REQUEST FOR PROPOSALS ISSUED BY THE CITY OF EL PASO PURCHASING & STRATEGIC SOURCING DEPARTMENT
SOLICITATION NO: 2019-257R DATE ISSUED: OCTOBER 02, 2018 TITLE: REPAIR AND MAINTENANCE SERVICES FOR THE EL PASO STREETCAR OVERHEAD CONTACT SYSTEM MASS TRANSIT DEPARTMENT (SUN METRO)
An original, signed, sealed, OFFER to furnish the goods and/or services set forth below will be received at the place indicated below, until: 2:00 PM, local time, WEDNESDAY. OCTOBER 31, 2018
NOTICE When used in Request for Proposals, the terms 'Offer' and 'Proposal' and ‘Offeror’ and 'Vendor' are interchangeable.
ADDRESS OFFERS TO: DIRECTOR PURCHASING & STRATEGIC SOURCING DEPARTMENT CITY OF EL PASO MAIL TO: HAND DELIVER TO:
CITY OF EL PASO OR CITY OF EL PASO PURCHASING & STRATEGIC SOURCING DEPARTMENT PURCHASING, 1ST FLOOR 300 N. CAMPBELL, 1ST FLOOR 300 N. CAMPBELL EL PASO, TX 79901-1153 EL PASO, TX 79901
FOR ADDITIONAL INFORMATION CONCERNING THIS SOLICITATION, CONTACT: Victor A. Caraveo, Procurement Analyst Telephone: [915] 541-1136 Email: [email protected]
EXPIRATION OF OFFERS The Offeror agrees, to furnish all items [supplies or services] at the prices offered, and delivered at the designated point or points, within the time set forth below, if this offer is accepted within ONE HUNDRED TWENTY [120] consecutive days from the date set for the receipt of offers. All offers shall expire on the 120th day after the offers are open unless the City of El Paso requests an extension of the offers in writing and the offeror agrees to extend in writing.
AMENDMENTS TO SOLICITATION Receipt of all numbered amendments to Solicitations must be acknowledged:
AMENDMENT DATED AMENDMENT DATED AMENDMENT DATED AMENDMENT DATED
A001 ______A002 ______A003 ______A004 ______
A005 ______A006 ______A007 ______A008 ______
OFFER SUBMITTED BY
______COMPANY NAME AS IT APPEARS ON ORGANIZATION CERTIFICATE ISSUED BY STATE IN WHICH COMPANY WAS ORGANIZED)
______STREET ADDRESS P.O. BOX NUMBER
______CITY, STATE AND ZIP CODE
______&______TELEPHONE NUMBER FAX NUMBER
______PLEASE CHECK PREFERRED ADDRESS FOR RECEIVING SOLICITATION DOCUMENTS. E-Mail address OFFER EXECUTED BY [PLEASE PRINT]
______NAME AND TITLE OF PERSON AUTHORIZED TO OBLIGATE COMPANY
______SIGNATURE AND DATE OF OFFER
WITHOUT AN ORIGINAL SIGNATURE ON THIS OR OTHER DOCUMENT BINDING THE OFFEROR, THE OFFER WILL BE REJECTED
NOTE: AWARD OF THE CONTRACT RESULTING FROM THIS SOLICITATION WILL BE MADE TO THE SUCCESSFUL OFFEROR BY AN AUTHORIZED WRITTEN NOTICE, WHICH MAY BE IN THE FORM OF A LETTER NOTICE OF AWARD OR A PURCHASE ORDER ISSUED BY THE CITY OF EL PASO. THIS IS A ONE TIME CONTRACT
CITY OF EL PASO, TEXAS
RFP: 2019-257R
REQUEST FOR PROPOSALS
FOR
REPAIR AND MAINTENANCE SERVICES FOR THE EL PASO STREETCAR OVERHEAD CONTACT SYSTEM
DUE DATE: OCTOBER 31, 2018
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Table of Contents PART 1 – GENERAL INFORMATION ...... 5 1.1 Background Information ...... 5 1.2 Solicitation Purpose ...... 5 PART 2 - NOTICES TO PROPOSERS ...... 5 2.1 Public Disclosure Proposal Information ...... 5 2.2 Bid Net Notification ...... 5 2.3 Communications...... 6 2.4 Schedule of Events ...... 10 2.5 Contract Term (Initial and Option Terms)...... 11 2.6 Notices of Instruction to Offerors ...... 11 PART 3 - SCOPE OF WORK ...... 14 3.1 Scope of Work and Minimum Requirements ...... 14 PART 4 – FORMAT ...... 24 4.1 Proposal Format and Structure ...... 24 4.2 Copies Required...... 25 4.3 Proposal Term ...... 26 4.4 Proposal Cost ...... 26 PART 5 - PROPOSAL EVALUATION...... 29 5.1 Evaluation Factors ...... 29 5.2 Evaluation Factor Description ...... 29 5.3 Evaluation and Award Process-General Information ...... 30 PART 6 - MANDATORY SUBMITTALS ...... 32 6.1 Business Information Certification ...... 35 6.2 Non-Collusion and Business Disclosure Affidavit...... 36 6.3 Indebtedness Affidavit ...... 38 6.4 Vendor Forms ...... 40 PART 7 - CONTRACT CLAUSES ...... 46 PART 8 - TITLE VI REQUIREMENT ...... 50 8.1 Title VI Contract Provisions ...... 50 8.2 Appendix A ...... 51 8.3 Required Contract Provisions ...... 52 8.4 FTA Clauses ...... 62 8.5 FTA Required Forms Checklist ...... 69
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PART 1 – GENERAL INFORMATION
1.1 Background Information
The City of El Paso-Mass Transit Department (“Sun Metro”), invites the submission of proposals to emergency on-call services and scheduled maintenance for the Streetcar Overhead Contact System. Coverage will be provided on operating days along the entire route, maintenance facility and corresponding power sub-stations. Initial term will be for three (3) years with a proposed option to extend for one (1) additional two (2) year term.
This is a RFP – Request for Proposals Procurement based on proposed monthly rate for emergency, on call services and scheduled maintenance as per the afore-mentioned. The power required to operate electric rail vehicles over El Paso Streetcar (EPSC) system is delivered through a network of electrical distribution lines and facilities. EPSC's traction power distribution system uses various protective devices to ensure high level of reliability and includes many safeguards and controls to ensure that operations and maintenance employees can work safely and confidently in its vicinity. The EPSC running vehicle power is provided by a network of overhead contact system poles and wires.
1.2 Solicitation Purpose
It is Sun Metro’s intent to award the service offered by this RFP to the qualified and responsive Respondent who offers the best overall proposal for each package in consideration of the Selection Criteria (Section 5), consistent with the terms and conditions of this RFP.
PART 2 - NOTICES TO PROPOSERS
2.1 Public Disclosure Proposal Information
Offerors are cautioned that once a bid is opened, all information contained therein will be available to the PUBLIC unless the information is excepted from the requirements of Government Code Section 552.021 pertaining to Open Records.
The exception that allows the City to protect information that, if released, would give advantage to a competitor or bidder does not apply after the bidding is complete and the contract has been awarded. Trade secrets, commercial or financial background data and privileged or confidential information may be excepted from public inspection. If any information contained in your offer qualifies for an exception because it falls into one of the categories above it should be clearly marked “CONFIDENTIAL” and the basis of your claim of confidentiality should be stated. Data so identified will be maintained as a protected record. Offerors who claim that information contained in a bid should be protected from public disclosure after the award of the contract may be asked to support such claim if the City receives an Open Records request for the information and requests a determination by the Attorney General. [Rev. 04-03-98]
2.2 Bid Net Notification
NOTE: ANY CHANGES IN DUE DATE OR MATERIAL CHANGES FOR ANY RFP’S/SOLICITATIONS WILL BE POSTED ON THE SOLICITATIONS PAGE OF THE CITY OF EL PASO PURCHASING DEPARTMENT’S WEBSITE: http://legacy.elpasotexas.gov/purchasing/ep-invitations.asp
It is the bidder's responsibility to ensure that they have all pertinent information regarding solicitations, including all amendments prior to submitting their offer. Please check the website, even after submitting a bid, to ensure that you have all amendments as they may be posted at any time, up to and including the day of bid opening.
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Recommendation(s) for formal awards shall be posted on the City’s website the Thursday afternoons prior to the Tuesday City Council Meeting wherein the recommendation shall be presented. Vendors are responsible for monitoring the City’s website for said postings and awards
2.3 Communications
2.3.1 Cone of Silence/Anti Lobbying Policy
The City’s Cone of Silence/Anti Lobbying Policy was adopted to ensure a fair and competitive bidding environment by preventing communication between City officials, employees, or representatives and parties involved in the bidding process that could create an unfair advantage to any party with respect to the award of a City contract.
During the period of in which the City has issued a solicitation, including a competitive bid, request for proposal (RFP), request for qualifications (RFQ), highest qualified bid (best value), competitive sealed proposals, design- build, public-private partnership, any other type of solicitation required by law, or the giving of a notice of a proposed project, which shall begin on the day that is advertised and end on the date that the notice of the award has been posted by the City Clerk for placement on the agenda, no person or registrant shall engage in any lobbying activities with City officials and employees.
For an unsolicited or competing proposal for a public-private partnership, the period in which no person or registrant shall engage in any lobbying activities with City officials and employees shall begin on the date that the City receives a notice of intent to submit an unsolicited proposal and end on the date the notice of award has been posted by the City clerk for placement on the agenda.
If contact is required with City employees, such contact will be done in accordance with procedures incorporated into the solicitation document and the City's contracting policies. Any person or entity that violates this provision may be disqualified in accordance with Section 2.94.130 of this chapter. Furthermore, any person who knowingly or intentionally violates the provisions of this policy, with respect to the solicitation or award of a discretionary contract may be prohibited by the City council from entering into any contract with the City for a period not to exceed three years.
The Cone of Silence/Anti Lobbying Policy prohibits any communication or lobbying activities during the Cone of Silence period, by any person, including but not limited to, bidders, lobbyists or consultants of bidders, service providers or potential vendors and any the following:
1. City Staff and City Consultants, including any employee of the City of El Paso, any person retained by the City of El Paso as a Consultant on the project, or any person having participated in the development, design, or review of documents related to the project.
2. City Officials, including the Mayor, Council Representatives and their respective staff.
3. Members of the City’s Selection Committee, whether City employees or outside experts appointed or selected by the City.
The Cone of Silence/Anti Lobbying Policy does not apply to:
1. Questions of Process and Procedure, including oral communications with the Purchasing Director or Bid Administrator, provided the communications are strictly limited to matters of process or procedure already contained in the solicitation document. A minimum of ten days will be provided for questions during solicitation unless otherwise stated in the Solicitation Schedule of Events in the documents.
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2. Pre-Proposal/Pre-Bid Conferences, including oral communications at pre-proposal or pre-bid conferences, oral presentations before selection committees, contract negotiations, and public presentations made to the Mayor and Council Representatives during a duly noticed public meeting.
3. Written Communications, to the Purchasing Analyst/Agent identified in the solicitation.
2.3.2 Wage Theft – The City of El Paso Code – Chapter 3.46
3.46.010 Definition
1. Wage Theft Adjudication occurs when:
Employer is criminally convicted as an employer pursuant to Section 61.019 of the Texas Labor Code for failure to pay wages; or
Injunctive relief is granted in district court under Section 61.020 of the Texas Labor Code against the employer for repeated failures to pay wages as required by Chapter 61 of the Texas Labor Code; or
A wage payment determination order becomes final under Section 61.055 or Section 61.060 of the Texas Labor Code; or
The Texas Workforce Commission assesses an administrative penalty under Section 61.053 of the Texas Labor Code against the employer for acting in bad faith in not paying wages as required by Chapter 61 of the Texas Labor Code; or
Employer is convicted for Theft of Service under Section 31.04 of the Texas Penal Code; or
Court of competent jurisdiction finds that an employer engaged in wage theft.
2. Employee and employer have the meanings by Texas Labor Code, Section 61.001.
3. Wages means compensation owed by an employer for labor or services rendered by an employee, whether computed on a time, task piece, commission or other basis.
4. Wage Enforcement Coordinator shall mean the person designated by the City Manager to receive and investigate claims of wage theft and to create, maintain a Wage Theft database.
5. Wage Theft Complaint means a written complaint filed with the Wage Theft Coordinator alleging any instance of wage theft by an employer.
Section 3.46.020 WAGE THEFT COORDINATOR
A. Appointment. The City Manager shall designate a Wage Theft Coordinator to perform the duties identified in this Section.
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B. Duties. The Wage Theft Coordinator shall:
1. Wage Theft Adjudication Database- the Wage Theft Coordinator shall create and maintain a database of employers located or operating within the City of El Paso who have a Wage Theft Adjudication record. The Wage Theft Database will be created on a “complaint basis” and populated with information provided by third parties. The Wage Theft Coordinator shall be under no obligation to investigate wage theft or to prosecute complaints.
2. Substantiate whether a proposed party to a City Contract has a Wage Theft Adjudication record or part of the Wage Theft Adjudication Database.
3. Receive, review, and process wage theft complaint according to the process established in Section 3.46.040.
4. Coordinate with the Purchasing Director to ensure that the notice of the City’s Wage Theft ordinance is included in all the City’s bid documents.
5. Provide and present an annual report to City Council regarding the number of employers in the Wage Theft Adjudication Database and an update on the status of the enforcement of the City’s Wage Theft ordinance.
Section 3.46.030 WAGE THEFT ADJUDICATION DATABASE
A. Inclusion in Database. No employer shall be included in the database until the
Wage Theft Coordinator has:
1. Confirmed that an employer has a Wage Theft Adjudication record;
2. Provided written notice at the address provided by the complainant, or on the documents evidencing the wage theft adjudication of the inclusion of the employer in the Wage Theft Adjudication Database.
3. Allowed the employer thirty (30) days from the date of the notice to protest the employer’s inclusion in such database and provide the Wage Theft Coordinator evidence that the employer should not be included in the Wage Theft Adjudication Database. In the case of a wage theft judgment, the Wage Theft Coordinator shall not include the employer in the Database upon proof of full payment of outstanding wage theft adjudication judgment.
B. Identity of Employer. An employer operating as a business entity shall be listed by its corporate name, address and type of business organization. If the employer is an individual, the person’s name, business address, type of business or occupation shall be included.
C. Removal from Database. An employer shall be removed from the database if:
1. A Wage Theft Adjudication has been annulled, withdrawn, overturned, rescinded or abrogated, and such fact has been confirmed by the Wage Theft Coordinator; or
2. Employer provides proof of full payment of an outstanding wage theft adjudication judgment; or
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3. Five (5) years or more has elapsed since the date of the employer’s most recent Wage Theft Adjudication.
Section 3.46.040 Wage Theft Complaints Procedure
A. Non- City Contracts. If no City contract is involved, the Wage Theft Coordinator shall assist persons with wage theft complaints by referring the complaint to the Texas Workforce Commission.
B. City Contracts.
1. Filing a Complaint. A person employed in connection with a city contract who has a good faith belief that he is the victim of wage theft may file a wage theft complaint with the Wage Theft Coordinator in writing. The complaint shall contain fact including but not limited to: identity of the employer, date(s) on or during which the wages were earned and were due to be paid, the amount of the wages alleged to have been withheld or unpaid.
2. Notification and Resolution of the Complaint. The Wage Theft Coordinator shall notify the employer of the receipt of the wage theft complaint. Employer shall attempt to resolve the alleged issue with the affected employee by written agreement within thirty (30) days from the receipt of the City notification. Employer shall notify the Wage Theft Coordinator if the issue was resolved between the Employer and the affected employee.
3. Texas Workforce Commission.
a) If no resolution is achieved, the complainant shall be referred to the Texas Workforce Commission (“Commission”).
b) The Wage Theft Coordinator shall seek to determine status of the complaint at the commission. The Wage Theft Coordinator shall place Employer in the Wage Theft Adjudication Database if it appears that the Commission has made a finding that wage theft occurred.
Section 3.46.050 Retaliation Prohibited
A. No City Contractor shall retaliate against any person who has filed a wage theft complaint pursuant to this Chapter. Retaliation means action to discharge from employment, discipline, or otherwise punish an employee for filing a wage theft complaint in good faith. B. If the Wage Theft Coordinator determines that retaliation has occurred, the Wage Theft Coordinator shall refer the matter to the City Attorney for appropriate action.
Section 3.46.060. Sanctions and Penalties- City Contracts
A. Existing City Agreement.
1. In the event the City becomes aware of the fact an Employer acting under a contract which was awarded prior to the effective date of this Ordinance has been adjudicated for wage theft, the City may terminate the contract.
2. Prior to terminating the contract the City will provide Employer with thirty (30) days’ notice and opportunity to provide full proof of payment of outstanding wage theft adjudication judgment.
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3. The award of future City contracts after termination of an existing contract due to an Employer’s wage theft adjudication shall be managed as a New City Agreement in this section.
