviolation of the prompt payment provision shall subject the violating contractor orsubcontractor to the penalties, sanctions, and other remedies specified in Section 7108.5of the California Business and Professions Code. This requirement shall not be construedto limit or impair any contractual, administrative, or judicial remedies, otherwise available tothe contractor or subcontractor in the event of a dispute involving late payment ornonpayment by the contractor, deficient subcontractor performance, and/ornoncompliance by a subcontractor. In addition, failure to comply with Prompt Paymentand or Release of Retainage provisions may be subject to assessment of administrationsanctions as provided in Section 700 Sanction s for SBE or DBE Program Violations.

312 FAILURE TO COMPLY WITH PROMPT PAYMENT: If it is determined that the contractoris non-compliant with prompt payment provisions, the contractor will receive written


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notification from Metro with details of this deficiency. If additional clarification is required,the contractor must respond to the request within five (5) working days. Failure to complymay result in the assessment of appropriate administrative sanctions and/or penalties.Failure of the Contractor and/or its listed subcontractors to comply with any part of thementioned may result in non-compliance determination and administrative sanctions maybe imposed as prescribed in SBE Assessment of Non-compliance and AdministrativeSanctions.

313 FINAL REPORTING: Contractor shall submit to Metro, along with invoice for finalpayment, a signed and notarized statement that the Contractor will pay all outstandingpayments including retention 10 days after it receives final payment from Metro. Pleasesee General Terms and Conditions concerning “Prompt Payment to Subcontractors andPrompt Payment of Withheld Funds to Subcontractors.” The Contractor shall submit thefinal Form 103 report within 14 calendar days of final payment.

314 ASSESSMENT FOR SBE NON-COMPLIANCE: If the Contractor fails to comply with theSBE Program or DBE Program requirements, contract payments shall be reduced by oneor more of the following methods:

A. A penalty of five thousand dollars ($5,000) per day, from the date the Contractor isdetermined to be in non-compliance with the SBE Program requirements untilcompliance is determined.

B. Penalties of ten percent (10%) of the total contract value, including any approvedchange orders, for failure to meet SBE commitments or to demonstrate good faithefforts.

C. Penalties may be deducted from payments due the Contractor, from any fundsretained.

315 DISPUTE RESOLUTION: The Contractor must include in its SBE SubcontractAgreement(s) the Dispute Resolution provisions in Section 5.0 of the Contract ComplianceManual (non-Federal) for disputes arising out of or related to this contract betweenContractor and any lower tier Subcontractors which cannot be settled by discussionsbetween the parties involved. The Contractor and Subcontractor, in the event of a disputeto their contract, agree to proceed through informal meetings, mediation, or arbitration, orany combination thereof.

SECTION 400 - RESOLUTION OF DISPUTES BETWEEN METRO CONTRACTOR ANDSUBCONTRACTORS

400 DISPUTES: Disputes between the Contractor and any lower tier SBE subcontractors,which cannot be settled by discussions between the parties involved, shall be settled asdescribed herein. Contractor shall notify Metro of such dispute within ten 10 days offailure to resolve through written cure notice process described above.

These provisions shall not apply to disputes between the Contractor and Metro. Theseprovisions do not alter in any way or waive compliance with any provisions in SectionGC36 “Submittal of Claims” included in the Contract Documents.

The Contractor and Subcontractors shall include the dispute resolution provision in theircontract. Both parties shall agree to proceed through informal meetings, mediation, or


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arbitration, or any combination thereof. Dispute submittals shall include terms andtimeframes and the service or assistance to be employed.

401 INFORMAL MEETINGS: The Diversity and Economic Opportunity Department willcoordinate informal meeting requests, to assist in the resolution of disputes betweenContractor and subcontractor. The assigned Diversity and Economic OpportunityRepresentative will conduct the informal meetings with parties in dispute. All parties mustagree to the procedure.

402 MEDIATION: The parties to a contract may agree to endeavor to settle a dispute throughinformal mediation under independent third party organizations. Metro’s Diversity andEconomic Opportunity Department is considered an independent third party. Submissionto informal mediation is voluntary; is not binding and offers advisory opinions.

403 ARBITRATION: Should the parties fail to resolve any SBE related dispute arising out of orrelated to the contract via informal meetings or mediation, the parties are contractuallyobligated to submit the claims for arbitration within 120 days from date Metro is notified ofdispute. Arbitration conducted pursuant to the contract shall be binding upon all parties tothe arbitration. All arbitration is to be conducted in a manner consistent with section 1020et seq. of the Public Contract Code and Section 1296 of Code of Civil Procedure.

Available mediation and arbitration services include:

The American Arbitration Association (213) 362-1900Dispute Resolution Center (818) 793-7174

The Contractor shall incorporate this Section into each SBE subcontract related to workarising under this contract and shall not incorporate by reference.

Only when resolution of SBE disputes attempted through informal meetings, mediation,and/or arbitration has failed may the Contractor formally request substitution of a SBEsubcontractor.

404 TIMELINESS: Should the parties proceed to arbitration, moneys due, if any, shall beplaced in a trust account. Such funds shall be released to the appropriate party within five(5) working days of a determination being issued by the arbitrator.

NOTE: Arbitration findings are binding upon the parties. However, the findings do not inany way relieve the contractor of its obligation to meet the SBE goals.

SECTION 500 - ADDING OR SUBSTITUTING OR TERMINATING A SBE

Contractors shall obtain written approval from DEOD prior to adding, substituting, orterminating SBE subcontractors.

500 ADDING SBE SUBCONTRACTORS: If contractors determine that there are additionalopportunities for SBEs not originally listed, they may exercise good faith efforts byrequesting to add SBE firm(s) to their contract. Metro shall authorize the addition of SBEsubcontractor(s) for credit toward the contract commitment upon verification ofcertification. Prior to adding SBE subcontractors, written requests must be submitted to


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DEOD and Contract Administration for approval. This request must include scope of work,dollar amount, period of performance, and a SBE certification letter.

After formal approval by Metro, the contractor may add the subcontractor to the Form 103and must provide a copy of the Subcontract Agreement.

501 SUBSTITUTING OR TERMINATING SBE SUBCONTRACTORS:Pursuant to 49 Code of Federal Regulations (CFR) Part 26, Metro SBE Program and theCalifornia Public Contract Code Section 4100, no contractor at any tier may terminate aSBE subcontractor for convenience and then perform that work with its own workforce orthat of its affiliate. The contractor shall provide written request to DEOD to substitute aSBE subcontractor.

A. Metro shall only authorize the substitution of a subcontractor for one or more of thefollowing reasons:1. The listed SBE, after having had a reasonable opportunity, fails or refuses to

execute a written contract.2. The listed SBE becomes bankrupt or has credit unworthiness.3. The listed SBE fails or refuses to perform his subcontract with normal industry

standard.4. The listed SBE subcontractor, after having had a reasonable opportunity, fails

or refuses to meet the contractor’s non-discriminatory bond requirements.5. The prime contractor demonstrates to Metro, pursuant to Public Contract

Code, Section 4107.5, that the name of the subcontractor was listed as theresult of an inadvertent clerical error.