B. New City Agreement.
1. In the event the City becomes aware an Employer with a wage theft adjudication record has submitted a bid or proposal for City work prior to the award of a contract, the City shall deem the Employer non-responsible and refuse to enter into a City Agreement with such Employer for a period of five (5) years after the date of final adjudication.
2. Prior to deeming the Employer as non-responsible, the City will provide the Employer with thirty (30) days’ notice and opportunity to provide full proof of payment of outstanding wage theft adjudication judgment.
2.3.3 Request for Clarification
In order to meet the City’s schedule it is extremely important that requests for clarification or additional information be submitted in writing no later than October 17, 2018. Questions submitted after this date may not elicit a response. All proposals or requests for clarification should be sent to the following:
BY E-MAIL IN WRITING (MAIL OR HAND DELIVERY)
Victor A. Caraveo City of El Paso Procurement Analyst Purchasing & Strategic Sourcing Department Email: [email protected] 300 N. Campbell, 1ST Floor El Paso, TX 79901-1153 Attn: Victor A. Caraveo
2.4 Schedule of Events
The following Schedule of Events represents the City’s estimate of the timetable that will be followed in connection with this solicitation:
EVENTS DATE AND/OR TIME
Release Request for Proposal October 2, 2018 Last Day for Offerors to Submit Written Questions October 17, 2018 Answers provided October 24, 2018 Submission of proposals October 31, 2018 Evaluations November, 2018 Presentations & Best & Final Offers (If Requested) November, 2018 Contract Award Date December, 2018
The City reserves the right, at its sole discretion, to adjust this Schedule of Events as it deems necessary. If necessary, the City will communicate adjustments to any event in the Schedule of Events in the form of an amendment. Amendment to this RFP will only be issued and posted on the City’s website at: http://www.elpasotexas.gov/financial_services/invitations.asp
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2.5 Contract Term (Initial and Option Terms) . The successful Respondent(s) shall complete all work hereunder within the terms of the contract. The initial contract period shall be for three (3) years from the Effective Date of the Contract, e.g., the date on which the original Contract is executed by the City of El Paso (the “Initial Term”).
Option Terms The City of El Paso shall have the option to extend the term of the Contract for up to one (1) additional term of two (2) years. The total contract period shall not exceed five (5) years from the City of El Paso RFP #2019-257R effective date of the Contract. The City Manager or designee may extend the option to extend.
Contracting Officer (CO) and Contracting Officer’s Representative (COR) Acceptance of services will be the responsibility of the Contracting Officer (CO), who also serves as City of Paso Purchasing Director, or designee. The Contracting Officer is responsible for final approval and acceptance of all services rendered. Upon contract execution, the Contracting Officer will delegate a Contracting Officer’s Representative (COR) and Department Contracts Administrator(s) (DCAs) to assist with the administration of the resultant Contract.
2.6 Notices of Instruction to Offerors
1. Signature of Offer to person Authorized to Sign
All offers shall bear an original signature, in ink, of a responsible officer or agent of the company. Failure to sign the Offer portion of the Solicitation, Offer and Award form, or to include a substitute signed document binding the offeror, will be the basis for declaring a proposal non-responsive.
2. Effective Period of Proposals
Proposals should expressly state that the offer will remain in effect until at least 120 consecutive days from the date set for the receipt of offers and may be accepted by the City of El Paso at any time on or before such date.
3. Required Number of Copies
Offer (proposal) must be submitted in original form with five (5) additional copies, unless otherwise stated herein.
4. Offer Submission Instructions
Offer must be sealed when presented to the Purchasing & Strategic Sourcing Department. Offers will be received by the City of El Paso until 2:00 P.M., local time, on Wednesday, OCTOBER 31, 2018. Proposals will be publicly opened and the Name of the Offer and the City and State will be read aloud.
5. Addressing Instructions
The envelope containing the offer must be addressed as follows:
City Of El Paso Purchasing & Strategic Sourcing Department 300 N. Campbell, 1st Floor El Paso, Texas 79901-1153 Attn: Director
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Also, write the Request for Proposal Number, Request for Proposal Title, Proposal Title, and Proposal Opening clearly on a visible section of the envelope.
6. Labeling Of Proposals/Bids [Rev 6/15/05]
The Due Date and Solicitation Number must be written on the outside of the package containing the offer. The City Purchasing & Strategic Sourcing Department may open any unlabeled submittal to identify it properly. Offerors are required to identify their package to protect the integrity of their proposals and to fully avail themselves of the evaluation and selection process.
7. Offeror Delivery Responsibility
Proposals received at the Purchasing &Strategic Sourcing Department after the specified date and time will not be accepted. Package delivery services such as FedEx, UPS, etc. deliver packages addressed to the Director of Purchasing directly to the Purchasing & Strategic Sourcing Department. U.S. Postal Service deliveries, including Express Mail, are only delivered to the Mail Room at City Hall and may or may not be delivered by the Mail Room to the Purchasing & Strategic Sourcing Department by the time and place proposals are recorded. The offeror accepts all responsibility for delivering its offer to address stated above within the specified time or the offer will be considered non-responsive and will be mailed back unopened. If the envelope does not reflect a return address, it will be opened for the sole purpose of obtaining the return address.
8. Descriptive Literature
Descriptive literature, where applicable, containing complete scope of services or other information sufficient for the City to determine compliance with the specifications must accompany each proposal, in Duplicate. If an Offeror wishes to furnish additional information more sheets may be added.
The City is not responsible for locating or securing any information that is not identified in the offer and reasonably available to the City, and the City will not be responsible for locating or securing information not included with the offer. In conducting its assessment the City may use data provided by the Offeror and data obtained from other sources, but while the City may elect to consider data obtained from other sources the burden of providing thorough and complete information rests with the Offeror.
9. Offer Documents, Supporting Literature and Related Data
Related data, where applicable, will be made part of the proposal. All documents, literature and related data submitted as an offer become the property of the City of El Paso.
10. Alternate Offers
The City of El Paso is not accepting alternate proposals for review, evaluation and/or consideration.
11. Solicitation Changes or Clarifications
Requests for changes or clarifications to this solicitation are welcomed by the Purchasing Department for its consideration, provided the requests are in writing and received by October 17, 2018. Requests received after that time may not elicit a response. Refer to Requests For Clarification in Communication Section for more details.
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12. Acknowledgement of Solicitation Amendments All Amendments will be acknowledged on the Solicitation of Offers form (first page of this solicitation). Failure to do so may cause the proposal to be rejected. It is the Offeror's responsibility to ensure that all information regarding the RFP, including all amendments, is included in the offer. Amendments may be posted at any time up to and including the due date.
13. Proposal Preparation Cost This solicitation does not commit the City of El Paso to pay any costs incurred in preparing and submitting the proposal or to contract for the services specified. This RFP is not to be construed as a contract or a commitment of any kind, nor does it commit the City of El Paso to pay for any costs incurred in the preparation of a formal presentation, or for any costs incurred prior to the execution of a formal contract. Additional Information
For further procedural information concerning this Request for Proposal contact the point of contact for contract administration (refer to in the Communication Section for contact details).
14. Contract Performance The Respondent shall be responsible for the completion of all work set out in the Contract and task orders. All work is subject to inspection, evaluation, and acceptance by City of El Paso. City of El Paso may employ all reasonable means to ensure that the work is progressing and being performed in compliance with the Contract
15. Notification to Unsuccessful Offerors All awards are made by the City Council of the City of El Paso. All City Council agenda are posted on the City of El Paso's Web Page for review by all Offerors. The URL is: http://agenda.elpasotexas.gov/sirepub/meetresults.aspx
16. Acceptance or Rejection of Proposals The City reserves the right to accept or reject any or all proposals, to waive all minor technicalities, and to accept the proposal or proposal determined to be the most advantageous to the City. Additionally, the City may accept a proposal subject to an exception if, in the sole judgment of the City, the proposal meets or exceeds the City’s specifications.
17. Failure to Respond to Solicitations Any offeror who fails to respond to three consecutive solicitations will be purged from the mailing list. It is the offeror's responsibility to remain on the mailing list under his requested commodity classes.
18. Time [RESERVED]
19. Debriefing Requests A written request for a debriefing should be directed to the Analyst identified in Request for Clarification in Part 2, Item 2.3.2 within five (5) days after the date of award. Debriefing requests will be scheduled with the appropriate evaluation committee and Purchasing representative.
Only an Offeror who has actually submitted a proposal may appeal an award decision.
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20. Protest
Failure to follow the requirements of the Protest procedures established by the City of El Paso, Texas, shall constitute a waiver of all protest rights. Protest must be made after the Council agenda has been posted and by 5 p.m. the day before the Council meeting in which the award will be made. The Offeror must write a letter to Bruce D. Collins, Purchasing Director, using the phrase “Proposal Protest” to the address listed above. Protest must be sent by certified or registered mail or delivered in person. Note: the recommendation for award is posted on the City’s website at least 72 hours before each Tuesdays Council meeting.
The written protest should include 1) the Request for Proposal number and should clearly state, with particularity, the relevant facts believed to constitute an error in the award recommendation, or desired remedy; 2) a specific identification of the statutory or regulatory provision that the Protesting Offeror alleges has been violated and the provisions entitling the Protesting Offeror to relief; 3) a specific factual description, with particularity, of each action by the City that the Protesting Offeror alleges to be a violation of the statutory or regulatory provision that the Protesting Offeror has identified pursuant to item (2) of this paragraph (mere disagreement with the decisions of City employees does not constitute grounds for protest). If there is no disputed issue of the material fact, the Protest must indicate this as well.
Only the information provided within the protest period will be considered for response.
PART 3 - SCOPE OF WORK
3.1 Scope of Work and Minimum Requirements
A. System Overview
1. The power required to operate electric rail vehicles over El Paso Streetcar (EPSC) system is delivered through a network of electrical distribution lines and facilities. EPSC's traction power distribution system uses various protective devices to ensure high level of reliability and includes many safeguards and controls to ensure that operations and maintenance employees can work safely and confidently in its vicinity. The EPSC running vehicle power is provided by a network of overhead contact system poles and wires.
1.1 Rail System Stations and Services The El Paso Streetcar System consists of six (6) PCC Streetcars, twenty-seven (27) stops, and 4.8 miles of imbedded track comprised solely of at-grade rail sections. The Streetcar's alignment is located in the roadway Right-of-Way and share travel space with automotive and pedestrian traffic. Powered by an overhead contact system, Streetcar vehicles will operate at speeds of up to 25 miles per hour on standard fifteen-minute headways. Additional service may also be provided where chartered or in response to special events.
Each of the twenty-Seven stops consists of a platform located in the sidewalk area and those the median of Stanton St. Streetcar stops are low, concrete platforms that allow for level boarding of the streetcar vehicles. Stops are configured with a simple railing and modern amenities, including a bench, lighting and signage.
The City of El Paso is the sole owner of all stops and right-of way on which the Streetcar operates and does not share track with any other passenger or freight rail system.
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1.2 Vehicle Maintenance Facility The El Paso Streetcar's Maintenance Service Facility (MSF) is located AT 601 South Santa Fe St. From this location, the City of El Paso stores all six streetcars. The MSF support streetcar periodic safety inspection, routine and heavy maintenance, and repair service.
1.3 Traction Power System Elements The Traction Power System is comprised of two functional subsystems; the Traction Power Substations (TPSS) and the Overhead Contact System (OCS). The TPSS contains all of the necessary equipment to receive electric power from utilities and deliver it in usable form to the OCS. The major elements of the TPSS include high voltage AC switchgear, transformers, rectifiers, DC switchgear, and DC feeders and auxiliary equipment.
The OCS contains all of the elements required for the delivery of power from the TPSS to the vehicles along the alignment. These major elements include the overhead contact wire, hangers, and jumpers, all in span-components, supporting structures, poles, and grounding system.
2. Training
Persons assigned to manage, supervise, inspect, maintain, calibrate and/or test El Paso Streetcar electrical power distribution equipment must be qualified and trained on the equipment they will be required to maintain as defined under the guidelines of APTA RT-FS-S-006-03 rev-1 as shown in Attachment B, and OSHA 1910.269.
3. Responsibilities
3.1 Contractor's Responsibilities Managers, Supervisors and System Maintainers will be responsible for knowing and implementing applicable industry safety rules and regulations and taking action to provide for the safety of the personnel and operations they supervise. This includes taking positive action to identify and reduce hazards; instructing all employees in safe work methods and associated safety requirements; and allowing only qualified employees to perform work. They will be responsible for the safety of all employees under their supervision and shall enforce all rules designed to mitigate hazards or hazardous conditions. In addition the contractor will be responsible for submitting reports on all work done, be it emergency repairs or periodic maintenance. The reports will be of a type and frequency determined by EPSC and TxDOT.
Contractor Managers and Supervisors will be responsible to ensure their employees receive instruction in emergency response techniques, such as CPR, first aid, pole top rescue, and confined space rescue and provide evidence of such training. Evidence of certification and re-certification must be made available to EP Streetcar staff and appropriate federal and state agencies, as requested.
3.2 El Paso Streetcar Responsibilities City of El Paso Streetcar will ensure the implementation of applicable industry safety rules and regulations and take action to provide for the safety of the personnel and operations. They shall ensure that all employees and contractors work in safe environment allowing only those employees that are qualified to perform work. They will enforce all rules designed to mitigate hazards or hazardous conditions.
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El Paso Streetcar shall provide maintenance personnel to accompany the Contractor, as needed, to assist in determining issues and will provide Contractor at a minimum with:
. Lock-Out Tag-Out . Manufacturer specifications, . Operating and Maintenance Manuals . As-Built Construction Drawings and/or, . Record Drawings
4. Electric Traction System Electrical power for the El Paso Streetcar traction power system is provided by EPEC. Power is distributed to five EPSC substations, where it is transformed and rectified to 650 VDC output. Cables from the substations feed a system of overhead contact wires to supply power to the streetcar. A negative return system utilizes the running rail and negative return cables to bring current back to the substation, thus completing the circuit.
The strategy of maintaining the electric traction power distribution system is focused on conducting preventive maintenance to avoid failures that could interrupt EPSC service. Reaching this goal requires an effective program of inspection, the anticipation of failures caused by age and wear, and preemptive corrective action.
All EPSC maintenance practices for traction power distribution equipment are in accordance with APTA and OSHA standards, Original Equipment Manufacturers Requirements and City of El Paso electrical code provisions.
5. Documentation Control
All traction power substations and overhead contact system preventive maintenance, inspection, repair, testing calibration, adjustment and corrective action will be documented in hard copy and electronic digital format. These forms must be submitted at the end of all tasks. All records will be made available to EPSC, FTA, TxDOT and any other regulatory Agency at any time for maintenance and inspection verification and transmitted to EPSC system managers on a monthly basis.
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B. Scope of Services To Be Provided
The contractor shall supply the city of El Paso contract administrator or his designee telephone numbers where emergency personnel can be contacted after normal business hours, nights, holidays and weekends. The operating hours of El Paso Streetcar are illustrated below, holiday hours to include Christmas and New Year’s Eves may be adjusted by Sun Metro after discussion with vendor on necessary cost adjustments, if any.
Reference Chart for Nightly Allowable Range of a Streetcar OCS Outage
DAY OF RECOMMENDED PRE-OP & POST-OP RANGE ALLOWED FOR OPERATION STREETCAR BUFFER NECESSARY OCS HOURS OUTAGE 4am to 6am and 8pm Monday thru Monday 7am until 7pm 7pm to 8pm 4am Tuesday 4am to 6am and 8pm Tuesday thru 4am Tuesday 7am until 7pm 7pm to 8pm Wednesday
4am to 6am and 8pm Wednesday thru 4am Wednesday 7am until 7pm 7pm to 8pm Thursday
4am to 6am and 8pm Thursday thru 4am Thursday 7am until 7pm 7pm to 8pm Friday
4am to 6am and 2am Saturday thru 4am Friday 7am until 1am 1am to 2am Saturday
4am to 8am and 2am Sunday thru Saturday 7am until 1am 1am to 2am 6am Sunday
6am to 8am and 6pm Sunday until Sunday 9am until 5pm 5pm to 6pm 4am Monday
Holiday 6am to 8am and Follow appropriate daily 9am until 5pm Schedule 5pm to 6pm schedule above
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An emergency repair is any repair of a known or unknown condition that is necessary to restore the system to a normal operation. The contractor shall return the OCS or affected TPSS to 100 percent of the “As Built” construction drawings and/or record drawings. If the “As Built” specifications cannot be met due to time constraints etc., the build requirements will be met.
The contractor shall respond by phone within 15 minutes of being notified. The contractor shall be onsite within thirty (30) minutes of original notification, ready to perform repairs on the city’s OCS or TPPS. In accordance with manufacturer specifications, operation and maintenance manuals, and “As Built” drawings, record drawings. The contractor shall perform emergency repairs of all authorized work on the OCS system to address corrective actions for any deviations from manufacturer specifications, damages, irregularities, mal-adjustments.