6. The listed subcontractor is not licensed pursuant to the Contractor’s LicenseLaw.

7. It was determined that the work performed by the listed subcontractor issubstantially unsatisfactory and is not in accordance with the plans andspecifications, or that the subcontractor is substantially delaying or disruptingthe progress of the work

8. The SBE is ineligible to work because of suspension and debarment.9. It has been determined that the SBE is not a responsible contractor.10. The SBE voluntarily withdraws, with written notification, from the contract.11. The SBE is ineligible to receive credit for the type of work required.12. The SBE owner dies or becomes disabled resulting in the inability to perform

the work on the contract.13. Other documented compelling reasons.

B. DEOD shall send written notice to the listed SBE subcontractor of the Contractor’srequest for substitution, including the reasons for the request. The SBEsubcontractor shall have five (5) working days to submit written objections to thesubstitution to DEOD. Failure to respond to a written objection may constitute thelisted SBE subcontractor’s consent for substitution.

Contractor(s) shall replace a SBE subcontractor with another SBE firm, afterfollowing dispute resolution procedures, pursuant to the provisions of the CaliforniaPublic Contracts Code.


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C. If written objections are filed by a SBE subcontractor, Metro shall give writtennotification within at least five (5) working days, to the prime contractor and thelisted subcontractor of an informal mediation regarding the request for substitution.

D. If no written objections are filed by the SBE subcontractor, the prime’s request tosubstitute shall be approved. A new SBE listing shall include the commitmentamount and the type of work covered by each Subcontractor. All substitutions andadditions are subject to Metro’s approval.

E. If substitution with another SBE firm is not viable, the Contractor shall submit awritten request for a substitution with a non-SBE. This request must includedocumentation of good faith efforts demonstrating the contractor’s attempt tosubstitute the SBE firm with another SBE firm for Metro’s review and approval.

The Contractor shall obtain the written consent prior to making any substitutions. If addingSBE firms for credit toward the goal, verification of certification is required prior toreceiving credit toward the contract specific goal. SBEs must be certified at the time of thesubstitution or addition.

Failure to comply with this or any other SBE requirement may result in assessment ofappropriate administrative sanctions.

SECTION 600 - GOAL ATTAINMENT DURING LIFE OF CONTRACT

A. The Contractor shall not make any falsification of subcontractor information, up toand including Subcontractor's name, subcontract amount and/or actual work to beperformed by SBE firms.

B. The Contractor shall utilize SBEs according to the participation levels committed toat the time of contract award, and demonstrate an adequate and positive goodfaith effort to do so throughout the life of the contract.

C. The dollar amount of change orders, contract modifications, or provisions sums fordesign, construction, operations and maintenance, that increases or decreases thescope of work committed to SBEs, shall be commensurately added to orsubtracted from the total contract amount used to compute actual dollars paid toSBEs regardless of who performed the work.

D. All contract amounts revised as a consequence of a change order, contractmodification or provisional sum, shall be reflected in the Contractor's monthlyreferenced herein in Diversity and Economic Opportunity Submittals, herein.

E. All submittal forms, containing any contract value, revised as a consequence of aChange Order, contract modification, provisional sums shall be accompanied withcopy of relevant support documentation.

F. The Contractor shall submit the final SBE report within 14 calendar days of finalpayment, retention, and acceptance of the contract work by the Metro asprescribed in Section 3.6.


111

G. Listed first-tier subcontractors shall enter into subcontract agreements with theContractor within the specified time frame of fourteen (14) working days followingNTP. Failure to execute subcontract agreements in a timely manner shall beconsidered a violation of the SBE Program requirements.

H. When a SBE subcontracts part of the work of its contract to another firm, the valueof the subcontracted work may be counted toward SBE goals only if the SBE’ssubcontractor is itself a SBE. Work that a SBE subcontracts to a non-SBE firmdoes not count toward SBE goals.

I. When a SBE performs in a joint venture, only the percentage of the SBE jointventure is eligible for credit. Work must be performed by the SBEs own workforces.

J. Failure to adhere to any of the requirements of this Section shall constitute abreach of contract and may result in the Metro’s terminating the contract for defaultand/or imposing appropriate sanctions as outlined in the section entitled Remediesfor Breach of SBE Requirements.

SECTION 700 – SANCTIONS FOR SBE PROGRAM VIOLATIONS

A. Failure to Comply

1. Failure to adhere to any of the SBE or DBE Program requirements shallconstitute a breach of contract and may result in Metro terminating thecontract for default and/or imposition of appropriate sanctions as outlined inthis section.

B. Remedies for Breach of SBE Requirements

Contractor(s) found in violation of Metro’s SBE or DBE program requirements,during the performance of the contract, shall be required to "correct" its deficiencyor be subject to the Administrative Sanctions listed in this Section. Being subject toappropriate administrative remedies or sanctions does not preclude Metro frominvoking other contract and/or legal remedies available under federal, state or locallaw

C. Appropriate Administrative Remedies

Appropriate administrative remedies will be imposed on Contractors deemed non-compliant to the SBE Program requirements. Contractors’ failure to providedocumentation of good faith efforts, as requested, will also be subject toappropriate administrative remedies. Contractor notifications shall be made bycertified mail.

The appropriate administrative remedies shall include, but is not limited to thefollowing:

1. Mandatory SBE Training Session(s) for Contractor(s) found in violation ofSBE program requirements (SBE Training will be coordinated by DEOD, and


112

all associated expenses, including, but not limited to, travel, lodging, mealsand etc., will be the responsibility of the Contractor.)

2. Penalties as described in the, “Assessment for SBE Non-Compliance,”(referenced in Sub-Section D)

3. Suspension of payment(s) to the Contractor Metro

4. Termination of the Contract for default.

5. Debarment (49 CFR 107).

D. Assessment for SBE Non-Compliance

If the Contractor fails to comply with the SBE Program requirements, contractpayments shall be reduced by one or more of the following methods:

1. A penalty of five thousand dollars ($5,000) per day, from the date theContractor is determined to be in non-compliance with the SBE Programrequirements until compliance is determined.

2. Penalties of ten percent (10%) of the total contract value, including anyapproved change orders, for failure to meet SBE commitments or todemonstrate good faith efforts.

3. Penalties may be deducted from payments due the Contractor, from anyfunds retained.

SECTION 800 - SMALL BUSINESS ENTERPRISE CERTIFICATION

800 CERTIFICATION REQUIREMENTS: A firm only holding a current certification as aneligible Metro SBE may participate in the Metro SBE Program. Firms listed by Bidders tomeet an established SBE subcontracting goal must be certified by bid due date. Metro hasa responsibility to ensure that eligible SBE firms participate in Metro contracting. If not, thatfirm’s participation may not be counted as SBE participation in the contract. Bidders shallensure SBE firms are certified in the North American Industry Classification System(NAICS) codes for the work in which the SBE firm is listed to perform and for which theBidder seeks SBE credit towards its SBE commitment. Certifications as a Metro SBE firm,means the firm met the SBE certification requirements and eligibility standards describedin Metro’s SBE Program.

801 SBE CERTIFICATION STANDARDS: Metro follows the standards and procedures definedby Metro SBE Program Subpart E to determine whether an applicant is eligible for SBEcertification. These standards and procedures are described in detail in the CertificationInstructions, provided with the Application for Certification. Interested individuals orcompanies will start the process by obtaining a copy of the SBE Application and SBECertification Instructions.

END OF SECTION


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APPENDIX A – DIVERSITY AND ECONOMIC OPPORTUNITY MANUAL DEFINITIONS

Change Order (CO): A written order by Metro’s Contracting Officer directing Changed Work.