The contractor shall furnish labor, specialty tools at its sole expense, required in performing the emergency repair services under this contract. All the services required hereunder shall be performed by the contractor and under the contractor’s supervision and all personnel engaged in the emergency repair services shall be qualified to perform the work.
All staff working directly with the power infrastructure must hold a Master Electrician license and must have experience with maintaining power substations. Contractor must also have a safety plan specific to the needs of this contract and a full safety division/department. All staff, including management and supervisory must participate in required EPSC employee safety training.
The contract administrator or designee and the contractor shall jointly deliberate and decide corrective actions for each item in need of repair. As part of the Periodic Maintenance Inspections, the contractor shall submit the following:
A) Recommendation and Deficiency Reports B) Recommended Repair List C) Summary of Work Recommended for Repairs D) Itemized Repairs Cost Estimate
Inspection schedule, the contractor shall follow these task listings for each periodic maintenance Inspection.
Monthly Ground Level Inspection:
The contractor shall inspect the following at a minimum:
A visual inspection of the Overhead Contact System should take place every month. The inspection can be carried out by having suitably trained and experienced members of the contractor’s staff walk the line using binoculars and/or cameras with 8X zoom lenses.
The inspector should prepare a memorandum, listing all defects observed during his or her walk. Based on this memorandum, all defects, which could affect the safe operation, must be repaired immediately. Minor defects can be fixed at a later date.
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Monthly Ground Level Inspection Items:
Foundations Condition of concrete, visible cracks, deposits of rubbish and overgrowth of weeds.
Poles Check poles for corrosion, loose nuts on foundation bolts, rake and bending of poles – particularly termination poles.
OCS Structure Free of Trees and Bushes Check that the OCS structure is free in accordance with the structure clearance requirements.
Traction System Grounding & Negative Return Connections Check the traction system grounding for tight fit of the screws and cable lugs, cables for strand breaks, continuity, integrity of all grounding cables, and possible damage of bonding. Check the negative cable connections to impedance bonds.
Warning Signs, Pole Number Plates Check the presence, cleanliness and firm attachment of all warning signs and numbering plates.
Protection Guards / Covers Check protection guards and covers for corrosion damage, firm attachment, and correct positioning.
Insulators and Cable terminations Check for damaged fiberglass or epoxy and contaminated insulator surfaces.
Contact Wire Supports Check the position of the cantilevers and the inclination of steady arms considering temperature and distance from mid-point.
Hangers Check the hangers for loose, torn or displaced strands, proper alignment, fit of the clamps, and damaged contact surfaces.
Pole Mounted Switches Check the pole mounted switches for the condition of the contacts, condition and position of the knife-blade contacts, arcing horns, and connection cables. Also, check condition of the linkage, pipes and handle, and outside condition of the switch mechanisms. Operate the switch using the operating handle to check for smooth operation.
Section Insulators Check section insulators for arc free operation during the passing of operation trains.
Electrical Connectors Check the electrical connectors for broken single strands, damaged contact surfaces and tight fit of the clamps.
Other Cables Check the other cables including span wires, guy wires for broken single wires.
External Lines (Telecommunications, Signal and Other Lines) Check the clearance between external lines and the overhead contact lines when distance appears to be less than 4 Feet
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Return Cable Connections Check the return cable connections for mechanical damage and tight fit of the cable lugs.
Semi-Annual Contact Wire Level Inspection:
In addition to static inspections, we require checking the OCS on the main line tracks by using a tower car fitted with a simulated pantograph with markings for height and stagger. Tower car should be operated at speeds less than 25 mph and the simulated pantograph should apply uplift pressure of at least the maximum, providing 1-2 inches of CW uplift from steady height. The status of the OCS can best be checked during the high or low temperature range of the system.
Semi-Annual Contact Wire Level Inspection Items:
General Examination of Components Generally, the screwed connections on all components are to be checked against recommended torque values referenced in OCS Parts Catalogue. Also, check:
. The stagger of the contact wire at supports and in the middle of the span. Refer to “As-Built” drawings for reference information. . The contact wire height against “As-Built” documentation. . The steady arm inclination. . The adjustment of the out-of-running wires in overlap sections and at crossovers. Particularly important if testing with increased pantograph operating pressure. . Check section insulators for position and wear of the skids and runner surfaces, suspension parts of the section insulator, pantograph run and spark breaks. Regular attention must be paid to the correct adjustment of the running skids and the clean surface of the skids. Refer to “Heavy Repair Manual” for safety, measurement and adjustment information.
Semi-Annual Miscellaneous Electronic Equipment Maintenance Inspection:
Semi-Annual Miscallaneous Electronic Equipment Inspection Items:
Clean the dust off all electronic components with a dry cloth. Check all wire connections for tightness
Semi-Annual Feeder Breakers Periodic Maintenance Inspection
Semi-Annual Feeder Breakers Periodic Maintenance Inspection Items:
Clean using a dry cloth and dust collector to clean the following items/areas: . The input of the arc chute. . The anti-spark plates, upper plate and frame at the position named floor of the cut-out chamber.
Open/access Arc Chute (see Figure 7). . Loosen the bolt (1). . Loosen the nut (2). . Turn the plate (3) 90 degrees. . Slowly pull the arc chute to the side holding it until it completely rests on the breaker. . Remove the spark arrester plates (5) and clean them.
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Inspect Contact Assembly (see Figure 8). It is recommended to perform a visual inspection every 3 months if the number of cycles is higher than 500. Also, a visual inspection should be performed after 5-10 short circuit interruptions. . The moving contact (2). . The fixed contact piece (3). . The pole (4). . The anti-spark plates (5). . The inlet of the arc chute, outer horns and baffles (7) and (8).
Check Contact Wear and Measure Clearance . Inspect the breaker contacts. The breaker contacts must be checked and maintained with special care. . Any soot deposit should be wiped away with a dry rag. If large peaks or molten droplets form, scrape them off with a metal brush. . Look at the plunger (2) shown in the diagram. There will be a red ring that should be visible. If this Red ring is not visible it then the contacts of the breaker are worn out and need to be replaced.
Check for excessive heating. Behavior which results from excessive heating includes: . Contacts that are dirty or damaged by wear or burning. . Insufficient contact pressure. . Connection of main conductors loosened. . Long-time load of the circuit breaker with a correct value exceeding the normal admissible value.
Annual DC Switchgear (DSG) Periodic Maintenance Inspection:
Annual Dc Switchgear (DSG) Periodic Maintenance Inspection Items:
1. Inspect bus bars, cable terminations, and all bolted connections for overheating and or damaged components. Check for loose connections and indications of overload. 2. Inspect main contacts on all large DC contactors on the DC Feeder Breaker. The relays to inspect should include the relays on the breaker truck. 3. Rack the DC Feeder out into the disconnected position to verify that the breaker racks in and out of the cubicles smoothly. 4. Test and operate each DC Feeder along with the disconnect switches. 5. Clean the switchgear inside and out and verify that contact points are properly lubed with electrical contact grease. 6. Verify that all moving parts are properly lubricated 7. Test the substation according to the field acceptance test procedure as done at the time of original commissioning.
Two Year Interval Inspection / Maintenance at ground and Platform Level.
Every two years all OCS components shall be carefully examined and overhauled if necessary. In addition to the semi-annual inspections the scope of work is as follows:
Two Year Interval Inspection Items:
Foundations Remove dirt, ballast and overgrowth of weeds from the foundation or foundation cap. Check the stability of the foundation (i.e. that no earth was removed around the foundation). Check the visible part of the foundation for cracks in the concrete surface. Check anchor bolts, anchor hook, nuts and washers for corrosion and tightness.
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Poles, Cantilevers and Brackets Check steel poles for corrosion damage and inadmissible torsion or bending. Check brackets are at correct adjustment and no slippage has occurred.
Paint Coating and Galvanizing Check the surface of all painted and galvanized components. Remove rust and check for peeled off paint or galvanized coating. Touch up damaged surface spots in accordance with the manufacturers’ specification.
Grounding and Ground Rods Check the termination of all grounding wires. All Connection must be checked for tightness and ground rod resistance must be periodically checked. The wires must be:
. Securely fastened . Undamaged . Free of corrosion . Free of dirt
The ground and clamps must not show any corrosion, cracks or arcing damage. The wires should be changed if the cross-sectional area is reduced more than 20% or damaged.
Warning Signs, Mast Number Plates Check for integrity, cleanliness and firm attachment of all warning signs and number plates. Replace damaged and unreadable ones. Repair unsatisfactory attachment arrangements.
Protection Guards / Covers Check for corrosion damage and firm attachment of all protection guards. Replace damaged and unsafe components.
Insulators Check the following:
. Damaged skirts or insulator surface . Flashover damage . Over twisting due to torsion . Surface dirt . Loose end caps
If obvious damage has occurred, the insulator should be replaced. Dirt should be washed off with a wet rag (water only).
Contact Wire and Contact Wire Wear The amount of contact wire wear must be determined. If the average cross-sectional area of a tension length is reduced by more than 20% by wear or corrosion, the contact wire should be scheduled for replacement such that it will be replaced prior to reaching 30% wear. Localized contact wire wear of more than 33% requires immediate replacement of the concerned section of contact wire. Refer to Appendix A of this manual for contact wire measurement and wear information.
. If contact wire is reduced by more than 30%, replace contact wire according to “Heavy Repair Manual”. . The contact wire must be checked for twists, kinks and spots of arcing. . If contact wire has twists, kinks or spots remove twists, kinks or spots of arcing.
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Other Wires Head span wires, dropper and hanger wires, ground wire, guy wires, feeder and jumper wires must be checked for corrosion, breakage and spots of arcing. Wires should be carefully monitored for arcing spots, particularly near clamps. If the cross-sectional area is more than 20% reduced by corrosion, wires must be replaced. Replacement can be achieved by changing the total wire length or if local damage occurred, of the required length only.
Clamps All clamps of the catenary system must be checked for:
. Breakage . Corrosion . Arcing damage . Firm setting
Contact surfaces of clamps should be cleaned and carefully greased. Corroded clamps must be replaced. If obvious arcing damage has occurred, the cause should be established and corrected.
Spring Termination Check the housing for cracks or damage. Check the contact wire or head-span wire to determine if it has stretched at the tensioning spring, adjust as necessary. After the tensioning spring has been in use for several years, the sliding surfaces of the tension rod and the housing flange are to be treated with silicon spray.
Pole and Wall mounted Disconnect Switches Check the contact blades for dirt and arcing damage. Connecting wires and clamps should be free of cracks and arcing damage. All moveable parts of the disconnect switch arrangement, i.e. the operating link, contact blades, arcing horns and operating handle should be checked for free and proper movement and re-greased.
Section Insulators Check the correct position of the section insulator and the even wear of the runners. Check for and repair arcing damage. Adjust if necessary to minimize arcing. Clean insulator surface. Refer to “Heavy Repair Manual” for safety, measurement and adjustment information.
Overhead Contact System: The following must be checked:
. Contact Wire height above top of rail, particularly at crossovers, . Contact Wire stagger at supports and center of span, . The position of hangers, cantilevers, steady arms depending on the temperature, . The heel settings of steady arms, . The faultless current collection performance of the pantograph at contact wire crossings and overlap sections. This test should be performed by observation of operating trains. . That no wires can touch each other at unwanted spots. This must be checked in order to avoid arcing damage, . That midpoint tie wire anchors are tensioned with the same load.
Clearances Check all clearances between current carrying parts of the catenary system and grounded equipment. This is particularly important at underpasses, overpasses, platform awnings, signals and barriers at level crossing. If clearances are found to be unsatisfactory, suitable measures must be taken. Depending on the individual case these could be:
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. Trimming of trees and bushes, . Installation of protective screens, . Installation of warning signs, . Adjustment of OCS
Tensioning and Clamping Parts Check the tensioning and clamping parts for slightly burned contact surfaces or cracks.
Switch Run-ins Check the in-running wires at cross-over or turnout for correct positioning and pantograph run, especially at the crossing bridge.
Inspection schedule, the contractor shall follow these task listings for each periodic maintenance inspection.
Five Year DC Switchgear (DSG) Periodic Maintenance Inspection
Five Year DC Switchgear (DSG) Periodic Maintenance Inspection Items:
Inspect and clean all cubicles and compartments. When cleaning the upper compartment of the feeder breaker Clean and grease moving parts, bearings and articulating joints with commercially available lubricants. Service the DC Switchgear at shorter intervals if the gear is very moist or full of dust or is otherwise polluted.
PART 4 – FORMAT
4.1 Proposal Format and Structure
All submissions must follow the submission guidelines below. The City reserves the right to reject proposals not in compliance with these requirements.
1. Use fonts no smaller than Times New Roman, 10 point. Maximum length including title page, the entire proposal, and appendices should not exceed 100 pages but may be required in some instances.
2. All pages must be numbered.
3. Address qualifications criteria in the order presented in PART 5 – PROPOSAL EVALUATION.
4. Major sections must have page breaks between them and the following sections.
5. The proposal must be signed and titled by a duly authorized representative of the Offeror.
In addition, the City requires that all proposals contain the following:
6. Title Page – Clearly label with the RFP number, RFP title, Offeror’s name, mailing address, and fax number, and the name, telephone number, and email address of a contact person.
7. Table of Contents – Identify the page location of each major section.
8. Introduction – Provide brief narrative of background and general qualifications of the Offeror, including any experience with services/products similar in scope and/or size to those requested in this RFP.
9. Offeror’s Proposal – Include all pages from this Request for Proposals in addition to any other materials submitted by the Offeror. State in succinct terms the Offeror’s understanding of the services to be provided
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and how the Offeror anticipates being able to meet the scope of work as delineated within Part 3 Scope of Work.
10. Contract Clauses and Forms – Include all pages and completed forms. In addition to the above information, describe any prior or pending litigation, civil or criminal, involving a governmental agency or which may affect the performances of the services to be rendered. This includes any instances in which the Offeror or any of its employees, subcontractors, or sub-consultants is or has been involved within the last three years.
11. Client list – for historical purposes, please provide the name and addresses of organizations that have used your company for similar products/services within the last five years.
12. Response must demonstrate your comprehension of the objectives and services from the RFP. Do not merely duplicate the Scope of Work as presented within this RFP.
13. Appendices – include any additional information that the Offeror deems important to the decision process but that is not specified elsewhere in the RFP.
14. Identify by name and title the individual responsible for the administration of the project. (That is, the individual who has the responsibility to oversee the contract, not a firm's contract negotiator, etc.)
15. Identify the project organization and staffing. A project organizational chart is to be provided, along with resumes of the personnel assigned to the project. Level of staff for work to be performed under this Contract. Proposals must describe the work to be performed by the individuals you name to perform essential functions and detail their specific qualifications and substantive experience directly related to this RFP. A response prepared specifically for this RFP is required. Marketing resumes often include non-relevant information that may detract from the evaluation of a proposal. Lists of projects are not useful. Focus on individual's specific duties and responsibilities and how project experience is relevant to the requirements of this RFP.
A list of references that can be contacted to discuss the performance on similar work. If available, provide a sample of comparable data your firm has generated for a similar project.
References that are not relevant to RFP should not be included. Therefore, the References provided should be directly related to the requirements in the SOW. The City is particularly interested in government references. The City may obtain other information by sending out questionnaires and/or through other sources. References other than those identified by the Offeror may be contacted by the City with the information received used in the evaluation.
16. The Offeror shall provide references from at least three contracts, within the last three years that are similar in size, scope and complexity to Part 1 – Repair and Maintenance Services for The El Paso Streetcar Overhead Contact System.
17. Additional Information. Offerors are asked not to include loose brochures (e.g. general marketing material). BROCHURE MATERIAL WILL NOT BE CONSIDERED FOR REVIEW. Only pertinent information should be submitted.
4.2 Copies Required
Paper – One (1) complete, original copy (signed in blue ink where required) and Five (5) copies, both contained in a single sealed submission. All responses shall contain those pages on which prices, other information, or signatures are required.
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Electronic – One (1) electronic copy on flash drive. Format of the electronic copy must be either .doc (readable by Microsoft Word 2007 or 2010) or .pdf (readable by Adobe Reader 9). The content of the electronic file shall be an exact submission of the hard copies of the proposals (i.e., documents should bear signatures, where applicable and be filled out entirely). In event of discrepancy/conflict between the hard copy and electronic copy, the hard copy will govern.
4.3 Proposal Term The initial term of this contract shall be for three (3) years with the option to extend the term of the contract for up to one (1) additional term of two (2) years. The total contract period shall not exceed five (5) years from the City of El Paso RFP #2018-257R effective date of the Contract. The City Manager or designee may extend the option to extend.
4.4 Proposal Cost Offerors should include the total cost of the Repair and Maintenance Services for The El Paso Streetcar Overhead Contact System. Assumptions made by the Offerors about the needs, functions and/or requirements of the City, outside of those contained in this solicitation or provided to Offerors subsequent to the issuance of this solicitation, and used to calculate costs should be clearly noted in the response.