Changed Work (or Change): Additions, deletions or other revisions to the Work within thegeneral scope of the Contract. Changed Work must be directed by Metro by a Change Order oragreed to by the parties in an Amendment or other Modification. Includes Work that does notinvolve an adjustment in the Contract Price and/or Contract Time. Does not include Workperformed or time spent by Contractor to correct any Deficiency.

Commercially Useful Function: Work performed by a SBE firm in a particular transaction that inlight of industry practices and other relevant considerations, has a necessary and useful role andthe firm's role is not a superfluous step added in an attempt to obtain credit toward goals. If, inMetro's judgment, the firm (even though an eligible SBE) does not perform a commercially usefulfunction in the transaction, no credit toward the goal may be awarded.

Contractor: The individual, firm, partnership, corporation, joint venture, or combination thereof,which may also be referred to by the term "it", that has entered into the Contract with Metro.Includes Contractor’s successors, assigns, employees, officers, Contractor’s Representatives,and agents. In context may also include Subcontractors, Suppliers and any other persons forwhom the Contractor may be legally or contractually responsible.

Contracting Opportunity: Any decision by Metro or its contractors to institute a procurement actionto obtain a product or service commercially (as opposed to intergovernmental actions).

Department: Functional unit of Metro, responsible for management and administration of specificprojects included within the capital and operating budget.

Small Business Enterprise (SBE): A SBE firm is, generally, one that has demonstrated to Metro, bya preponderance of the evidence, that it meets the requirements of Metro's Small BusinessEnterprise Program, Subpart E, Certification Standards and Procedures, concerning BusinessSize, Owners Economic Disadvantage(Personal Net Worth), Quality of Ownership and OwnershipDiscretion and Control. It is a firm that:

(1) Is owned by Individuals who can demonstrate, by a preponderance of the evidence, that theyare economically disadvantaged. It requires an individual’s personal net worth (PNW) to bewithin the SBE Program PNW Limits. Currently limits on PNW are defined as an average ofless than $1.32 million over the previous three years, excluding individual applicant owner'sinterest in their primary residence and the PNW of the applicant business);

(2) Has had average annual gross receipts (over the previous three years), under the SBE SmallBusiness Size Table amounts, as defined by SBA regulations (13 CFR 121.402), according tothe industry in which the firm actively does business, or average gross receipts are not greaterthan $22.4 million over the previous three years.

(3) Is at least 51 percent owned by one or more such economically disadvantaged individuals, orin the case of any business organized as a corporation, at least 51 percent of the shares areheld by one or more economically disadvantaged individuals;


114

(4) Is an independent business whose management and daily business operations are controlledby one or more of the economically disadvantaged individuals who own it;

(5) Is a for profit business.

DOT Assisted Contract: Any contract or modification of a contract between Metro and a contractorwhich is paid for in whole or in part with DOT financial assistance.

FTA: Federal Transit Administration, an agency of the U.S. Department of Transportation.

Metro: The Los Angeles County Metropolitan Transportation Authority

Manufacturer: Means a business that operates, or maintains a factory or establishment thatproduces on the premises the materials or supplies obtained by the contractor.

Metro Rail Project: The design, engineering and construction of the high-capacity, high-speedconventional rapid rail system, currently proposed as an 18 mile subway system with multi-cartrains, steel rails and at least 16 stations serving the Los Angeles' Regional Core.

Non-Compliance: The condition existing when a contractor has failed to implement or meet therequirements of 49 CFR 26, as amended or Metro policy or procedure pertaining to SBEparticipation.

Payroll Form: The State of California WH 347 Dept. of Transportation form for completing theContractor employee’s number of hours worked, hourly rate of pay, employee’s classification,name, SSN, address, and fringe benefits paid, etc.

Pre-Bid/Construction Conference: A meeting held by Metro after award of contract on a particularconstruction project, but prior to the beginning of any work, at which the prime contractor isadvised of its federal, state and local compliance obligations and any final technical requirements.

Pre-Bid/Pre-Proposal Conference: A meeting held by Metro prior to the bid/proposal closing dateof a particular project, at which prospective bidders/proposers are advised of Metro specificationrequirements which include SBE provisions.

Professional/Technical Services Contract: Contracts for the professional and technical services ofaccountants, architects, engineers, landscape architects, lawyers, planners, surveyors, titlecompanies, urban designers, appraisers, option negotiators, and other persons performing similarservices for Metro.

Public Works Contract: Contracts for the construction, rehabilitation, alteration, conversion,extension, demolition or repair of buildings, highways, or other changes or improvements to realproperty, including facilities providing utility services. The term also includes the supervision,inspection, and other onsite functions incidental to the actual construction.

Secretary: The Secretary of U.S. Department of Transportation or any person whom he/she hasdesignated to act for him/her.

Labor Compliance Section: The staff that oversees and monitors labor standards activities forapplicability to the State of California Labor Code and, where applicable, Title 8 of the Californiacode of Regulations.


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State: State of California.

Statement of Compliance: The statement on the back of Payroll Form WH 347, whereby theContractor declares how the fringes are paid whether by cash or through a bona fide fringeprogram.

Subcontract: Any contract, including contracts of any tier, to furnish Work, Goods or Equipmentbetween the Contractor and/or any Subcontractor or Supplier.

Subcontractor: Any individual, firm, partnership, corporation, joint venture, or combination thereof,other than employees of the Contractor that enters into a legal agreement with the Contractor orany Subcontractor to furnish Work, Construction Equipment or Goods. Unless otherwisespecified, Subcontractor includes a Subcontractor of any tier.

U.S. Department of Transportation Regulation (49 CFR Part 26 as amended): Federal rules andregulations published in the Federal Register dated February 2, 1999; as amended by theDepartment of Transportation, Office of the Secretary; entitled "Participation by DisadvantagedBusiness Enterprises in Department of Transportation Financial Assistance Programs," andcodified at Title 49, Code of Federal Regulations, Part 26.

Wages: The basic hourly rate of pay, any contribution made pursuant to, or cost anticipated toprovide, a bona fide fringe benefit plan, fund or program.


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APPENDIX B - DIVERSITY AND ECONOMIC OPPORTUNITY MANUAL (NON-FEDERAL)SUBMITTAL FORMS


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SUMMARY OF SMALL BUSINESS ENTERPRISE (SBE) SUBCONTRACTORS PAID REPORT

Reporting Period (Month/Yr) :

Report No: FORM 103

(Please Print or Type)

1) Project Name:7) MTA Payment this

month:$ 14) Prime Contractor:

2) Contract No:8) Total $ Paid to-

date to Prime:$ 15) Address:

3) Contract Award Date:9) Total $ Paid to-

date to SBE Subs$

16) City, State, Zip

Code:

4) Original Award Amount $10) Current SBE

Attainment:%

17) Contact

Name/Title:

5) Current Contract Value: $11) Current SBE

Participation:% 18) Telephone #

6) Date of last progress paym't

rec'd from MTA:

12) SBE

Commitment:% 19) Email Address:

13) % of project

complete:% 20) Signature:

METROPOLITAN TRANSPORTATION AUTHORITY 22) DOLLARS 23) DOLLAR 24) Activity 24) TYPE OF 25) CUMULATIVE 26) Dollar +/-resulting

(LACMTA) PAID THIS AMOUNT I.D. WORK COMMITTED DBE from Change order

21) SUBCONTRACTOR/SUPPLIER MONTH PAID-TO-DATE Construction Only PERFORMED DOLLARS activity

NAME

$ $ $ $

ADDRESS

(Area Code) PHONE

CONTACT

SUBCONTRACTOR/SUPPLIER #1

NAME

$ $ $ $

ADDRESS

(Area Code) PHONE

CONTACT


NAME

$ $ $ $

ADDRESS

(Area Code) PHONE

CONTACT


Special Instructions:

The Prime shall make prompt payment of all monies due and owed to SBE and non-SBE firms within 10 business days upon receipt of payment from the Metro as per contractagreement and Prompt Payment Act. Payment of retention shall be made to all SBE and non-SBE subcontractors within 10 days after satisfactory completion of the subcontractedwork. The Form 103 is due to the Metro by the 15th of each month and should reflect all payments made to subs through the last day of the previous month. The Prime must reportmonthly for the life of the contract, even if the sub(s) did not perform any work for the previous month. You may send this document by e-mail each month to:[email protected]. Also, copy the contract compliance officer.


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REPORTING PERIOD (Month/Year): FORM 103 (Page 2)

Invoice Payment History SBE SUBCONTRACTORS/SUPPLIES

Prime Contractor Sub/Supplier #1:Sub/Supplier

#2: Sub/Supplier#3:Sub/Supplier

#4:

Invoice and TaskOrder Number (if

applicable)Invoice

DateInvoice

Paid Date Amount Paid Amount Paid Amount Paid Amount Paid Amount Paid

Total AmountPaid for this

Invoice

$ $ $ $ $ $

$

$

$

$

$

$

$

$

$

$

$

$

GRANDTOTAL

(paid-to-date) $ $ $ $ $ $


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REPORTING PERIOD (Month/Year): TASK ORDER FORM 103 (Page 2)

PrimeContractor

SBE SUBCONTRACTORS/SUPPLIES

Sub/Supplier#1:

Sub/Supplier#2:

Sub/Supplier#3:

Sub/Supplier#4:

Task Order Number

Period ofPerformanc

eAwardDate

AwardAmount

Task OrderAmount

Task OrderAmount

Task OrderAmount

Task OrderAmount

Task OrderAmount

Total AmountFor Each Task

Order

$

$

$

$

$

$

$

$

$

$

$

$

$

GRAND TOTAL (paid-to-date)$ $ $ $ $ $


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Attachment “D”BID LETTER

HONORABLE CHAIRMAN AND MEMBERS OF THELOS ANGELES COUNTY METROPOLITAN TRANSPORTATION AUTHORITYONE GATEWAY PLAZALOS ANGELES, CA 90012-2952

SUBJECT: INVITATION FOR BIDS FOR CONTRACT NO. IFB MA54516, KIT, ROUTER,WIRELESS

In response to the above-referenced Invitation For Bids (IFB) and in accordance with theaccompanying Instructions to Bidders, the Bidder hereby commits to the Los Angeles CountyMetropolitan Transportation Authority (Metro) to perform the Work in accordance with theprovisions of the Bid Level Contract Documents and any amendment thereto and at the pricesstated opposite the respective items set forth in the form entitled SCHEDULE OF QUANTITIESAND PRICES, included and made a part of the Contract.

OUR OFFER IS AFFIRMED HERETO. Attached are three (3) complete copies of my bidsubmittal. It is understood that Metro’s specifications and conditions set forth in the solicitationdocuments form a part of our offer. The Bidder agrees that the Bid constitutes a firm offer thatcannot be withdrawn for 120 calendar days from the bid opening or until the Contract for theWork is fully executed between Metro and a third party, whichever is earlier.

If awarded a Contract, the Contractor shall proceed with the Work upon receipt of a Notice toProceed in accordance with Article entitled NOTICE TO PROCEED of the General Conditions.

In addition to the formal certifications provided in the following, the Bidder certifies that it has:

1. Examined and is fully familiar with all of the provisions of the IFB Documents andany amendment thereto;

2. Satisfied itself as to the requirements of the Contract, the nature and location of theWork, the general and local conditions to be encountered in performance of theWork, and all other matters that can in any way affect the Work and/or the costthereof;

3. Examined the experience, skill and certification requirements specified in theStatement of Work and that the entities (Bidder, Subcontractor, Supplier)performing the Work under the Contract fulfill the specified requirements; and

4. Carefully reviewed the accuracy of all statements and figures shown in the Bid andattachments hereto.

Therefore, the undersigned hereby agrees that Metro will not be responsible for any errors oromissions in the Bid.


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The undersigned acknowledges receipt, understanding and full consideration of the following amendmentto the Contract Documents:

Amendment No(s):

The Bidder further certifies that:

1. The only persons, firms, corporations, Joint Ventures/partnerships, and/or other partiesinterested in the Bid as principals are those listed as such in the SCHEDULE OFQUANTITIES AND PRICESs; and that,

2. The Bid has been prepared without collusion with any other person, firm, corporation, JointVenture/partnership, and/or other party.

(Joint Ventures/partnerships are to provide a signed copy of their agreement with their bid)

Bidder's Name:

Business Address:

Contractor's License No.:

License Expiration Date:

Classification Type:

Phone:_______________ Email:_______________

Signature of Authorized Official

Type or Print Name

Title

Date


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ACKNOWLEDGMENT

A notary public or other officer completing this certificateverifies only the identity of the individual who signed thedocument to which this certificate is attached, and not thetruthfulness, accuracy, or validity of that document.

State of California

County of _____________________________)

On _________________________ before me, _________________________________________(insert name and title of the officer)

personally appeared ______________________________________________________________,who proved to me on the basis of satisfactory evidence to be the person(s) whose name(s) is/aresubscribed to the within instrument and acknowledged to me that he/she/they executed the same inhis/her/their authorized capacity(ies), and that by his/her/their signature(s) on the instrument the person(s),or the entity upon behalf of which the person(s) acted, executed the instrument.

I certify under PENALTY OF PERJURY under the laws of the State of California that the foregoingparagraph is true and correct.

WITNESS my hand and official seal.

Signature ______________________________ (Seal)


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Attachment “E”

IFB MA54516KIT – ROUTER, WIRELESS

Los Angeles CountyMetropolitan Transportation AuthorityCONTRACTOR PRE-QUALIFICATION APPLICATION

Other Than Construction Projects

If this Application is being submitted in response to a Request For Proposal (RFP), InvitationFor Bid (IFB), or other procurement action, please reference the RFP or IFB name and numberin the spaces provided below.

If this Application is not in response to a specific contracting action and is being submitted forgeneral purposes, please write “GENERAL” in the "Name of Procurement" space.

Name of Procurement:

RFP or IFB Number:

Name of Applicant Firm:

Date Submitted:

Preparer’s Name:

THIS PAGE MUST BE COMPLETED AND INCLUDED WITH THE APPLICATION

READ THE INSTRUCTIONSBEFORE FILLING OUT THE QUESTIONNAIRE


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PRE-QUALIFICATION APPLICATION INSTRUCTIONS

1. This is a Pre-Qualification Application for the Los Angeles County MetropolitanTransportation Authority (LACMTA). There are two different applications to be used forfirms seeking contracts of $100,000 or greater with the LACMTA.

2. Which application should you use? Use the Construction Related Projects application ifyou are a construction company that will be bidding on any type of construction work. Usethe Other than Construction Projects application if you are an engineering firm, consultant,legal firm, product vendor, or other business entity seeking a contract with LACMTA for thefurnishing of goods or services.