Proposal Cost Initial Term
Estimated Estimated Annual Estimated 3 Year ITEM Service Rate Frequency Amount Amount Total NO. Description (B) (A) (A x B = C) (C x 3) Emergency Repair As specified in 1. during Operational enclosed 104 hours $ Hours schedule per hr $ ______$ ______Emergency As specified in 2. Repair during Pre-Op enclosed 52 hours $ & Post-Op Buffer schedule per hr $ ______$ ______Emergency Any non- 3. Repair during All other scheduled or 52 hours $ Hours buffer hours per hr $ ______$ ______Monthly Inspections as $ 4. outlined in Scope of Monthly 12 Work Per Inspection $ ______$ ______Semi-Annual Inspection $ 5. as outlined in Scope of Semi-Annual 2 Work Per Inspection $ ______$ ______Annual inspection as $ 6. outlined in Scope of Annual 1 Work Per Inspection $ ______$ ______
Estimated Estimated 3 Year ITEM Service Rate Frequency Amount Total NO. Description (B) (A) (A x B) Two-Year inspection as $ 7. outlined in Scope of Bi-Annual 1 Per Inspection $ ______Work
Sum Total Initial Term (Items 1 – 7) $ ______
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Proposal Cost Option to Extend: Estimated Estimated Annual Estimated 2 Year ITEM Service Rate Time Amount Amount Total NO. Description (B) (A) (A x B = C) (C x 2) Emergency Repair As specified in 1. during Operational enclosed 104 hours $ Hours schedule per hr $ ______$ ______Emergency As specified in 2. Repair during Pre-Op enclosed 52 hours $ & Post-Op Buffer schedule per hr $ ______$ ______Emergency Any non- 3. Repair during All other scheduled or 52 hours $ Hours buffer hours per hr $ ______$ ______Monthly Inspections as $ 4. outlined in Scope of Monthly 12 Work Per Inspection $ ______$ ______Semi-Annual Inspection $ 5. as outlined in Scope of Semi-Annual 2 Work Per Inspection $ ______$ ______Annual inspection as $ 6. outlined in Scope of Annual 1 Work Per Inspection $ ______$ ______
Estimated Estimated 2 Year ITEM Service Rate Frequency Amount Total NO. Description (B) (A) (A x B) Two-Year inspection as $ 7. outlined in Scope of Bi-Annual 1 Per Inspection Work $ ______Five Year DC $ 8. Switchgear (DSG) 5 Year Intervals 1 Per Inspection Periodic Maintenance $ ______
Sum Total Option to Extend (Items 1 – 8) $ ______
Sum Total (Initial Term and Option to Extend) $ ______
PAYMENT TERMS & CONDITIONS NOTE: All vendors must accept an ACH payment effective immediately. Vendors must fill-out the attached Accounts Payable Direct Deposit Sign-Up Form located in Part 6 of this document to facilitate the Automated Clearing House (ACH) payment process.
Contract Payments All contract payments shall be made in accordance with the Contract’s invoice payment terms. The City of El Paso will make no advance payments for the goods and/or services that are subject of this RFP, unless otherwise noted in the Form of Contract. Invoices may be submitted on no more than a monthly basis. Invoices submitted for services rendered shall be forwarded to:
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Mass Transit Department (Sun Metro) Sun Metro Accounting PO Box 2037 El Paso TX 79950-2037
Prompt Payment:
Unless a prompt payment discount is offered and accepted by the City of El Paso, payments will be made to the Contractor within thirty (30) days following acceptance of goods or services, or receipt of a properly prepared invoice by the City Department identified in the Invoice Instructions set forth on the Purchase Order, whichever is later. Any discount for prompt payment will be calculated from the day goods or services are accepted or when a properly prepared invoice is received. Payments will be considered to have been made on the date of mailing (postmark) of the payment check or, for an electronic funds transfer, the specified payment date. Invoices are to be submitted in single copy to the appropriate Department. Invoices are to be submitted in single copy to the appropriate Department.
Payment Terms: Please mark appropriate block.
_____% - 10 Days _____% - 20 Days _____% - 30 Days Net - 30 Days
Late Payment fees will incur at the State of Texas statutory rate.
FEDERAL MINIMUM WAGE
The current Federal minimum wage shall be required by the City of El Paso for any contracts requiring an hourly wage rate as part of the bid. In such cases, the awarded vendor’s employees shall be paid, at a minimum, the federally mandated minimum wage and the vendor shall be required to submit certified payrolls, when requested, to verify the wage rate requirement.
If the federally mandated minimum wage is increased during the term of this contract, Contractor may submit a written request for a price adjustment. The City will consider an adjustment only to the extent shown by the Contractor to be necessary to meet increased federal requirements for minimum wage employees included in the bid.
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PART 5 - PROPOSAL EVALUATION
5.1 Evaluation Factors
The proposal evaluation process is designed to award the contract, not necessarily to the Respondent of least cost, but rather to the Respondent with the best combination of attributes (i.e., qualifications and experience, cost) based upon the evaluation factors specifically established for this RFP.
Respondents must provide all information outlined in the Evaluation Factors to be considered responsive. Proposals will be evaluated based on the responsiveness of the Respondent’s information to the Evaluation Factors which will demonstrate the Respondent’s understanding of the Evaluation Factors and capacity to perform the required services of this Request for Proposals.
Proposals will be evaluated based on the following Evaluation Factors:
EVALUATION FACTORS MAXIMUM POINTS A. Cost of Service 35 Points B. Experience, Qualifications & Quality of Response 25 Points C. Proposed Service Plan Comprehension 25 Points D. Client History and Response of References 15 Points TOTAL 100 Points
The establishment, application and interpretation of the above Evaluation Factors shall be solely within the discretion of The City of El Paso (“the City”). The City reserves the right to determine the suitability of proposals on the basis of all these factors.
5.2 Evaluation Factor Description
The maximum points that shall be awarded for each of the Evaluation Factors are detailed and described below.
EVALUATION FACTOR A Cost of Service (Proposal Form – Section A) ………………………………….…….…………… 35 Points Complete Offer Forms, Section A, as requested. Provide detailed information on cost projections submitted and performance guarantees offered, if any. The proposal that provides the highest economic benefit for the City will be graded the highest in this section. As part of the requirement to establish the responsibility of the offer, the City of El Paso may determine the reasonableness of the percentage(s) at which the services are offered. Percentage(s) which are significantly higher or lower than the mean of all offers, and appear to be unreasonably high or low, may be determined to be evidence of non- responsibility, and cause the proposal to be rejected.
EVALUATION FACTOR B Experience, Qualifications & Quality of Response …………...……………………..….……... 25 Points Provide a full description of the experience vendor has in providing the requested service, minimum fifteen year requirement. Also must have experience with maintaining power substations. Provide a resume detailing past history and background. Identify managed projects of similar size and scope. Responses evaluated on experience, qualifications, and proposal response as it relates to .1 Proposal Format and Structure.
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EVALUATION FACTOR C Proposed Service Plan Comprehension …….……………………………………..……..…...... 25 Points Proposer shall provide narrative documentation demonstrating a clear understanding of requested services to include assurances on being able to comply with service requirements. Plan should demonstrate comprehension of required elements to include, but not limited, to required response time, licenses and certification requirements, and detailed steps proposer will undertake to ensure meeting all governmental regulations and guidelines with an emphasis on FTA/TXDOT safety & operational requirements.
EVALUATION FACTOR D Client History and Response of References.………………………….………………..…….… 15 Points Proposer shall identify its full client history for the last two (2) years, including any local Government Services. The proposer shall provide at least three (3) references, excluding the City of El Paso departments and employees. Note: Score for each reference will be determined by dividing the total score by 3 references (i.e. 15 total points ÷ 3 = 5 points per reference).
CLIENT’S NAME CONTACT NAME & TELEPHONE NUMBER EMAIL ADDRESS
MAXIMUM TOTAL POSSIBLE POINTS………………………………………………………….…100 Points
5.3 Evaluation and Award Process-General Information
A. All offers are subject to the terms and conditions of this solicitation. Material exceptions to the terms and conditions, or failure to meet the City's minimum specifications, shall render the offer non-responsive to the solicitation. B. Any award made under this solicitation shall be made to the Offeror who provides goods or services, other than professional services as defined by Section 2254.002 of the Government Code, that are determined to be the most advantageous to the City. Factors to be considered in determining the proposal most advantageous to the City are included below. C. Prompt payment discounts will be considered when determining the apparent lowest Offeror, providing the City is allowed at least ten (10) days in which to take advantage of the discount.
5.3.1 Evaluation and Award Process
As part of the requirement to establish the responsibility of the Offeror, the City of El Paso may perform a price analysis to determine the reasonableness of the price(s) at which the supplies and/or services are offered. Prices that are significantly lower than the mean of all offers and that appear to be unreasonably low may be determined to be evidence of non-responsibility, and cause the Offer to be rejected.
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A. The Evaluation Committee shall be established to evaluate proposals based solely on the Evaluation Factors set forth below. Factors not specified in the RFP will not be considered. The City reserves the right to waive any minor irregularities or technicalities in the proposals received. Proposals will be evaluated on an individual basis against the requirements stated in the RFP.
B. Minor problems of completeness or compliance may be called to the attention of Offerors for clarification. Substantial deviations from specifications or other requirements of this RFP will result in disqualification of the proposal.
C. Cost will not be the only consideration in the selection of short listed proposals. Detailed evaluation of proposals will involve a determination of the most favorable combination of various elements contained in this RFP. The selection of the ultimate winning proposal will be based upon what the evaluators believe to be most advantageous to the City.
D. During the evaluation process, the City reserves the right, where it may serve in the City’s best interest, to request additional information or clarifications from Offerors, or to allow corrections of errors or omissions.
E. After evaluations, the Evaluation Committee will determine a short list also known as competitive range. The short list/competitive range include the proposals that have a reasonable chance of being selected for award considering all aspects of the RFP. The City may request Best and Final Offers (BAFO) and negotiate with the Respondent(s) who fall within the short list/competitive range. If required, only those Respondents within the short list/competitive range may be selected for an oral presentation and/or interview.
F. The presentation/interview process will be arranged by the Evaluation Committee for purposes of discussion and/or clarification. Points may be deducted or added to the Respondent’s preliminary score as deemed necessary by the Evaluation Committee.
G. The City reserves the right to negotiate the final scope of services, price, schedule, and any and all aspects of this solicitation with all Respondents in the competitive range. Once negotiations are complete, the City shall establish a common date and time for the submission of Best and Final Offers. If a Respondent does not submit a notice of withdrawal of its offer, or a Best and Final Offer, the Respondent’s immediate previous offer shall be construed as its best and final offer.
H. The best and final offers shall be evaluated in essentially the same manner as the initial offers. The contract shall be awarded to the responsible Respondent whose qualifications, price and other factors considered, are the most advantageous to the City.
I. The City reserves the right to award this contract to one Respondent, to make multiple awards and to award without discussions. The city may reject any or all offers if such action is in the City’s interest, award contract other than to the lowest respondent, waive informalities and minor irregularities in offers received, and award all or part of the requirements stated.
J. Proposals that are considered non-responsive will not receive consideration. The City reserves the right at any time during the evaluation process to reconsider any proposal submitted. It also reserves the right to meet with any Respondent at any time to gather additional information. Furthermore, the City reserves the right to delete, add or modify any aspect of this procurement through competitive negotiations up until the final contract signing.
K. The successful Offeror’s proposal will be incorporated into the final contract. Any false or misleading statements found in the proposal will be grounds for disqualification or contract termination. Submission of a proposal indicates acceptance by the Offeror of the conditions contained in this RFP, unless clearly and specifically noted in the proposal and confirmed in the contract between the City and the Offeror selected.
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PART 6 - MANDATORY SUBMITTALS
6.1 Business Information Certification 6.2 Non-Collusion and Business Disclosure Affidavit 6.3 Indebtedness Affidavit 6.4 Direct Deposit Sign-up Form
Attachment “A” - CONTRACT CLAUSES……………………………………………………………………...
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Responsibility Determination
The responsibility determination includes consideration of a Respondent’s integrity, compliance with public policy, past performance with the City (if any), financial capacity and eligibility to perform government work (e.g., debarments/suspension from any Federal, State, or local government). The City reserves the right to perform whatever research it deems appropriate in order to access the merits of any Respondent’s proposal.
A. Financial Capacity Determination
FINANCIAL INFORMATION
Financial Statements. Please provide financial statements for your organization for at least the last two (2) fiscal years as follows: If a publicly held organization:
(1) Consolidated financial statements as submitted to the Securities and Exchange Commission (SEC) on Form 10K. (2) The most recent Forms 100 since the last Form 10K was submitted. (3) Any Form 8K's in your last fiscal year.
If a privately held organization:
(1) Balance sheet for your last two fiscal years certified by an independent Certified Public Accountant. (2) Statement of income of your last two fiscal years certified by an independent Certified Public Accountant.
Management discussion and analysis of your organization's financial condition for the last two years indicating any changes in your financial position since the certified statements were prepared.
If not considered proprietary, any recent Management Letters.
Evidence of Financial Responsibility.
Submit evidence of financial responsibility. This may be a credit rating from a qualified firm preparing credit rating or a bank reference.
The City reserves the right to confirm and request clarification of all financial information provided (including requesting audited financial statements certified by an independent Certified Public Accountant), or to request documentation of the Offeror's ability to comply with all of the requirements in the Proposal Documents.
Incomplete disclosures may result in a proposal being deemed non-responsive.
Note: Dun & Bradstreet has the capability to obtain information on past performance on specific contractors. Accordingly, the City may require Offerors to provide a copy of a recent past performance report prepared by Dun & Bradstreet. The Past Performance Evaluation Report provided to the Offeror by Dun & Bradstreet shall be submitted, not later than 14 calendar days after request by the City. The Offeror shall be responsible for the cost of Dun & Bradstreet's preparation of the report.
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B. Technical Capacity Determination
The City may conduct a survey relating to the Respondent’s record of performance on past and present projects that are similar to the scope of work identified in this RFP, which may include services/projects not identified by the Respondent. The City reserves the right to perform whatever research it deems appropriate in order to assess the merits of any Respondent’s proposal. Such research may include, but not necessarily be limited to, discussions with outside Respondents, interviews and site visits with the Respondent’s existing clients and analysis of industry reports. The City will make a finding of the Respondent’s Technical Resources/Ability to perform the RFP scope of work based upon the results of the survey.
A Respondent will be determined responsible if the City determines that the results of the Technical Resources/Ability survey reflect that the Respondent is capable of undertaking and completing the RFP scope of work in a satisfactory manner.
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SECTION D FORMS
6.1 Business Information Certification
Mark all that apply.
Manufacturer or Producer Disadvantaged Business Enterprise Wholesaler Asian - Pacific American Retailer Black American Franchised Distributor Hispanic American Factory Representative Native American Other______Woman Owned Business Large Business Handicapped Small Business Local Business Enterprise HUB State Certified Historically Underutilized Business (please furnish copy of Certification)
SMALL BUSINESS CONCERN: Less than $1,000,000.00 in annual receipts or fewer than one hundred [100] full time employees.
DISADVANTAGED BUSINESS ENTERPRISE: At least fifty-one percent [51%] owned by one or more socially disadvantaged individuals, or a publicly held corporation with at least fifty-one percent [51%] of the stock owned by one or more such individuals.
WOMAN-OWNED BUSINESS: At least fifty-one percent [51%] owned by a woman, or women, who also control and operate the business. "Control" in this context means making policy decisions. "Operate" in this context means actively carrying on day to day management
HANDICAPPED: At least fifty-one percent [51%] owned by a person or persons with an orthopedic, otic [hearing], optic [visual], or mental impairment which substantially limits one or more of their major life activities.
LOCAL BUSINESS: A business with a Tier 1 or Tier 2 principal place of business within in incorporated city limits of El Paso, Texas.
HUB [HISTORICALLY UNDERUTILIZED BUSINESS]: A Business Enterprise, which has been granted a Certificate by the State of Texas, as a Historically Underutilized Business. The City of El Paso utilizes information on Historically Underutilized Businesses (HUB), from the State of Texas Comptroller of Public Accounts (CPA), HUB Program, 1711 San Jacinto Ave, P.O. Box 13186, Austin, Texas 78711. The City encourages you to contact the State if you feel you may qualify.
I certify that the foregoing information is a full, true and correct statement of the facts.