3. The application should be completed by a person in the firm who is knowledgeable of andduly authorized to attest to the past and present operations of the firm and its policies. Acorporate officer of the firm, owner or partner, as appropriate, must sign the Pre-Qualification Certification form (or Validation form if the firm is already approved).

4. All questions must be answered completely and any Yes answers must be fully explained.Disclaimers, general statements with global qualifications, or notations of Not Applicable(N/A) are not acceptable. Please note that a Yes answer to any question does notautomatically result in denial of pre-qualification for a particular procurement.

DEFINITIONS

1. Affiliate is defined as any one of the following: (1) any Firm other than Applicant Firmwhich owns 25% or more of Applicant Firm, such as parent companies or holdingcompanies; (2) a subsidiary or a Firm in which Applicant Firm owns 25% or more; (3) a Firmin which a major stockholder or owner of Applicant Firm owns controlling interest; (4) a Firmwith which Applicant Firm has or has had an unseverable business or professional identity,and (5) any permanent or temporary common business enterprise relationship in which theparties share operating responsibility and profits such as joint ventures.

2. Key Person – For purposes of pre-qualification a key person is (1) any person in ApplicantFirm who owns 10% or more of the Firm and/or those who make decisions with respect toits operations, finances, or policies, such as the President, CEO, CFO, COO, and, in thecase of partnerships, the General Partner(s); (2) Corporate Secretaries and Treasurers, aswell as Directors, if they meet criteria #1, above; (3) Division or Regional BusinessManagers who operate away and independently from the Applicant Firm, but only if thedivision or regional office is bidding directly with the LACMTA.

APPLICATION SUBMITTAL

Do not submit applications with bid or proposal, mail or deliver them to:

LACMTA Pre-Qualification Office8

thFloor

One Gateway PlazaLos Angeles, CA 90012-2952

If you have questions, call the Pre-Qualification Office at (213) 922-4130.


125

Applicant Firm:

Tax ID No. or SSN:

SECTION I: IDENTIFICATION

1. Identification Of Applicant Firm

A. _____________________________________________________________________________Name of Applicant Firm

B. _____________________________________________________________________________Address City State Zip Code

C. _____________________________________________________________________________(Mailing Address, if different from above)

D. _____________________________________________________________________________(If doing business with the LACMTA under a DBA or other name, include legal name of thecompany and Tax ID No., if different)

E. Primary Company Telephone No. ( )_________________ Fax No. ( )_________________

F. Applicant Firm's Contact Person for Pre-Qualification Office follow-up:

_____________________________________________________________________________Print or Type Name Position E-Mail Telephone Number

G. Has the Applicant Firm changed its address or has the Firm or its owner operated under anyother name(s) including other DBAs in the past five years? If yes, explain fully on a separatesheet of paper.

No Yes

H. Type of business organization: ___________________________________________________

YEAR organization established: _____________ NUMBER of current employees: __________

Sole Proprietor Corporation[Date and State of Incorporation _______________]

Limited Liability Corporation (LLC)(Date and State of Incorporation ___________________________________________

Limited Partnership (LP) Limited Liability Partnership (LLP)

General Partnership (GP)

[Date and State of Partnership filing ______________________________________________]

Other (describe) _____________________________________________________________


126

Applicant Firm:

Tax ID No. or SSN:

I. List general type of business in which Applicant Firm is engaged (may include more than one).Attach copies of business licenses, if appropriate:

J. List type of product or service to be provided to the LACMTA.

SECTION II: OWNERSHIP/MANAGEMENT, PROJECT TEAM MEMBERS, ANDRELATED ENTITIES

1. Owners/Key Persons (Pres, CEO, COO, CFO, etc)

List Owners and Key Persons of Applicant Firm. For large publicly traded companies, list only KeyPersons. (See DEFINITIONS for clarification if necessary.)

Full Legal Name Title

Social SecurityNo. (last fourdigits only)

% OfOwnership

[Use additional sheets if necessary]

2. Affiliations

A. List Affiliates, subsidiaries, holding companies, joint ventures, etc., of Applicant Firm. If noaffiliates, state NONE. N/A is not an acceptable answer. Provide organizational, geographicalor functional chart, if it would assist in clarifying the line(s) of authority. (See DEFINITIONS forclarification if necessary.)

Affiliate Name & Address Tel. # % Owned Top Executive’s Name*Type ofRelation

*Type of Relationship: 1. Joint Venture (JV), 2. Parent Co (PC), 3. Holding Co (HC), 4. Subsidiary(S), 5. Other (O), please explain.


127

Applicant Firm:

Tax ID No. or SSN:

B. At any time during the past five years have any Owners or Key Persons of Applicant Firm (if yes,explain fully):

1. Served as Key Person, Officer or Director, in any other Firm not affiliated with applicantFirm? If so, please explain in a separate sheet.

No Yes

2. Had any ownership interest in any other Firm other than shares of publicly ownedcompanies? If so, please explain in a separate sheet.

No Yes

SECTION III: CIVIL ACTIONS

If “Yes” to Sections III, IV, or V, provide details including a brief summary of cause(s) of action,indicate if Applicant Firm, Key Person or Affiliate Firms were plaintiffs (P) or defendants (D);define charges explicitly, by what authority, court or jurisdiction, etc. In the case of tax liens,please indicate whether the liens were resolved with the tax authorities. Please submit proof ofpayment or agreements to pay the liens.

Complete details are required.

1. Violations Of Civil LawIn the past five years has Applicant Firm, any of its Key Persons, or any Affiliate been the subject ofan investigation of any alleged violation of a civil antitrust law, or other federal, state or local civillaw?

No Yes

2. Lawsuits With Public AgenciesAt the present time is, or during the past five years has the Applicant Firm, any of its Key Persons, orany Affiliate been a plaintiff or defendant in any lawsuit regarding services or goods provided to theLACMTA or to a public agency?

No Yes

3. BankruptcyDuring the past five years, has the Applicant Firm or any Affiliate filed for bankruptcy orreorganization under the bankruptcy laws?

No Yes

4. Tax LiensDuring the past five years, has the Applicant Firm been the subject of a tax lien by federal, state orany other tax authority?

No Yes


128

Applicant Firm:

Tax ID No. or SSN:

SECTION IV:COMPLIANCE WITH LAWS AND OTHER REGULATIONS

1. Criminal

In the past five years has the Applicant Firm, any of its principals, officers, or Affiliates beenconvicted or currently charged with any of the following:

A. Fraud in connection with obtaining, attempting to obtain, or performing a public contract,agreement or transaction?

No Yes

B. Federal or state antitrust statutes, including price fixing collusion and bid rigging?No Yes

C. Embezzlement, theft, forgery, bribery, making false statements, submitting false information,receiving stolen property, or making false claims to any public agency?

No Yes

D. Misrepresenting minority or disadvantaged business entity status with regard to itself or one of itssubcontractors?

No Yes

E. Non-compliance with the prevailing wage requirements of the California or similar laws of anyother state?

No Yes

F. Violation of any law, regulation or agreement relating to a conflict of interest with respect to agovernment funded procurement?

No Yes

G. Falsification, concealment, withholding and/or destruction of records relating to a publicagreement or transaction?

No Yes

H. Violation of a statutory or regulatory provision or requirement applicable to a public or privateagreement or transaction?

No Yes

I. Do any Key Persons in Applicant Firm have any felony charges pending against them that werefiled either before, during, or after their employment with the Applicant Firm?

No Yes

2. Regulatory ComplianceIn the past five years, has Applicant Firm, any of its Key Persons, or Affiliates:

A. Been cited for a violation of any labor law or regulation, including, but not limited to,child labor violations, failure to pay wages, failure to pay into a trust account, failure toremit or pay withheld taxes to tax authorities or unemployment insurance taxdelinquencies?

No Yes


129

Applicant Firm:

Tax ID No. or SSN:

B. Failed to comply with California corporate registration, federal, state or local licensingrequirements?

No Yes

C. Had its corporate status, business entity’s license or any professional certification, suspended,revoked, or had otherwise been prohibited from doing business in the State of California, in thelast three years?

No Yes

D. During the past five years, has Applicant Firm or any of its Key Persons had anycertificates or certifications revoked or suspended, including disadvantaged-, minority-,or woman-owned business certifications?

No Yes

E. Been suspended, debarred, disqualified, or otherwise declared ineligible to bid?No Yes

SECTION V: ETHICS

1. Conflict Of Interest

A. Does the Applicant Firm or any of its Key Persons have any existing relationships that could beconstrued as either personal or organizational conflicts of interest, or which would give rise to aconflict if Applicant Firm should be a recipient of a contract with the LACMTA?

No Yes

B. Has any Owner, Key Person or Project Team member of Applicant Firm ever (if yes explainfully):

1. Been an employee of the LACMTA, or served as a Member of the LACMTA Board ofDirectors or as an Alternate?

No Yes

2. Been related by blood or marriage to an LACMTA employee, LACMTA Board Member orAlternate?

No Yes

2. Political, Charitable, And Other Contributions

Has the Applicant Firm, any of its Key Persons, or Affiliates ever, regardless of amount:

A. Given (directly or indirectly), or offered to give on behalf of another or through another person,money, contributions (including political contributions), or other benefits, to any current LACMTABoard Member or Alternate?

No Yes

B. Given, or offered to give on behalf of another, money, contributions, or other benefits, directly orindirectly, to any current or former LACMTA employee?

No Yes


Applicant Firm:

Tax ID No. or SSN:

C. Been directed by any LACMTA employee, Board member or Alternate Board member, orcontractor to offer or give money, contributions or other benefits, directly or indirectly, to anycurrent or former LACMTA employee, Board member or alternate Board member?

No Yes

D. Directed any person, including employees or subcontractors, to give money, contributions orother benefits, directly or indirectly, to any current or former LACMTA employee, Board member,Alternate Board member, or to someone else in order to benefit an LACMTA employee, Boardmember, or Alternate Board member?

No Yes

E. Been solicited by any LACMTA employee, Board member, or Alternate Board member to makea contribution to any charitable nonprofit organization?

No Yes

IF YES TO ANY OF THE ABOVE, SUBMIT LIST OF CONTRIBUTIONS AND FULL DETAILS.

SECTION VI:ADDITIONAL DOCUMENTATION REQUIRED

Copies of the following documents are to be submitted with this application:

1. Applicant Firm’s Current Local Business Licenses, if required by city, county or state, and

2. Applicant Firm’s Financial Statements (see specific requirements below):

A. PUBLICLY TRADED COMPANIES: Financial information will be accessed on-line. However, ifadditional information is needed, it will be specifically requested from the firm.

B. NON-PUBLICLY TRADED COMPANIESSTATEMENTS: Statements, including baincome, with footnotes, for the most recen

C. NON-PUBLICLY TRADED COMPANIESSTATEMENTS: Company generated finaearnings and retained income for the moscorporation, a partner, or owner, as appro

D. SOLE PROPRIETORSHIPS: Refer to C.out and sign the Financial Statement formrecent three years.

NOTE: The LACMTA reserves the right to askrequired to make a determination of integrity athe Applicant Firm will provide to the LACMTA

130

WITH AUDITED OR REVIEWED FINANCIALlance sheet, statement of earnings and retainet three years.

WITHOUT AUDITED OR REVIEWED FINANCncial statements, including balance sheet, stat recent three years. The Chief Financial Officpriate, must certify these financial statements.

If financial statements are not generated, plea(page 9). Submit one form for each of the m

for additional documentation if it is reasonnd responsibility relevant to the goods orif awarded a contract.

d

IALtement ofer of the

se fillost

ablyservices


131

FINANCIAL STATEMENT

To be completed by Applicant Firms that do not produce company generated financialstatements, including balance sheet, statement of earnings and retained income for the mostrecent three years (one sheet per year.)

ASSETSCash on Hand and in Banks $____________________Account and Notes Receivable $____________________Fixed Assets (net of depreciation) $____________________Other Assets $____________________

Total Assets $____________________

LIABILITIESAccounts Payable............................................................................................$____________________Notes Payable to Banks in next twelve months ............................................$____________________Notes Payable to Others .................................................................................$____________________Taxes Payable .................................................................................................$____________________

Long Term Liabilities (More than twelve months) $____________________

Other Liabilities $____________________

Total Liabilities $____________________

Net Worth $____________________

INCOME FROM OPERATIONSRevenue $____________________Interest from Bank Accounts $____________________

Cost of Goods Sold (if appropriate) $____________________

Gross Profit $____________________

General & Administrative Expenses $____________________Depreciation ....................................................................................................$____________________Interest Paid.....................................................................................................$____________________Net Gain or Loss .............................................................................................$____________________

This information is provided for pre-qualification purposes only. It is considered a confidentialdocument not subject to public disclosure under California law.

I hereby certify that the above information is true and accurate to the best of my knowledge andbelief. I understand false statements may result in denial of pre-qualification, and possibledebarment for a period of five years.

___________________________________________ _______________________________Signature of Owner or Officer Date Signed

___________________________________________ _______________________________Company Name For the Year Ended

________________________________Federal ID #


132

Date YearMonth

Name of Signer

Applicant Firm:

Tax ID No. or SSN:

PRE-QUALIFICATION CERTIFICATION

A COPY OF THIS CERTIFICATION MUST BE COMPLETED AND SIGNED BY A GENERALPARTNER, OWNER, PRINCIPAL OR CORPORATE OFFICER AUTHORIZED TO LEGALLY COMMIT

THE APPLICANT FIRM, AND SUBMITTED WITH THE APPLICATION.

The signer of this declaration recognizes that the information submitted in the questionnaire herein is for theexpress purpose of inducing the LACMTA to award a contract, or to allow the Applicant to participate in LACMTAprojects as contractor, subcontractor, vendor, supplier, or consultant. The signer has read and understands therequirements of the program, and has read and understands the instructions for completing this form.

DECLARATIONState of: __________________County of: _________________

I, (printed name)___________________________________, Social Security Number (last four digits) __________,being first duly sworn, state that I am the (title)______________________________________ of Applicant Firm. Icertify that I have read and understood the questions contained in the attached Application, and that to the best ofmy knowledge and belief all information contained herein and submitted concurrently or in supplemental documentswith this Application is complete, current, and true. I further acknowledge that any false, deceptive or fraudulentstatements on the Application will result in denial of pre-qualification.

I authorize the LACMTA to contact any entity named herein, or any other internal or outside resource, for thepurpose of verifying information provided in the questionnaire or to develop other information deemed relevant bythe LACMTA.