Signature of Person Authorized to Sign Application
Title Date
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City of El Paso Purchasing & Strategic Sourcing Department 6.2 Non-Collusion and Business Disclosure Affidavit
THIS IS AN OFFICIAL PURCHASING DOCUMENT – RETAIN WITH PURCHASE ORDER FILE
Before me, the undersigned official, on this day, personally appeared ______, a person known to me to be the person whose signature appears below; whom after being duly sworn upon his/her oath deposed and said:
1. I am over the age of 18, have never been convicted of a crime and am competent to make this affidavit.
2. I am a duly authorized representative of the following company or firm (the “Offeror”) which is submitting a response to 2019- 257R, Repair and Maintenance Services for The El Paso Streetcar Overhead Contact System – Mass Transit Department (Sun Metro):
______(Name of Offeror).
3. BY SUBMITTING THIS BID, I CERTIFY THAT OFFEROR AND ITS AGENTS, OFFICERS OR EMPLOYERS HAVE NOT DIRECTLY OR INDIRECTLY ENTERED INTO ANY AGREEMENTS, PARTICIPATED IN ANY COLLUSION, OR OTHERWISE TAKEN ANY ACTION IN RESTRAINT OF FREE COMPETITIVE BIDDING IN CONNECTION WITH THIS PROPOSAL OR WITH ANY CITY OFFICIAL.
4. I have listed in Paragraph 10 below all the names the Offeror uses and has used in the past and certify that I have disclosed all such names, including any assumed (DBA) names.
5. Certificate of Organization. In completing this Affidavit, I have attached a copy of the organization certificate issued by the Secretary of State of the state in which the company was organized (i.e. Certificate of Formation, Certificate of Good Standing, Statement of Operation or Registration and/or a copy of Assumed Name Certificate if the Offeror/Offeror used a trade name in the Solicitation documents is other than the name under which company was organized).
6. Material Change in Organization or Operation. Except as described in Paragraph 10 below, I certify that Offeror is not currently engaged nor does it anticipate that it will engage in any negotiation or activity that will result in the merger, transfer of organization, management reorganization or departure of key personnel within the next twelve (12) months that may affect the Offeror’s ability to carry out the contract with the City of El Paso.
7. Debarment/Suspension. Except as described in Paragraph 10 below, I certify that Offeror and its subcontractors, officers or agents are not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from any covered transactions by any federal, state or local department or agency. If such an event has occurred, state in Paragraph 10 below, the reason for or the circumstances surrounding the debarment or suspension, including but, not limited to, the name of the governmental entity, the period of time for such debarment or suspension and provide the name and current phone number of a governmental contact person familiar with the debarment or suspension.
I understand the Offeror is obligated to immediately inform the City in the event that the Offeror is included in such a debarment/suspension list during the performance of this Contract with the City of El Paso.
8. Default/Termination of Contracts. Except as described in Paragraph 10 below, I certify that, within the last 24 months, there are no Contract(s) between the Offeror and a governmental entity that have been terminated, with or without the Offeror’s default. If such a contract has been terminated within the last 24 months, state in Paragraph 10 below the reason for or circumstances surrounding the termination.
9. Taxpayer Identification. In completing this Affidavit, I have also attached a copy of a completed Form W-9 that shows the Offeror’s taxpayer identification number (Employer Identification Number or Social Security Number). I understand that failure
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to provide this information may require the City to withhold 20% of payments due under the contract and pay that amount directly to the IRS.
10. Additional Information (state the number of paragraph above which corresponds to the information provided)
______
______
______
______
______
______
(Attach additional pages if needed)
Attached are the following:
Certificate of Organization (required by Paragraph 5) Taxpayer Identification (required by Paragraph 9)
I understand that by providing false information on this Affidavit, I could be found guilty of a Class A misdemeanor or state jail felony under the Texas Penal Code, Section 37l10. In addition, by providing false information on this Affidavit, the Offeror it could be considered not responsible on this and future solicitations, and such determination could result in the discontinuation of any/all business or contracts with the Offeror by the City of El Paso.
Signature SUBSCRIBED AND SWORN to before me on this ______day of ______, 20 .
Notary Public
Printed Name
Commission Expires
(Rev. Sept. 2009)
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City of El Paso Purchasing & Strategic Sourcing Department
6.3 Indebtedness Affidavit
THIS IS AN OFFICIAL PURCHASING DOCUMENT – RETAIN WITH PURCHASE ORDER FILE
Before me, the undersigned authority, on this day personally appeared ______[FULL NAME] (hereafter “Affiant”), a person known to me to be the person whose signature appears below, whom after being duly sworn upon his/her oath deposed stated as follows:
1. Affiant is authorized and competent to give this affidavit and has personal knowledge of the facts and matters herein stated.
2. Affiant is an authorized representative of the following company or firm: ______[Contracting Entity’s Corporate or Legal Name] (hereafter, “Contracting Entity”).
3. Affiant is submitting this affidavit in response to the following bid: Solicitation No. 2019-257R, 40
4. The El Paso Streetcar Overhead Contact System – Mass Transit Department (Sun Metro), which is expected to be in an amount that exceeds $50,000.00.
5. Contracting Entity is organized as a business entity as noted below (check box as applicable):
For Profit Entity (select below): For Non-Profit Entity or Other (select below): Sole Proprietorship Non-Profit Corporation Corporation Unincorporated Association Partnership Limited Partnership Joint Venture Limited Liability Company Other (Specify type in space provided below): ______
6. The information shown below is true and correct for the Contracting Entity. If Contracting Entity is a sole proprietorship or partnership, list all owners of 5% or more of the Contracting Entity. Where the Contracting Entity is an unincorporated association, the required information has been shown for each officer. [Note: In all cases, use FULL name, business and residence addresses and telephone numbers.]
Contracting Entity:
Name Business Address [No./Street] City/State/Zip Code Telephone Number Resident Address (if applicable) City/State/Zip Code Telephone Number Federal Tax ID Number Texas Sales Tax Number
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5% Owner(s) or Officers of Unincorporated Association ** (If none, state “None”): Name Business Address [No./Street] City/State/Zip Code Telephone Number Resident Address (if applicable) City/State/Zip Code Telephone Number **Attach additional pages if necessary to supply the required names and addresses.
7. Affiant understands that in accordance with Ordinance No. 016529 of the City of El Paso (the “City”), the City may refuse to award a contract to or enter into a transaction with Contracting Entity that is an apparent low Offeror or successful Offeror that is indebted to the City.
8. Affiant understands that the term “Debt” shall mean any sum of money, which is owed to the City by a Contracting Entity, Owner, or Vendor, that exceeds one hundred dollars ($100.00) and that has become Delinquent, as defined hereinafter. Such Debt shall include but not be limited to: (i) property taxes; (ii) hotel/motel occupancy taxes; and (iii) license and permit fees.
9. Affiant understands that the term “Delinquent” shall mean any unpaid Debt that is past due for sixty (60) days or more and, which is not currently subject to challenge, protest, or appeal.
10. Affiant represents that to the best of its knowledge, the Contracting Entity is not indebted to the City in any amounts as described in Item No. 7 above, as of the date of the submittal. If the Contracting Entity is indebted to the City, the following represents the type and estimated amount of indebtedness:
11. If the Contracting Entity is indebted to the City, describe any payment arrangements that have been entered into to settle the Debt.
12. In the event that the City refuses to do business with a Contracting Entity due to any indebtedness listed above or as determined by the City Financial Services Department, the Contracting Agency may appeal this determination in accordance with the appeal regulations in Ordinance 016529.
Affiant certifies that he is duly authorized to submit the above information on behalf of the Contracting Entity, that Affiant is associated with the Contracting Entity in the capacity noted above and has personal knowledge of the accuracy of the information provided herein; and that the information provided herein is true and correct to the best of Affiant’s knowledge and belief. Affiant understands that providing false information on this form shall be grounds for debarment and discontinuation of any/all business with the City of El Paso.
Signature SUBSCRIBED AND SWORN to before me on this ______day of ______, 20 .
Notary Public
Printed Name
Commission Expires
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6.4 Vendor Forms
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Business Entity: Disclosure of Interested Parties Texas Government Code § 2252.908 Form 1295 This Form is required in the submission of your bid or proposal:
The Texas Legislature adopted House Bill 1295 in 2015. HB 1295 added Section 2252.908 to the Government Code. Under this new law, any business entity that enters into a contract with the City of El Paso that requires the approval of the City Council must submit a “Disclosure of Interested Parties” to the City prior to the execution of the contract. This form, the “Disclosure of Interested Parties” form was promulgated by the Texas Ethics Commission, and is the “Form 1295”.
The Texas Ethics Commission was also charged with promulgating rules to implement Section 2252.908 of the Government Code. The rules adopted by the Texas Ethics Commission are located at Sections 46.1, 46.3, and 46.5 of Title 1 of the Texas Administrative Code.
The Texas Ethics Commission’s website is: www.ethics.state.tx.us. The area of their website pertaining to Form 1295 is: www.ethics.state.tx.us/whatsnew/elf_info_form1295.htm
All business entities are encouraged to visit the Texas Ethics Commission website, which contains Frequently Asked Questions, instructional videos, and much more information on HB1295/Section 2252.908 requirements and/or to consult with their own counsel.
Once the business entity has completed their electronic filing of Form 1295, then the business entity must print out the form and sign and notarize the form. The form must be submitted with your bid or proposal.
If your firm is selected for award, the Purchasing & Strategic Sourcing Department will go to the Texas Ethics Commission website to submit electronic confirmation of the City’s receipt of the completed, signed, and notarized Form 1295.
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PART 7 - CONTRACT CLAUSES 4. INDEMNIFICATION [Rev. 04-15-99] [Rev. 01-04-04] 1. TYPE AND TERM OF CONTRACT Contractor or its insurer will INDEMNIFY, DEFEND AND HOLD the City, its officers, agents and This is a Request for Proposal Contract under which the City shall employees, HARMLESS FOR AND AGAINST ANY order all of its supplies and/or services described in Part 3 from the successful bidder, hereinafter referred to as the Contractor, for the AND ALL CLAIMS, CAUSES OF ACTION, duration of the contract. LIABILITY, DAMAGES OR EXPENSE, (INCLUDING BUT NOT LIMITED TO ATTORNEY FEES AND In the event the City has not obtained another service contractor COSTS) FOR ANY DAMAGE TO OR LOSS OF ANY by the expiration date of the term contract, the City, at its discretion, may extend the contract on a month-to-month basis not to exceed PROPERTY, OR ANY ILLNESS, INJURY, PHYSICAL six (6) months until such time as a new contract is awarded. OR MENTAL IMPAIRMENT, LOSS OF SERVICES, OR DEATH TO ANY PERSON ARISING OUT OF OR The term of this agreement shall be for Thirty-Six (36) Months RELATED TO THIS AGREEMENT. Without commencing on the date the Contractor receives a written NOTICE OF AWARD. Delivery of the NOTICE OF AWARD shall be by modifying the conditions of preserving, asserting Email or US Postal Service. or enforcing any legal liability against the City as required by the City Charter or any law, the City will promptly forward to Contractor every demand,
2. INVOICES & PAYMENTS notice, summons or other process received by the City in any claim or legal proceeding contemplated A. The Contractor will submit invoices, in single copy, on each herein. Contractor will 1) investigate or cause the contract after each delivery. Invoices covering more than one investigation of accidents or occurrences involving purchase order will not be accepted. such injuries or damages; 2) negotiate or cause to B. Invoices will be itemized, including serial number of unit; be negotiated the claim as the Contractor may transportation charges, if any, will be listed separately. deem expedient; and 3) defend or cause to be C. Invoices will reflect the Contract Number and the Purchase defended on behalf of the City all suits for damages Order Number. even if groundless, false or fraudulent, brought D. Do not include Federal Tax, State Tax, or City Tax. The City because of such injuries or damages. Contractor will furnish a tax exemption certificate upon request. will pay all judgments finally establishing liability of E. Discounts will be taken from the date of receipt of goods or date the City in actions defended by Contractor of invoice, whichever is later. pursuant to this section along with all attorneys' F. A copy of the bill of lading and the freight waybill when fees and costs incurred by the City including applicable will be attached to the invoice. interest accruing to the date of payment by Contractor, and premiums on any appeal bonds. G. Payment will not be due until the above instruments are submitted after delivery and acceptance. The City, at its election, will have the right to participate in any such negotiations or legal H. Mail invoices to the City Department indicated in the Invoice proceedings to the extent of its interest. The City Instructions set forth on the Purchase Order. will not be responsible for any loss of or damage to I. Contractor shall advise the Comptroller of any changes in its the Contractor's property from any cause. remittance addresses. 5. GRATUITIES 3. CONTRACTUAL RELATIONSHIP The City may, by written notice to the Contractor, cancel this Nothing herein will be construed as creating the relationship of contract without liability to Contractor if it is determined by the City employer and employee between the City and the Contractor or that gratuities, in the form of entertainment, gifts, or otherwise, were between the City and the Contractor's employees. The City will not offered or given by the Contractor, or any agent or representative be subject to any obligations or liabilities of the Contractor or his of the Contractor, to any officer or employee of the City of El Paso employees incurred in the performance of the contract unless with a view toward securing a contract or securing favorable otherwise herein authorized. The Contractor is an independent treatment with respect to the awarding or amending, or the making Contractor and nothing contained herein will constitute or or any determinations with respect to the performing of such a designate the Contractor or any of his employees as employees of contract. In the event this contract is canceled by the City pursuant the City. Neither the Contractor nor his employees will be entitled to this provision, the City shall be entitled, in addition to any other to any of the benefits established for City employees, nor be rights and remedies, to recover or withhold the amount of the cost covered by the City's Workers' Compensation Program. incurred by the Contractor in providing such gratuities.
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6. WARRANTY-PRICE the remedies available to a buyer pursuant to the UNIFORM COMMERCIAL CODE including the right to purchase the goods A. The price to be paid by the City will be that contained in the from another vendor in substitution for those due from the Contractor's bid which the Contractor warrants to be no higher Contractor. The cost to cover shall be the cost of substitute goods than Seller's current prices on orders by others for products of determined by informal or formal procurement procedures as the kind and specification covered by this contract for similar required by the Local Government Code. The City may recover the quantities under similar or like conditions and methods of difference between the cost of cover and the contract cost by purchase. In the event Contractor breaches this warranty the deducting the same from amounts owed to Contractor for goods prices of the items will be reduced to the Contractor's current delivered prior to termination or any other lawful means. prices on orders by others, or in the alternative, the City may cancel this contract without liability to Contractor for breach or 10. TERMINATION FOR DEFAULT BY CITY [Rev. 06/09/97] Contractor's actual expense. If the City fails to perform any of its duties under this contract, B. The Contractor warrants that no person or selling agency has Contractor may deliver a written notice to the Purchasing Manager been employed or retained to solicit or secure this contract upon describing the default, specifying the provisions of the contract an agreement or understanding for commission, percentage, under which the Contractor considers the City to be in default and brokerage, or contingent fee excepting bona fide employees of setting forth a date of termination not sooner than 90 days following bona fide established commercial or selling agencies receipt of the Notice. The Contractor at its sole option may extend maintained by the Contractor for the purpose of securing the proposed date of termination to a later date. If the City fails to business. For breach or violation of this warranty the City will cure such default prior to the proposed date of termination, have the right in addition to any other right or rights to cancel Contractor may terminate its performance under this Contract as of this contract without liability and to deduct from the contract such date. price, or otherwise recover the full amount of such commission, percentage, brokerage or contingent fee. 11. FORCE MAJEURE [Rev. 06/07/97]
7. RIGHT TO ASSURANCE If, by reason of Force Majeure, either party hereto will be rendered unable wholly or in part to carry out its obligations under this Whenever one party to this contract in good faith has reason to Contract then such party will give notice and full particulars of such question the other party's intent to perform, he may demand that Force Majeure in writing to the other party within a reasonable time the other party give written assurance of his intent to perform. In after occurrence of the event or cause relied upon, and the the event that a demand is made and no assurance is given within obligation of the party giving such notice, so far as it is affected by five (5) calendar days, the demanding party may treat this failure such Force Majeure, will be suspended for only thirty (30) days as an anticipatory repudiation of the contract. during the continuance of the inability then claimed, except as hereinafter provided, but for no longer period, and such party will 8. TERMINATION [Rev. 06/07/97] try to remove or overcome such inability with all reasonable dispatch. A. Termination for Convenience The term Force Majeure as employed herein, will mean acts of The City of El Paso may terminate this contract, in whole or in part, God, strikes, lockouts, or other industrial disturbances, acts of at any time by written notice to the Contractor. The Contractor will public enemies, orders of any kind of government of the United be paid its costs, including the contract close out costs, and profit States or the State of Texas or any civil or military authority, on work performed up to the time of termination. The Contractor insurrections, riots, epidemics, landslides, lightning, earthquake, will promptly submit its termination claim to the City of El Paso to fires, hurricanes, storms, floods, washouts, droughts, arrests, be paid the Contractor. If the Contractor has any property in its restraint of government and people, civil disturbances, explosions, possession belonging to the City of El Paso, the Contractor will breakage or accidents to machinery, pipelines, or canals. It is account for the same, and dispose of it in the manner the City of El understood and agreed that the settlement of strikes and lockouts Paso directs. will be entirely within the discretion of the party having the difficulty, and that the above requirement that any Force Majeure will be B. Termination for Default remedied with all reasonable dispatch will not require the settlement of strikes and lockouts by acceding to the demands of If the Contractor fails to comply with any provision of the contract the opposing party or parties when such settlement is unfavorable the City of El Paso may terminate this contract for default. in the judgment of the party having the difficulty. If a party is unable Termination shall be effected by serving a notice of intent to to comply with the provisions of this contract by reason of Force terminate the contract setting forth the manner in which the Majeure for a period beyond thirty days after the event or cause Contractor is in default. The Contractor will be given an opportunity relied upon, then upon written notice after the thirty (30) days, the to correct the problem within a reasonable time before termination affected party shall be excused from further performance under this notice is rendered. The Contractor will only be paid the contract contract. price for supplies delivered and accepted, or services performed in accordance with the manner of performance set forth in the 12. ASSIGNMENT-DELEGATION contract. The City shall have the right to immediately terminate the Contract for default if the Contractor violates any local, state, or No right or interest in this contract will be assigned or delegation of federal laws, rule or regulations that relate to the performance of any obligation made by the Contractor without the written this Agreement. permission of the City. Any attempted assignment or delegation by the Contractor will be wholly void and totally ineffective for all 9. ADDITIONAL REMEDIES [New 12/96] purposes unless made in conformity with this paragraph.
If the City terminates the contract because the Contractor fails to deliver goods as required by the contract, the City shall have all of
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13. WAIVER to obtain substitute services and charge the Contractor under this clause is not a bar to any other remedy available for default. No claim or right arising out of a breach of this contract can be discharged in whole or in part by a waiver or renunciation of the 20. COMPREHENSIVE GENERAL LIABILITY INSURANCE claim or right unless the waiver or renunciation is supported by consideration and is in writing signed by the aggrieved party. For the duration of this contract and any extension hereof, Contractor shall carry in a solvent company authorized to do 14. INTERPRETATION-PAROL EVIDENCE business in Texas, comprehensive general liability insurance in the following amounts: This writing is intended by the parties as a final expression of their agreement and is intended also as a complete and exclusive $1,000,000.00 – Per Occurrence statement of the terms of their contract. No course of prior dealings $1,000,000.00 – General Aggregate between the parties and no usage of the trade will be relevant to $1,000,000.00 – Products/Completed Operations-Occurrence & supplement or explain any term used in this contract. Acceptance Aggregate or acquiescence in a course of performance rendered under this contract will not be relevant to determine the meaning of this With respect to the above-required insurance, the City of El Paso contract even though the accepting or acquiescing party has and its officers and employees shall be named as additional knowledge of the performance and opportunity for objection. insured as their interests may appear. The City shall be provided Whenever a term defined by the Uniform Commercial Code is used with sixty (60) calendar days advance notice, in writing, of any in this contract, the definition contained in the Code is to control. cancellation or material change. The City shall be provided with certificates of insurance evidencing the above required insurance 15. APPLICABLE LAW prior to the commencement of this contract and thereafter with certificates evidencing renewal or replacement of said policies of The law of the State of Texas will control this contract along with insurance at least fifteen (15) calendar days prior to the expiration any applicable provisions of Federal law or the City Charter or any or cancellation of any such policies. ordinance of the City of El Paso. Notices and Certificates required by this clause shall be provided 16. ADVERTISING to: City of El Paso Contractor will not advertise or publish, without the City's prior Purchasing & Strategic Sourcing Department consent, the fact that the City has entered into this contract, except 300 N. Campbell, 1st Floor to the extent necessary to comply with proper requests for El Paso, Texas 79901-1153 information from an authorized representative of the federal, state Attn: Victor A. Caraveo, Procurement Analyst or local government. Please refer to Bid Number/Contract Number and Title in all 17. AVAILABILITY OF FUNDS correspondence.
The awarding of this contract is dependent upon the availability of Failure to submit insurance certification may result in contract funding. In the event that funds do not become available the cancellation. contract may be terminated or the scope may be amended. A 30- day written notice will be given to the vendor and there will be no 21. WORKERS’ COMPENSATION penalty nor removal charges incurred by the City. For the duration of this contract and any extension hereof, 18. VENUE Contractor shall carry Workers' Compensation and Employers' Liability Insurance in the amount required by Texas law: Both parties agree that venue for any litigation arising from this $500,000.00. Out-of-state Contractors that provide goods through contract will lie in El Paso, El Paso County, Texas. US mail, UPS, etc. are exempt from this requirement.
19. ADDITIONAL REMEDY FOR HEALTH OR SAFETY 22. CONTRACT ADMINISTRATION VIOLATION The point of contact for the administration of this Contract, on If the Purchasing Director determines that Contractor’s default behalf of the City of El Paso, is: constitutes an immediate threat to the health or safety of City employees or members of the public he may give written notice to Erick eberlien Contractor of such determination giving Contractor a reasonable Maintenance Superintendent - Streetcar opportunity to cure the default which shall be a period of time not Telephone: (915) 212-3452 less than 24 hours. If the Contractor has not cured the violation Email: [email protected] within the time stated in the notice, the City shall have the right to terminate the contract immediately and obtain like services as Note any contact with the Contract Administrator prior to award of necessary to preserve or protect the public health or safety from this contract is a violation of the Cone of Silence (2.3.1 Cone of another vendor in substitution for those due from the Contractor at Silence/Anti Lobbying Policy) and your submission may be subject a cost determined by reasonable informal procurement to disqualification. procedures. The City may recover the difference between the cost of substitute services and the contract price from Contractor as Mail correspondence should be addressed to: damages. The City may deduct the damages from Contractor’s account for services rendered prior to the Notice of Violation or for City of El Paso services rendered by Contractor pursuant to a different contract or Purchasing & Strategic Sourcing Department pursue any other lawful means of recovery. The failure of the City 300 N. Campbell, 1st Floor
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El Paso, TX 79901-1153 be legally responsible only for payment for goods and services in Attn: Victor A. Caraveo, Procurement Analyst the quantities detailed in the City’s own purchase order or contract.
Please refer to Bid Number/Contract Number and Title in all correspondence.
23. COMPLIANCE WITH NON-DISCRIMINATION LAWS
The Contractor agrees that it, its employees, officers, agents, and subcontractors, will comply with all applicable federal and state laws and regulations and local ordinances of the City of El Paso in the performance of this Contract, including, but not limited to, the American with Disabilities Act, the Occupational Safety and Health Act, or any environmental laws.
The Contractor further agrees that it, its employees, officers, agents, and subcontractors will not engage in any employment practices that have the effect of discriminating against employees or prospective employees because of sex, race, religion, age, disability, ethnic background or national origin, or political belief or affiliation of such person, or refuse, deny, or withhold from any person, for any reason directly or indirectly, relating to the race, gender, gender identity, sexual orientation, color, religion, ethnic background or national origin of such person, any of the accommodations, advantages, facilities, or services offered to the general public by place of public accommodation.
24. RIGHT TO AUDIT
The Contractor agrees that the City shall, until the expiration of three (3) years after final payment under this Contract, have access to and the right to examine and copy any directly pertinent books, computer and digital files, documents, papers, and records of the Contractor involving transactions relating to this Contract. Contractor agrees that the City shall have access during normal working hours to all necessary Contractor facilities, and shall be provided adequate and appropriate workspace in order to conduct audits in compliance with the provisions of this section. The City shall give Contractor reasonable advance notice of intended audits. The City will pay Contractor for reasonable costs of any copying the City performs on the Contractor’s equipment or requests the Contractor to provide. The Contractor agrees to refund to the City any overpayments disclosed by any such audit.
The Contractor agrees that it will include this requirement into any subcontract entered into in connection with this Contract.
25. COOPERATIVE PURCHASING
When stated specifically in the solicitation, the City of El Paso may participate in, sponsor, conduct or administer a cooperative procurement agreement with one or more other public bodies or agencies of the State of Texas for the purpose of combining requirements to increase the efficiency or reduce administrative expenses. The Contractor must deal directly with each participating governmental entity named in the solicitation concerning the placement of orders, issuance of the purchase order, insurance certificates, contractual disputes, invoicing and payment or any other terms or conditions the participating agency may require. The actual utilization of this contract award by the participating governmental entity is at the sole discretion of that participating entity.
The City of El Paso is acting on behalf of the participating governmental agency for the sole purpose of complying with Texas competitive bidding requirements and shall not be held liable for any costs, damages, etc. incurred by the Contractor with regard to any purchase by the participating agency. The City of El Paso shall
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PART 8 - TITLE VI REQUIREMENT
8.1 Title VI Contract Provisions
Subrecipients of federal financial assistance must ensure that the clauses of Appendix A of the U.S. DOT Standard Title VI Assurances are inserted in every contract subject to the Act and the Regulations and that Form FHWA-1273 be physically attached to all federal-aid construction contracts of $10,000 or more.
NOTE TO CONTRACTORS:
FORM 1273 and Appendix A (attached) must be inserted in all subcontractor contracts.
The successful bidder will be required to provide a copy of each of its subcontractors (all tiers) to verify that the above mentioned provisions are included
(Left Blank Intentionally)
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8.2 APPENDIX A
During the performance of this contract, the contractor, for itself, its assignees and successors in interest (hereinafter referred to as the “contractor”) agrees as follows:
(1) Compliance with Regulations: The contractor shall comply with the Regulations relative to nondiscrimination in Federally-assisted programs of the Department of Transportation (hereinafter, “DOT”) Title 49, Code of Federal Regulations, Part 21, as they may be amended from time to time, (hereinafter referred to as the Regulations), which are herein incorporated by reference and made a part of this contract. (2) Nondiscrimination: The Contractor, with regard to the work performed by it during the contract, shall not discriminate on the grounds of race, color, or national origin in the selection and retention of subcontractors, including procurements of materials and leases of equipment. The contractor shall not participate either directly or indirectly in the discrimination prohibited by section 21.5 of the Regulations, including employment practices when the contract covers a program set forth in Appendix B of the Regulations. (3) Solicitations for Subcontractors, Including Procurements of Materials and Equipment: In all solicitations either by competitive bidding or negotiation made by the contractor for work to be performed under a subcontract, including procurements of materials or leases of equipment, each potential subcontractor or supplier shall be notified by the contractor of the contractor’s obligations under this contract and the Regulations relative to nondiscrimination on the grounds of race, color, or national origin. (4) Information and Reports: The contractor shall provide all information and reports required by the Regulations or directives issued pursuant thereto, and shall permit access to its books, records, accounts other sources of information, and its facilities as may be determined by the City of El Paso to be pertinent to ascertain compliance with such Regulations, orders and instructions. Where any information required of a contractor is in the exclusive possession of another who fails or refuses to furnish this information the contractor shall so certify to the City of El Paso, as appropriate, and shall set forth what efforts it has made to obtain the information. (5) Sanctions for Noncompliance: In the event of the contractor’s noncompliance with the nondiscrimination provisions of this contract, the City of El Paso shall impose such contract sanctions as it may determine to be appropriate, including but not limited to: a. Withholding of payments to the contractor under the contract until the contractor complies, and / or b. Cancellation, termination or suspension of the contract in whole or in part. (6) Incorporation of Provisions: The contractor shall include the provisions of paragraphs (1) through (6) in every subcontract, including procurements of materials and leases of equipment, unless exempt by the Regulations, or directive issued pursuant thereto. The contractor shall take such action with respect to any subcontract or procurement as the City of El Paso may direct as a means of enforcing such provisions including sanctions for non- compliance: Provided, however, that in the event a contractor becomes involved in, or is threatened with litigation with a subcontractor or supplier as a result of such direction, the contractor may request the City of El Paso to enter into such litigation to protect the interests of the City of El Paso, and in addition, the contractor may request the United States to enter into such litigation to protect the interests of the United States
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8.3 REQUIRED CONTRACT PROVISIONS who are on parole, supervised release, or probation. The term Federal-aid FEDERAL-AID CONSTRUCTION CONTRACTS highway does not include roadways functionally classified as local roads or rural minor collectors. I. General II. Nondiscrimination III. Non-segregated Facilities II. Nondiscrimination IV. Davis-Bacon and Related Act Provisions V. Contract Work Hours and Safety Standards Act Provisions The provisions of this section related to 23 CFR Part 230 are applicable to VI. Subletting or Assigning the Contract all Federal-aid construction contracts and to all related construction VII. Safety: Accident Prevention subcontracts of $10,000 or more. The provisions of 23 CFR Part 230 are VIII. False Statements Concerning Highway Projects not applicable to material supply, engineering, or architectural service IX. Implementation of Clean Air Act and Federal Water Pollution Control contracts. Act X. Compliance with Government Wide Suspension and Debarment In addition, the contractor and all subcontractors must comply with the Requirements following policies: Executive Order 11246, 41 CFR 60, 29 CFR 1625-1627, XI. Certification Regarding Use of Contract Funds for Lobbying Title 23 USC Section 140, the Rehabilitation Act of 1973, as amended (29 USC 794), Title VI of the Civil Rights Act of 1964, as amended, and related ATTACHMENTS regulations including 49 CFR Parts 21, 26 and 27; and 23 CFR Parts 200, 230, and 633. A. Employment and Materials Preference for Appalachian Development Highway System or Appalachian Local Access Road Contracts (included The contractor and all subcontractors must comply with: the requirements in Appalachian contracts only) of the Equal Opportunity Clause in 41 CFR 60-1.4(b) and, for all construction contracts exceeding $10,000, the Standard Federal Equal Employment Opportunity Construction Contract Specifications in 41 CFR I. General 60-4.3.
1. Form FHWA-1273 must be physically incorporated in each construction Note: The U.S. Department of Labor has exclusive authority to determine contract funded under Title 23 (excluding emergency contracts solely compliance with Executive Order 11246 and the policies of the Secretary intended for debris removal). The contractor (or subcontractor) must insert of Labor including 41 CFR 60, and 29 CFR 1625-1627. The contracting this form in each subcontract and further require its inclusion in all lower agency and the FHWA have the authority and the responsibility to ensure tier subcontracts (excluding purchase orders, rental agreements and other compliance with Title 23 USC Section 140, the Rehabilitation Act of 1973, agreements for supplies or services). as amended (29 USC 794), and Title VI of the Civil Rights Act of 1964, as amended, and related regulations including 49 CFR Parts 21, 26 and 27; The applicable requirements of Form FHWA-1273 are incorporated by and 23 CFR Parts 200, 230, and 633. reference for work done under any purchase order, rental agreement or agreement for other services. The prime contractor shall be responsible The following provision is adopted from 23 CFR 230, Appendix A, with for compliance by any subcontractor, lower-tier subcontractor or service appropriate revisions to conform to the U.S. Department of Labor (US provider. DOL) and FHWA requirements.