Signature of Certifying Individual Date

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Subscribed and sworn to (or affirmed) before me this _________day of

___________________________________,

by _____________________________________. Personally known to me, or Proved to me on the basis of

satisfactory evidence to be the person who appeared before me.

___________________________________________Signature of Notary Public

Place Notary Seal Above

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

NOTICE TO APPLICANTSA material false statement, omission or fraudulent inducement made in connection with this pre-qualification application is sufficientcause for denial of the application or revocation of a prior approval, thereby precluding the applicant Firm from doing business with, orperforming work for, the LACMTA, either as a vendor, prime contractor, subcontractor, consultant or subconsultant for a period of fiveyears. In addition, such false submission may subject the person and/or entity making the false statement to criminal charges. (Title 18USC 1001, false statements; California Penal Code Section 132, offering altered or antedated or forged documents or records; andSection 134, preparing false documentary evidence].

NOTE: Applicant information submitted to the LACMTA in connection with pre-qualification is considered confidential. Allsuch applicant information is confidential business information and will be afforded protection to the fullest extent permitted bylaw.


133

Applicant Firm: __________________________Tax ID No. or SSN: _______________________

LACMTA PRE-QUALIFICATION VALIDATION

A copy of this VALIDATION must be completed and signed by at least one General Partner,Owner, Principal or Officer authorized to legally commit the Applicant Firm.

RFP or IFB Name and Number: __________________________________________________________________

DECLARATION

I, (printed full name)_________________________________, Social Security Number _______________ beingfirst duly sworn, hereby declare that I am the (position or title) __________________________________of (Firmname) ______________________________ , and that I am duly authorized to execute this Validation Statement onbehalf of this entity. I acknowledge that any false, deceptive or fraudulent statements on this validation will result indenial of pre-qualification. I hereby state:

the Pre-Qualification Application dated on file with LACMTAis correct and current as submitted.

OR

the Pre-Qualification Application dated on file with LACMTAis correct and current as submitted, except as modified by the attached changedpages and/or attachments to said Application. (Applicant may attach additionalsheets to describe changes). Attach recent financial statements if previous aremore than one year old.

Signature of Person Certifying for Applicant Firm Date

~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~

Subscribed and sworn to before me this _______day of ________________________________,

(Notary Seal or Stamp)

___________________________________________Notary Public Signature

My Commission expires ______________________

NOTICE TO APPLICANTSA material false statement, omission or fraudulent inducement made in connection with this pre-qualification application is sufficient cause for denialof the application or revocation of a prior approval, thereby precluding the applicant Firm from doing business with, or performing work for, theLACMTA, either as a vendor, prime contractor, subcontractor, consultant or sub-consultant for a period of three years. In addition, such falsesubmission may subject the person and/or entity making the false statement to criminal charges. (Title 18 USC 1001, false statements; CaliforniaPenal Code Section 132, offering altered or antedated or forged documents or records; and Section 134, preparing false documentary evidence).

NOTE: Applicant information submitted to the LACMTA in connection with pre-qualification is considered confidential. All such applicantinformation is confidential business information and will be afforded protection to the fullest extent permitted by law.

Validation Submittal Do not submit validations with bid or proposal, mail or deliver them to:LACMTA Pre-Qualification Office8th FloorOne Gateway PlazaLos Angeles, CA 90012-2952


134

ATTACHMENT “F”

BID NO. MA54516

LOS ANGELES COUNTY METROPOLITAN TRANSPORTATION AUTHORITY

PALLETIZING AND PACKAGING REQUIREMENTS

Material must be palletized within the measurement of 46” wide x 46” length x 42” tall.Deliveries on pallets outside this foot print will be rejected and redelivered per thefootprint, or the vendor will re-palletize the shipments on MTA pallets at time of delivery.

Each pallet must contain its own individual packing slip with P.O. number.

Purchase Order number(s) must be listed on the bill of lading.

One packing slip is required for each Purchase Order. Multiple purchase orders on asingle packaging slip will be refused.


135

Attachment GSpecification Compliance Matrix

IFB No. MA54516BIDDER’S NAME:__________________________________ Specification No. 191717

IFB No. MA54516

Instructions for completing this form.

A. State your company name in the “Bidder” field above.

B. Submit your bid with column “C” completely filled out. Respond to all specified line items below

with a “Comply” or “Non-Compliant”. For example:

A B C

1.2.1 SINGLE ENCLOSURE COMPLY

1.2.2 MOUNTING COMPLY

C. If deviation/exception is taken to this specification, please state the reason, such as “model

change by factory”, or “Discontinued model”, etc.

By submitting your bid, you are agreeing to supply an item(s) in full compliance with Part IIITechnical Specification of this IFB. DO NOT modify or explain your bid as it may render yourbid non-responsive.

A B CTECHNICAL

SPECIFICATIONREFERNCE PARA NO.

TECH SPEC PARAGRAPH’STITLE/DESCRIPTION

INDICATE COMPLIANCE TO THESPECIFICATION PARAGRAPHREQUIREMENT

1.0 OVERVIEW1.1 GOALS1.2 MECHNICAL REQUIREMENTS1.2.1 SINGLE ENCLOSURE1.2.2 MOUNTING1.2.3 SIZE1.2.4 WEIGHT1.2.5 MATERIAL1.2.6 FULLY ENCLOSED1.2.7 LOCKING CONNECTORS1.3 ELECTRICAL & ENVIRONMENTAL

REQUIREMENTS1.3.1 TEMPERATURE1.3.2 SHOCK1.3.3 VIBRATION1.3.4 INGRESS PROTECTION1.3.5 POWER SUPPLY1.3.5.1 VOLTAGE


136


IFB No. MA54516A B C

TECHNICALSPECIFICATION

REFERNCE PARA NO.


INDICATE COMPLIANCE TO THESPECIFICATION PARAGRAPH

REQUIREMENT1.3.5.2 IGNITION SENSING1.3.5.3 BATTERY PROTECTION1.3.5.3.1 VOLTAGE SHUTDOWN PROTECTION1.3.5.3.2 UNDER VOLTAGE PROTECTION1.3.5.3.3 VOLTAGE HYSTERESIS PROTECTION1.3.5.3.4 TEMPERATURE PROTECTION

1.3.5.4 IMMUNITY TO CONDUCT TRANSIENTS1.3.6 EXTERNAL CONTROLS1.3.7 EXTERNAL INDICATORS1.4 NETWORKING REQUIREMENTS1.4.1 MULTI-NETWORK WIDE AREA WIRELESS

ACCESS1.4.1.1 CELLULAR1.4.1.2 COMMERICAL CARRIER SUPPORT1.4.1.3 NETWORK OPERATOR SWITCHING FOR

EMBEDDED CELLUAR MODEMS1.4.1.3.1 AUTOMATIC CARRIER DETECTION1.4.1.3.2 CONFIGURABLE CARRIER SWITCHING1.4.1.3.3 CONFIGURABLE CELLUAR PARAMETERS1.4.1.4 WI-FI WAN ACCESS1.4.1.4.1 MULTIPLE WI-FI PROFILES1.4.1.4.2 WI-FI CLIENT RADION PROBE1.4.1.4.3 WI-FI CLIENT AFFINITY CAPABILITY1.4.1.4.4 WI-FI PROFILE SPECIFICITY1.4.1.5 EXTERNAL WIRELESS MODEMS1.4.1.6 SATELLITE MODEM1.4.1.7 MULTI-NETWORK OPERATION1.4.1.7.1 MULTI-NETWORK SWITCHING POLICIES1.4.1.7.2 MULTI-NETWORK SWITCHING

PARAMETERS1.4.1.7.3 MULTI-NETWORK SWITCHING POLICY

AGGREGATION1.4.1.7.4 MULTI-NETWORK SWITCHING POLICY

HYSTERESIS CONTROL1.4.1.8 ROUTING1.4.1.8.1 STATIC DESTINATION ROUTING1.4.1.8.2 STATIC SOURCE ROUTING FROM LAN TO

WAN1.4.1.8.3 EVENT BASED ROUTING CHANGES


137




REFERNCE PARA NO.