Form FHWA-1273 must be included in all Federal-aid design-build 1. Equal Employment Opportunity: Equal employment opportunity contracts, in all subcontracts and in lower tier subcontracts (excluding (EEO) requirements not to discriminate and to take affirmative action to subcontracts for design services, purchase orders, rental agreements and assure equal opportunity as set forth under laws, executive orders, rules, other agreements for supplies or services). The design-builder shall be regulations (28 CFR 35, 29 CFR 1630, 29 CFR 1625-1627, 41 CFR 60 and responsible for compliance by any subcontractor, lower-tier subcontractor 49 CFR 27) and orders of the Secretary of Labor as modified by the or service provider. provisions prescribed herein, and imposed pursuant to 23 U.S.C. 140 shall constitute the EEO and specific affirmative action standards for the Contracting agencies may reference Form FHWA-1273 in bid proposal or contractor's project activities under this contract. The provisions of the request for proposal documents, however, the Form FHWA-1273 must be Americans with Disabilities Act of 1990 (42 U.S.C. 12101 et seq.) set forth physically incorporated (not referenced) in all contracts, subcontracts and under 28 CFR 35 and 29 CFR 1630 are incorporated by reference in this lower-tier subcontracts (excluding purchase orders, rental agreements and contract. In the execution of this contract, the contractor agrees to comply other agreements for supplies or services related to a construction with the following minimum specific requirement activities of EEO: contract). a. The contractor will work with the contracting agency and the Federal 2. Subject to the applicability criteria noted in the following sections, these Government to ensure that it has made every good faith effort to provide contract provisions shall apply to all work performed on the contract by the equal opportunity with respect to all of its terms and conditions of contractor's own organization and with the assistance of workers under the employment and in their review of activities under the contract. contractor's immediate superintendence and to all work performed on the contract by piecework, station work, or by subcontract. b. The contractor will accept as its operating policy the following statement: 3. A breach of any of the stipulations contained in these Required Contract Provisions may be sufficient grounds for withholding of progress payments, "It is the policy of this Company to assure that applicants are employed, withholding of final payment, termination of the contract, suspension / and that employees are treated during employment, without regard to debarment or any other action determined to be appropriate by the their race, religion, sex, color, national origin, age or disability. Such contracting agency and FHWA. action shall include: employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay Selection of Labor: During the performance of this contract, the contractor or other forms of compensation; and selection for training, including shall not use convict labor for any purpose within the limits of a construction apprenticeship, pre-apprenticeship, and/or on-the-job training." project on a Federal-aid highway unless it is labor performed by convicts
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2. EEO Officer: The contractor will designate and make known to the national origin, age or disability. The following procedures shall be contracting officers an EEO Officer who will have the responsibility for and followed: must be capable of effectively administering and promoting an active EEO program and who must be assigned adequate authority and responsibility a. The contractor will conduct periodic inspections of project sites to to do so. insure that working conditions and employee facilities do not indicate discriminatory treatment of project site personnel. 3. Dissemination of Policy: All members of the contractor's staff who are authorized to hire, supervise, promote, and discharge employees, or who b. The contractor will periodically evaluate the spread of wages paid recommend such action, or who are substantially involved in such action, within each classification to determine any evidence of discriminatory wage will be made fully cognizant of, and will implement, the contractor's EEO practices. policy and contractual responsibilities to provide EEO in each grade and classification of employment. To ensure that the above agreement will be c. The contractor will periodically review selected personnel actions in met, the following actions will be taken as a minimum: depth to determine whether there is evidence of discrimination. Where evidence is found, the contractor will promptly take corrective action. If the a. Periodic meetings of supervisory and personnel office employees will review indicates that the discrimination may extend beyond the actions be conducted before the start of work and then not less often than once reviewed, such corrective action shall include all affected persons. every six months, at which time the contractor's EEO policy and its implementation will be reviewed and explained. The meetings will be d. The contractor will promptly investigate all complaints of alleged conducted by the EEO Officer. discrimination made to the contractor in connection with its obligations under this contract, will attempt to resolve such complaints, and will take b. All new supervisory or personnel office employees will be given a appropriate corrective action within a reasonable time. If the investigation thorough indoctrination by the EEO Officer, covering all major aspects of indicates that the discrimination may affect persons other than the the contractor's EEO obligations within thirty days following their reporting complainant, such corrective action shall include such other persons. for duty with the contractor. Upon completion of each investigation, the contractor will inform every complainant of all of their avenues of appeal. c. All personnel who are engaged in direct recruitment for the project will be instructed by the EEO Officer in the contractor's procedures for locating 6. Training and Promotion: and hiring minorities and women. a. The contractor will assist in locating, qualifying, and increasing the d. Notices and posters setting forth the contractor's EEO policy will be skills of minorities and women who are applicants for employment or placed in areas readily accessible to employees, applicants for current employees. Such efforts should be aimed at developing full journey employment and potential employees. level status employees in the type of trade or job classification involved.
e. The contractor's EEO policy and the procedures to implement such b. Consistent with the contractor's work force requirements and as policy will be brought to the attention of employees by means of meetings, permissible under Federal and State regulations, the contractor shall make employee handbooks, or other appropriate means. full use of training programs, i.e., apprenticeship, and on-the-job training programs for the geographical area of contract performance. In the event 4. Recruitment: When advertising for employees, the contractor will a special provision for training is provided under this contract, this include in all advertisements for employees the notation: "An Equal subparagraph will be superseded as indicated in the special provision. The Opportunity Employer." All such advertisements will be placed in contracting agency may reserve training positions for persons who receive publications having a large circulation among minorities and women in the welfare assistance in accordance with 23 U.S.C. 140(a). area from which the project work force would normally be derived. c. The contractor will advise employees and applicants for employment a. The contractor will, unless precluded by a valid bargaining agreement, of available training programs and entrance requirements for each. conduct systematic and direct recruitment through public and private employee referral sources likely to yield qualified minorities and women. d. The contractor will periodically review the training and promotion To meet this requirement, the contractor will identify sources of potential potential of employees who are minorities and women and will encourage minority group employees, and establish with such identified sources eligible employees to apply for such training and promotion. procedures whereby minority and women applicants may be referred to the contractor for employment consideration. 7. Unions: If the contractor relies in whole or in part upon unions as a source of employees, the contractor will use good faith efforts to obtain the b. In the event the contractor has a valid bargaining agreement providing cooperation of such unions to increase opportunities for minorities and for exclusive hiring hall referrals, the contractor is expected to observe the women. Actions by the contractor, either directly or through a contractor's provisions of that agreement to the extent that the system meets the association acting as agent, will include the procedures set forth below: contractor's compliance with EEO contract provisions. Where implementation of such an agreement has the effect of discriminating a. The contractor will use good faith efforts to develop, in cooperation against minorities or women, or obligates the contractor to do the same, with the unions, joint training programs aimed toward qualifying more such implementation violates Federal nondiscrimination provisions. minorities and women for membership in the unions and increasing the skills of minorities and women so that they may qualify for higher paying c. The contractor will encourage its present employees to refer minorities employment. and women as applicants for employment. Information and procedures with regard to referring such applicants will be discussed with employees. b. The contractor will use good faith efforts to incorporate an EEO clause into each union agreement to the end that such union will be contractually 5. Personnel Actions: Wages, working conditions, and employee benefits bound to refer applicants without regard to their race, color, religion, sex, shall be established and administered, and personnel actions of every national origin, age or disability. type, including hiring, upgrading, promotion, transfer, demotion, layoff, and termination, shall be taken without regard to race, color, religion, sex, c. The contractor is to obtain information as to the referral practices and policies of the labor union except that to the extent such information is
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within the exclusive possession of the labor union and such labor union (2) The progress and efforts being made in cooperation with unions, refuses to furnish such information to the contractor, the contractor shall when applicable, to increase employment opportunities for minorities so certify to the contracting agency and shall set forth what efforts have and women; and been made to obtain such information. (3) The progress and efforts being made in locating, hiring, training, d. In the event the union is unable to provide the contractor with a qualifying, and upgrading minorities and women; reasonable flow of referrals within the time limit set forth in the collective bargaining agreement, the contractor will, through independent recruitment b. The contractors and subcontractors will submit an annual report to efforts, fill the employment vacancies without regard to race, color, religion, the contracting agency each July for the duration of the project, indicating sex, national origin, age or disability; making full efforts to obtain qualified the number of minority, women, and non-minority group employees and/or qualifiable minorities and women. The failure of a union to provide currently engaged in each work classification required by the contract work. sufficient referrals (even though it is obligated to provide exclusive referrals This information is to be reported on Form FHWA-1391. The staffing data under the terms of a collective bargaining agreement) does not relieve the should represent the project work force on board in all or any part of the contractor from the requirements of this paragraph. In the event the union last payroll period preceding the end of July. If on-the-job training is being referral practice prevents the contractor from meeting the obligations required by special provision, the contractor will be required to collect and pursuant to Executive Order 11246, as amended, and these special report training data. The employment data should reflect the work force on provisions, such contractor shall immediately notify the contracting agency. board during all or any part of the last payroll period preceding the end of July. 8. Reasonable Accommodation for Applicants / Employees with Disabilities: The contractor must be familiar with the requirements for and comply with the Americans with Disabilities Act and all rules and regulations established there under. Employers must provide reasonable III. Nonsegregated Facilities accommodation in all employment activities unless to do so would cause an undue hardship. This provision is applicable to all Federal-aid construction contracts and to all related construction subcontracts of $10,000 or more. 9. Selection of Subcontractors, Procurement of Materials and Leasing of Equipment: The contractor shall not discriminate on the grounds of The contractor must ensure that facilities provided for employees are race, color, religion, sex, national origin, age or disability in the selection provided in such a manner that segregation on the basis of race, color, and retention of subcontractors, including procurement of materials and religion, sex, or national origin cannot result. The contractor may neither leases of equipment. The contractor shall take all necessary and require such segregated use by written or oral policies nor tolerate such reasonable steps to ensure nondiscrimination in the administration of this use by employee custom. The contractor's obligation extends further to contract. ensure that its employees are not assigned to perform their services at any location, under the contractor's control, where the facilities are segregated. a. The contractor shall notify all potential subcontractors and suppliers The term "facilities" includes waiting rooms, work areas, restaurants and and lessors of their EEO obligations under this contract. other eating areas, time clocks, restrooms, washrooms, locker rooms, and other storage or dressing areas, parking lots, drinking fountains, recreation b. The contractor will use good faith efforts to ensure subcontractor or entertainment areas, transportation, and housing provided for compliance with their EEO obligations. employees. The contractor shall provide separate or single-user restrooms and necessary dressing or sleeping areas to assure privacy between sexes. 10. Assurance Required by 49 CFR 26.13(b):
a. The requirements of 49 CFR Part 26 and the State DOT’s U.S. IV. Davis-Bacon and Related Act Provisions DOT-approved DBE program are incorporated by reference.
b. The contractor or subcontractor shall not discriminate This section is applicable to all Federal-aid construction projects exceeding on the basis of race, color, national origin, or sex in the performance of this $2,000 and to all related subcontracts and lower-tier subcontracts contract. The contractor shall carry out applicable requirements of 49 CFR (regardless of subcontract size). The requirements apply to all projects Part 26 in the award and administration of DOT-assisted contracts. Failure located within the right-of-way of a roadway that is functionally classified by the contractor to carry out these requirements is a material breach of as Federal-aid highway. This excludes roadways functionally classified as this contract, which may result in the termination of this contract or such local roads or rural minor collectors, which are exempt. Contracting other remedy as the contracting agency deems appropriate. agencies may elect to apply these requirements to other projects.
11. Records and Reports: The contractor shall keep such records as The following provisions are from the U.S. Department of Labor regulations necessary to document compliance with the EEO requirements. Such in 29 CFR 5.5 “Contract provisions and related matters” with minor records shall be retained for a period of three years following the date of revisions to conform to the FHWA-1273 format and FHWA program the final payment to the contractor for all contract work and shall be requirements. available at reasonable times and places for inspection by authorized representatives of the contracting agency and the FHWA. 1. Minimum wages a. The records kept by the contractor shall document the following: a. All laborers and mechanics employed or working upon the site of the (1) The number and work hours of minority and non- work, will be paid unconditionally and not less often than once a week, and minority group members and women employed in each work classification without subsequent deduction or rebate on any account (except such on the project; payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage
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determination of the Secretary of Labor which is attached hereto and made (4) The wage rate (including fringe benefits where appropriate) a part hereof, regardless of any contractual relationship which may be determined pursuant to paragraphs 1.b.(2) or 1.b.(3) of this section, shall alleged to exist between the contractor and such laborers and mechanics. be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification. Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, c. Whenever the minimum wage rate prescribed in the contract for a subject to the provisions of paragraph 1.d. of this section; also, regular class of laborers or mechanics includes a fringe benefit which is not contributions made or costs incurred for more than a weekly period (but expressed as an hourly rate, the contractor shall either pay the benefit as not less often than quarterly) under plans, funds, or programs which cover stated in the wage determination or shall pay another bona fide fringe the particular weekly period, are deemed to be constructively made or benefit or an hourly cash equivalent thereof. incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage d. If the contractor does not make payments to a trustee or other third determination for the classification of work actually performed, without person, the contractor may consider as part of the wages of any laborer or regard to skill, except as provided in 29 CFR 5.5(a)(4). Laborers or mechanic the amount of any costs reasonably anticipated in providing mechanics performing work in more than one classification may be bona fide fringe benefits under a plan or program, Provided, That the compensated at the rate specified for each classification for the time Secretary of Labor has found, upon the written request of the contractor, actually worked therein: Provided, That the employer's payroll records that the applicable standards of the Davis-Bacon Act have been met. The accurately set forth the time spent in each classification in which work is Secretary of Labor may require the contractor to set aside in a separate performed. The wage determination (including any additional classification account assets for the meeting of obligations under the plan or program. and wage rates conformed under paragraph 1.b. of this section) and the Davis-Bacon poster (WH–1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and 2. Withholding accessible place where it can be easily seen by the workers. The contracting agency shall upon its own action or upon written request b. (1) The contracting officer shall require that any class of laborers of an authorized representative of the Department of Labor, withhold or or mechanics, including helpers, which is not listed in the wage cause to be withheld from the contractor under this contract, or any other determination and which is to be employed under the contract shall be Federal contract with the same prime contractor, or any other federally- classified in conformance with the wage determination. The contracting assisted contract subject to Davis-Bacon prevailing wage requirements, officer shall approve an additional classification and wage rate and fringe which is held by the same prime contractor, so much of the accrued benefits therefore only when the following criteria have been met: payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the contractor or any subcontractor the full amount of wages required by (i) The work to be performed by the classification requested is not the contract. In the event of failure to pay any laborer or mechanic, performed by a classification in the wage determination; and including any apprentice, trainee, or helper, employed or working on the site of the work, all or part of the wages required by the contract, the (ii) The classification is utilized in the area by the construction contracting agency may, after written notice to the contractor, take such industry; and action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased. (iii) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination. 3. Payrolls and basic records
(2) If the contractor and the laborers and mechanics to be employed in a. Payrolls and basic records relating thereto shall be maintained by the the classification (if known), or their representatives, and the contracting contractor during the course of the work and preserved for a period of three officer agree on the classification and wage rate (including the amount years thereafter for all laborers and mechanics working at the site of the designated for fringe benefits where appropriate), a report of the action work. Such records shall contain the name, address, and social security taken shall be sent by the contracting officer to the Administrator of the number of each such worker, his or her correct classification, hourly rates Wage and Hour Division, Employment Standards Administration, U.S. of wages paid (including rates of contributions or costs anticipated for bona Department of Labor, Washington, DC 20210. The Administrator, or an fide fringe benefits or cash equivalents thereof of the types described in authorized representative, will approve, modify, or disapprove every section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly number of additional classification action within 30 days of receipt and so advise the hours worked, deductions made and actual wages paid. Whenever the contracting officer or will notify the contracting officer within the 30-day Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of period that additional time is necessary. any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the contractor shall maintain (3) In the event the contractor, the laborers or mechanics to be records which show that the commitment to provide such benefits is employed in the classification or their representatives, and the enforceable, that the plan or program is financially responsible, and that contracting officer do not agree on the proposed classification and wage the plan or program has been communicated in writing to the laborers or rate (including the amount designated for fringe benefits, where mechanics affected, and records which show the costs anticipated or the appropriate), the contracting officer shall refer the questions, including actual cost incurred in providing such benefits. Contractors employing the views of all interested parties and the recommendation of the apprentices or trainees under approved programs shall maintain written contracting officer, to the Wage and Hour Administrator for evidence of the registration of apprenticeship programs and certification of determination. The Wage and Hour Administrator, or an authorized trainee programs, the registration of the apprentices and trainees, and the representative, will issue a determination within 30 days of receipt and ratios and wage rates prescribed in the applicable programs. so advise the contracting officer or will notify the contracting officer within the 30-day period that additional time is necessary.
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b. (1) The contractor shall submit weekly for each week in which upon request or to make such records available may be grounds for any contract work is performed a copy of all payrolls to the contracting debarment action pursuant to 29 CFR 5.12. agency. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under 29 CFR 5.5(a)(3)(i), 4. Apprentices and trainees except that full social security numbers and home addresses shall not be included on weekly transmittals. Instead the payrolls shall only need to include an individually identifying number for each employee (e.g., the last a. Apprentices (programs of the USDOL). four digits of the employee's social security number). The required weekly payroll information may be submitted in any form desired. Optional Form Apprentices will be permitted to work at less than the predetermined rate WH–347 is available for this purpose from the Wage and Hour Division Web site at http://www.dol.gov/esa/whd/forms/wh347instr.htm or its for the work they performed when they are employed pursuant to and successor site. The prime contractor is responsible for the submission of individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each Administration, Office of Apprenticeship Training, Employer and Labor covered worker, and shall provide them upon request to the contracting Services, or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first 90 days of probationary agency for transmission to the State DOT, the FHWA or the Wage and Hour Division of the Department of Labor for purposes of an investigation employment as an apprentice in such an apprenticeship program, who is or audit of compliance with prevailing wage requirements. It is not a not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services or a violation of this section for a prime contractor to require a subcontractor to provide addresses and social security numbers to the prime contractor for State Apprenticeship Agency (where appropriate) to be eligible for its own records, without weekly submission to the contracting agency. probationary employment as an apprentice.