REQUIREMENT1.4.1.8.4 LOAD BALANCING1.4.1.9 TRAFFIC FILTERING1.4.1.9.1 TRAFFIC FILTERING SPECIFICITY1.4.1.9.2 TRAFFIC FILTERING AGGREGATION1.4.1.9.3 TRAFFIC FILTERING OVER VPN

1.4.1.10 QUALITY OF SERVICE MANAGEMENT1.4.1.11 MODEM HARDWARE UPGRADES1.4.1.12 INTERNAL MODEM FORM FACTORS1.4.1.13 RF ANTENNA CONNECTION1.4.1.14 MODEM CAPACITY1.4.1.15 SIM TRAYS1.4.1.16 NETWORK STATUS BEACON1.4.1.16.1 SIMPLE NETWORK STATUS BEACON1.4.1.16.2 ADVANCED NETWORK STATUS DISPLAY1.4.1.16.3 ADVANCED NETWORK STATUS BEACON1.4.2 MOBILE ACCESS POINT1.4.2.1 WI-FI ACCESS POINT1.4.2.2 WI-FI ACCESS POINT POWER1.4.2.3 CONDITIONAL ACCESS POINT

SHUTDOWN1.4.2.4 MULTIPLE SSID1.4.2.5 MULTIPLE ACCESS POINTS1.4.2.6 SSID CONFIGURATION1.4.2.7 PASSENGER WI-FI PORTAL1.4.2.7.1 CAPTIVE PORTAL SECURITY1.4.2.7.2 INTEGRATED CAPTIVE PORTAL1.4.2.7.3 INTEGRATED CAPTIVE PORTAL

CUSTOMIZATION1.4.2.7.4 INTEGRATED CAPTIVE PORTAL UPDATES1.4.2.7.5 ADVANCED CAPTIVE PORTAL AGENT1.4.2.8 CONTENT FILTERING1.4.2.8.1 CONTENT FILTERING PROXY

1.4.3 WIRED CONNECTIONS1.4.3.1 SERIAL1.4.3.2 ETHERNET1.4.3.2.1 ETHERNET CONFIGURATION1.4.3.2.2 ETNERNET WAN CONFIGURATION1.4.3.2.3 ETHERNET LAN CONFIGURATION1.4.3.3 USB


138




REFERNCE PARA NO.



REQUIREMENT1.4.3.4 GENERAL PURPOSE INPUTS1.4.3.5 GENERAL PURPOSE INPUTS1.4.4 SECURE ACCESS1.4.4.1 ADMINISTRATIVE USER1.4.4.2 READ-ONLY USER1.4.5 DCHP SERVER1.4.6 NETWORK TIME PROTOCOL SERVER1.4.7 DYNAMIC DNC CLIENT1.4.8 NETWORK ADDRESS TRANSLATION1.4.9 VLAN SUPPORT

1.4.10 LAN SUBNETWORK SUPPORT1.4.10.1.1 CENERAL LAN SUNETWORK CAPABILITIES1.4.10.1.2 INDIVIDUAL LAN SUBNETWORK

CAPABILITIES1.4.11 LAN DATA MONITORING1.4.12 ENCRYPTED VPN1.4.12.1 IPSEC CLIENT CAPABILITY1.4.12.2 FIPS-140-2 SUPPORT1.4.12.3 IKE SUPPORT1.4.12.4 MOBIKE SUPPORT1.4.12.5 VPN MODALITY1.4.13 WI-FI LAN SECURITY1.4.13.1 WI-FI LAN ACCESS SECURITY1.4.14 WI-FI WAN ACCESS SECURITY1.4.15 GPS RECEIVER1.4.15.1 RECEIVER CAPABILITY1.4.15.2 LOCAL GPS DATA REPORTING1.4.15.3 LOCAL GPS SERIAL DATA REPORTING1.4.15.4 GPS REMOTE LOCATION REPORTING1.4.15.5 EXTERNAL GPS SUPPORT1.4.16 DATA STORAGE1.4.17 INCLUDED DIAGNOSTIC TOOLS1.4.18 CUSTOMIZATION API1.4.19 CONFIGURATION BACKUP & RESTORE1.4.20 LOCAL GATEWAY SOFTWARE UPGRADE1.4.21 INTERFACE IDENTIFICATION1.4.22 TELEMATICS1.4.22.1 CONFIRGURATION TELEMATICS

PARAMETERS


139




REFERNCE PARA NO.



REQUIREMENT

2.0 GATEWAY MANAGEMENTCAPABILITIES

2.1 PERFORMANCE LOGGING2.1.1 MANAGEMENT DATA COLLECTION2.1.2 DIAGNOSTIC LOGGING2.1.3 CONFIGURABLE MANAGEMENT DATA

REPORTING2.1.4 OVER-THE-AIR SOFTWARE UPGRADES2.1.5 SOFTWARE CONFIGURATION UPDATES2.1.6 SECURE DATA TO MANAGEMENT SYSTEM2.1.7 SECURE REMOTE ACCESS

3.0 GATEWAY MANAGEMENT SYSTEM3.1 HOSTED SERVICE & ENTERPRISE

APPLIANCE3.2 GENERAL DISPLAY & REPORTING

REQUIREMENTS3.2.1 GATEWAY ACCESS PARTITIONING3.2.2 GATEWAY STATIC & DYNAMIC MAP3.2.3 GATEWAY STATUS DISPLAY3.2.4 STATUS EXCEPTION REPORTING3.2.5 MASS CONFIGURATION3.2.6 LOCATION-BASED REPORTING &

LOGGING3.2.7 SECURITY VNC REACH THROUGH3.3 NETWORK MANAGEMENT REPORTS

4.0 MOBILE VPN SERVER4.1 HOSTED SERVICE & ENTERPRISE

APPLIANCE4.2 IPSEC CAPABILITY4.3 IPSEC PROVISIONING4.4 IPSEC DIAGNOSTICS4.5 RELIABILITY4.6 FAST SWITCHING & MULTI-NETWORK

SUPPORT

5.0 VENDOR SUPPLIED SERVICES


140




REFERNCE PARA NO.



REQUIREMENT5.1 NEW INITIATIVE CONSULTATION5.2 NETWORK PLANNING CONSULTATION5.3 NETWORK SERVICES5.4 INSTALLATION SERVICES5.5 WARRANTY5.6 SUPPORT5.7 FIRST ARTICLE INSPECTION5.7.1 FIRST ARTICLE REQUIREMENT5.7.2 FIRST ARTICLE REQUIREMENT5.7.3 FIRST ARTICLE REQUIREMENT5.7.4 FIRST ARTICLE REQUIREMENT