(2) Each payroll submitted shall be accompanied by a “Statement of The allowable ratio of apprentices to journeymen on the job site in any Compliance,” signed by the contractor or subcontractor or his or her agent craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any who pays or supervises the payment of the persons employed under the contract and shall certify the following: worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of (i) That the payroll for the payroll period contains the information work actually performed. In addition, any apprentice performing work on required to be provided under §5.5 (a)(3)(ii) of Regulations, 29 CFR the job site in excess of the ratio permitted under the registered program part 5, the appropriate information is being maintained under §5.5 shall be paid not less than the applicable wage rate on the wage (a)(3)(i) of Regulations, 29 CFR part 5, and that such information is determination for the work actually performed. Where a contractor is correct and complete; performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified in the contractor's or (ii) That each laborer or mechanic (including each helper, apprentice, subcontractor's registered program shall be observed. and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or Every apprentice must be paid at not less than the rate specified in the indirectly from the full wages earned, other than permissible registered program for the apprentice's level of progress, expressed as a deductions as set forth in Regulations, 29 CFR part 3; percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship (iii) That each laborer or mechanic has been paid not less than the program does not specify fringe benefits, apprentices must be paid the full applicable wage rates and fringe benefits or cash equivalents for the amount of fringe benefits listed on the wage determination for the classification of work performed, as specified in the applicable wage applicable classification. If the Administrator determines that a different determination incorporated into the contract. practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. (3) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH–347 shall satisfy the In the event the Office of Apprenticeship Training, Employer and Labor requirement for submission of the “Statement of Compliance” required Services, or a State Apprenticeship Agency recognized by the Office, by paragraph 3.b.(2) of this section. withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable (4) The falsification of any of the above certifications may subject the predetermined rate for the work performed until an acceptable program is contractor or subcontractor to civil or criminal prosecution under section approved. 1001 of title 18 and section 231 of title 31 of the United States Code. b. Trainees (programs of the USDOL). c. The contractor or subcontractor shall make the records required under paragraph 3.a. of this section available for inspection, copying, or Except as provided in 29 CFR 5.16, trainees will not be permitted to work transcription by authorized representatives of the contracting agency, the at less than the predetermined rate for the work performed unless they are State DOT, the FHWA, or the Department of Labor, and shall permit such employed pursuant to and individually registered in a program which has representatives to interview employees during working hours on the job. If received prior approval, evidenced by formal certification by the U.S. the contractor or subcontractor fails to submit the required records or to Department of Labor, Employment and Training Administration. make them available, the FHWA may, after written notice to the contractor, the contracting agency or the State DOT, take such action as may be necessary to cause the suspension of any further payment, advance, or The ratio of trainees to journeymen on the job site shall not be greater than guarantee of funds. Furthermore, failure to submit the required records permitted under the plan approved by the Employment and Training Administration.
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Every trainee must be paid at not less than the rate specified in the CFR parts 5, 6, and 7. Disputes within the meaning of this clause include approved program for the trainee's level of progress, expressed as a disputes between the contractor (or any of its subcontractors) and the percentage of the journeyman hourly rate specified in the applicable wage contracting agency, the U.S. Department of Labor, or the employees or determination. Trainees shall be paid fringe benefits in accordance with the their representatives. provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed 10. Certification of eligibility. on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination a. By entering into this contract, the contractor certifies that neither it (nor which provides for less than full fringe benefits for apprentices. Any he or she) nor any person or firm who has an interest in the contractor's employee listed on the payroll at a trainee rate who is not registered and firm is a person or firm ineligible to be awarded Government contracts by participating in a training plan approved by the Employment and Training virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1). Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio b. No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of permitted under the registered program shall be paid not less than the the Davis-Bacon Act or 29 CFR 5.12(a)(1). applicable wage rate on the wage determination for the work actually performed. c. The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001. In the event the Employment and Training Administration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. V. Contract Work Hours And Safety Standards c. Equal employment opportunity. The utilization of apprentices, trainees Act and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as The following clauses apply to any Federal-aid construction contract in an amended, and 29 CFR part 30. amount in excess of $100,000 and subject to the overtime provisions of the Contract Work Hours and Safety Standards Act. These clauses shall be d. Apprentices and Trainees (programs of the U.S. DOT). inserted in addition to the clauses required by 29 CFR 5.5(a) or 29 CFR 4.6. As used in this paragraph, the terms laborers and mechanics include watchmen and guards. Apprentices and trainees working under apprenticeship and skill training programs which have been certified by the Secretary of Transportation as promoting EEO in connection with Federal-aid highway construction 1. Overtime requirements. No contractor or subcontractor contracting programs are not subject to the requirements of paragraph 4 of this Section for any part of the contract work which may require or involve the IV. The straight time hourly wage rates for apprentices and trainees under employment of laborers or mechanics shall require or permit any such such programs will be established by the particular programs. The ratio of laborer or mechanic in any workweek in which he or she is employed on apprentices and trainees to journeymen shall not be greater than permitted such work to work in excess of forty hours in such workweek unless such by the terms of the particular program. laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek. 5. Compliance with Copeland Act requirements. The contractor shall comply with the requirements of 29 CFR part 3, which are incorporated by reference in this contract. 2. Violation; liability for unpaid wages; liquidated damages. In the event of any violation of the clause set forth in paragraph (1.) of this section, the contractor and any subcontractor responsible therefor shall be liable 6. Subcontracts. The contractor or subcontractor shall insert Form for the unpaid wages. In addition, such contractor and subcontractor shall FHWA-1273 in any subcontracts and also require the subcontractors to be liable to the United States (in the case of work done under contract for include Form FHWA-1273 in any lower tier subcontracts. The prime the District of Columbia or a territory, to such District or to such territory), contractor shall be responsible for the compliance by any subcontractor or for liquidated damages. Such liquidated damages shall be computed with lower tier subcontractor with all the contract clauses in 29 CFR 5.5. respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (1.) of 7. Contract termination: debarment. A breach of the contract clauses this section, in the sum of $10 for each calendar day on which such in 29 CFR 5.5 may be grounds for termination of the contract, and for individual was required or permitted to work in excess of the standard debarment as a contractor and a subcontractor as provided in 29 CFR workweek of forty hours without payment of the overtime wages required 5.12. by the clause set forth in paragraph (1.) of this section.
8. Compliance with Davis-Bacon and Related Act requirements. All 3. Withholding for unpaid wages and liquidated damages. The FHWA rulings and interpretations of the Davis-Bacon and Related Acts contained or the contacting agency shall upon its own action or upon written request in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this of an authorized representative of the Department of Labor withhold or contract. cause to be withheld, from any moneys payable on account of work performed by the contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other 9. Disputes concerning labor standards. Disputes arising out of the federally-assisted contract subject to the Contract Work Hours and Safety labor standards provisions of this contract shall not be subject to the Standards Act, which is held by the same prime contractor, such sums as general disputes clause of this contract. Such disputes shall be resolved in may be determined to be necessary to satisfy any liabilities of such accordance with the procedures of the Department of Labor set forth in 29
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contractor or subcontractor for unpaid wages and liquidated damages as authorized representative, and such consent when given shall not be provided in the clause set forth in paragraph (2.) of this section. construed to relieve the contractor of any responsibility for the fulfillment of the contract. Written consent will be given only after the contracting agency has assured that each subcontract is evidenced in writing and that The contractor or subcontractor shall insert in any 4. Subcontracts. it contains all pertinent provisions and requirements of the prime contract. subcontracts the clauses set forth in paragraph (1.) through (4.) of this section and also a clause requiring the subcontractors to include these 5. The 30% self-performance requirement of paragraph (1) is not clauses in any lower tier subcontracts. The prime contractor shall be applicable to design-build contracts; however, contracting agencies may responsible for compliance by any subcontractor or lower tier establish their own self-performance requirements. subcontractor with the clauses set forth in paragraphs (1.) through (4.) of this section.
VII. Safety: Accident Prevention
VI. Subletting Or Assigning The Contract This provision is applicable to all Federal-aid construction contracts and to all related subcontracts. This provision is applicable to all Federal-aid construction contracts on the National Highway System. 1. In the performance of this contract the contractor shall comply with all applicable Federal, State, and local laws governing safety, health, and 1. The contractor shall perform with its own organization contract work sanitation (23 CFR 635). The contractor shall provide all safeguards, safety amounting to not less than 30 percent (or a greater percentage if specified devices and protective equipment and take any other needed actions as it elsewhere in the contract) of the total original contract price, excluding any determines, or as the contracting officer may determine, to be reasonably specialty items designated by the contracting agency. Specialty items may necessary to protect the life and health of employees on the job and the be performed by subcontract and the amount of any such specialty items safety of the public and to protect property in connection with the performed may be deducted from the total original contract price before performance of the work covered by the contract. computing the amount of work required to be performed by the contractor's own organization (23 CFR 635.116). 2. It is a condition of this contract, and shall be made a condition of each subcontract, which the contractor enters into pursuant to this contract, that a. The term “perform work with its own organization” refers to workers the contractor and any subcontractor shall not permit any employee, in employed or leased by the prime contractor, and equipment owned or performance of the contract, to work in surroundings or under conditions rented by the prime contractor, with or without operators. Such term does which are unsanitary, hazardous or dangerous to his/her health or safety, not include employees or equipment of a subcontractor or lower tier as determined under construction safety and health standards (29 CFR subcontractor, agents of the prime contractor, or any other assignees. The 1926) promulgated by the Secretary of Labor, in accordance with Section term may include payments for the costs of hiring leased employees from 107 of the Contract Work Hours and Safety Standards Act (40 U.S.C. an employee leasing firm meeting all relevant Federal and State regulatory 3704). requirements. Leased employees may only be included in this term if the prime contractor meets all of the following conditions: 3. Pursuant to 29 CFR 1926.3, it is a condition of this contract that the Secretary of Labor or authorized representative thereof, shall have right of (1) the prime contractor maintains control over the entry to any site of contract performance to inspect or investigate the supervision of the day-to-day activities of the leased employees; matter of compliance with the construction safety and health standards and (2) the prime contractor remains responsible for the quality of the work to carry out the duties of the Secretary under Section 107 of the Contract of the leased employees; Work Hours and Safety Standards Act (40 U.S.C.3704). (3) the prime contractor retains all power to accept or exclude individual employees from work on the project; and (4) the prime contractor remains ultimately responsible for the payment of predetermined minimum wages, the submission of payrolls, VIII. False Statements Concerning Highway statements of compliance and all other Federal regulatory requirements. Projects
b. "Specialty Items" shall be construed to be limited to work that requires highly specialized knowledge, abilities, or equipment not ordinarily This provision is applicable to all Federal-aid available in the type of contracting organizations qualified and expected to bid or propose on the contract as a whole and in general are to be limited construction contracts and to all related subcontracts. to minor components of the overall contract. In order to assure high quality and durable construction in conformity with 2. The contract amount upon which the requirements set forth in approved plans and specifications and a high degree of reliability on paragraph (1) of Section VI is computed includes the cost of material and statements and representations made by engineers, contractors, manufactured products which are to be purchased or produced by the suppliers, and workers on Federal-aid highway projects, it is essential that contractor under the contract provisions. all persons concerned with the project perform their functions as carefully, thoroughly, and honestly as possible. Willful falsification, distortion, or 3. The contractor shall furnish (a) a competent superintendent or misrepresentation with respect to any facts related to the project is a supervisor who is employed by the firm, has full authority to direct violation of Federal law. To prevent any misunderstanding regarding the performance of the work in accordance with the contract requirements, and seriousness of these and similar acts, Form FHWA-1022 shall be posted is in charge of all construction operations (regardless of who performs the on each Federal-aid highway project (23 CFR 635) in one or more places work) and (b) such other of its own organizational resources (supervision, where it is readily available to all persons concerned with the project: management, and engineering services) as the contracting officer determines is necessary to assure the performance of the contract. 18 U.S.C. 1020 reads as follows: 4. No portion of the contract shall be sublet, assigned or otherwise disposed of except with the written consent of the contracting officer, or
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"Whoever, being an officer, agent, or employee of the United States, or agency's determination whether to enter into this transaction. However, of any State or Territory, or whoever, whether a person, association, firm, failure of the prospective first tier participant to furnish a certification or an or corporation, knowingly makes any false statement, false representation, explanation shall disqualify such a person from participation in this or false report as to the character, quality, quantity, or cost of the material transaction. used or to be used, or the quantity or quality of the work performed or to be performed, or the cost thereof in connection with the submission of c. The certification in this clause is a material representation of fact upon plans, maps, specifications, contracts, or costs of construction on any which reliance was placed when the contracting agency determined to highway or related project submitted for approval to the Secretary of enter into this transaction. If it is later determined that the prospective Transportation; or participant knowingly rendered an erroneous certification, in addition to other remedies available to the Federal Government, the contracting Whoever knowingly makes any false statement, false representation, agency may terminate this transaction for cause of default. false report or false claim with respect to the character, quality, quantity, or cost of any work performed or to be performed, or materials furnished or to d. The prospective first tier participant shall provide immediate written be furnished, in connection with the construction of any highway or related notice to the contracting agency to whom this proposal is submitted if any project approved by the Secretary of Transportation; or time the prospective first tier participant learns that its certification was erroneous when submitted or has become erroneous by reason of Whoever knowingly makes any false statement or false representation as changed circumstances. to material fact in any statement, certificate, or report submitted pursuant to provisions of the Federal-aid Roads Act approved July 1, 1916, (39 Stat. e. The terms "covered transaction," "debarred," "suspended," 355), as amended and supplemented; "ineligible," "participant," "person,” “principal," and "voluntarily excluded," as used in this clause, are defined in 2 CFR Parts 180 and 1200. “First Shall be fined under this title or imprisoned not more than 5 years or both." Tier Covered Transactions” refers to any covered transaction between a grantee or subgrantee of Federal funds and a participant (such as the prime or general contract). “Lower Tier Covered Transactions” refers to IX. Implementation Of Clean Air Act And Federal any covered transaction under a First Tier Covered Transaction (such as subcontracts). “First Tier Participant” refers to the participant who has Water Pollution Control Act entered into a covered transaction with a grantee or subgrantee of Federal funds (such as the prime or general contractor). “Lower Tier Participant” This provision is applicable to all Federal-aid construction contracts and to refers any participant who has entered into a covered transaction with a all related subcontracts. First Tier Participant or other Lower Tier Participants (such as subcontractors and suppliers). By submission of this bid/proposal or the execution of this contract, or subcontract, as appropriate, the bidder, proposer, Federal-aid construction f. The prospective first tier participant agrees by submitting this proposal contractor, or subcontractor, as appropriate, will be deemed to have that, should the proposed covered transaction be entered into, it shall not stipulated as follows: knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from 1. That any person who is or will be utilized in the performance of this participation in this covered transaction, unless authorized by the contract is not prohibited from receiving an award due to a violation of department or agency entering into this transaction. Section 508 of the Clean Water Act or Section 306 of the Clean Air Act. 2. That the contractor agrees to include or cause to be included the g. The prospective first tier participant further agrees by submitting this requirements of paragraph (1) of this Section X in every subcontract, and proposal that it will include the clause titled "Certification Regarding further agrees to take such action as the contracting agency may direct as Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier a means of enforcing such requirements. Covered Transactions," provided by the department or contracting agency, entering into this covered transaction, without modification, in all lower tier covered transactions and in all solicitations for lower tier covered X. Certification Regarding Debarment, transactions exceeding the $25,000 threshold.
Suspension, Ineligibility And Voluntary Exclusion h. A participant in a covered transaction may rely upon a certification of
a prospective participant in a lower tier covered transaction that is not This provision is applicable to all Federal-aid construction contracts, debarred, suspended, ineligible, or voluntarily excluded from the covered design-build contracts, subcontracts, lower-tier subcontracts, purchase transaction, unless it knows that the certification is erroneous. A participant orders, lease agreements, consultant contracts or any other covered is responsible for ensuring that its principals are not suspended, debarred, transaction requiring FHWA approval or that is estimated to cost $25,000 or otherwise ineligible to participate in covered transactions. To verify the or more – as defined in 2 CFR Parts 180 and 1200. eligibility of its principals, as well as the eligibility of any lower tier
prospective participants, each participant may, but is not required to, check
the Excluded Parties List System website (https://www.epls.gov/), which is
compiled by the General Services Administration. 1. Instructions for Certification – First Tier Participants: i. Nothing contained in the foregoing shall be construed to require the establishment of a system of records in order to render in good faith the a. By signing and submitting this proposal, the prospective first tier certification required by this clause. The knowledge and information of the participant is providing the certification set out below. prospective participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business b. The inability of a person to provide the certification set out below will dealings. not necessarily result in denial of participation in this covered transaction. The prospective first tier participant shall submit an explanation of why it j. Except for transactions authorized under paragraph (f) of these cannot provide the certification set out below. The certification or instructions, if a participant in a covered transaction knowingly enters into explanation will be considered in connection with the department or a lower tier covered transaction with a person who is suspended, debarred,
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ineligible, or voluntarily excluded from participation in this transaction, in Federal funds and a participant (such as the prime or general contract). addition to other remedies available to the Federal Government, the “Lower Tier Covered Transactions” refers to any covered transaction under department or agency may terminate this transaction for cause or default. a First Tier Covered Transaction (such as subcontracts). “First Tier Participant” refers to the participant who has entered into a covered transaction with a grantee or subgrantee of Federal funds (such as the prime or general contractor). “Lower Tier Participant” refers any participant 2. Certification Regarding Debarment, who has entered into a covered transaction with a First Tier Participant or other Lower Tier Participants (such as subcontractors and suppliers). Suspension, Ineligibility and Voluntary Exclusion – First Tier Participants: e. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it a. The prospective first tier participant certifies to the best of its knowledge shall not knowingly enter into any lower tier covered transaction with a and belief, that it and its principals: person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized (1) Are not presently debarred, suspended, proposed for debarment, by the department or agency with which this transaction originated. declared ineligible, or voluntarily excluded from participating in covered transactions by any Federal department or agency; f. The prospective lower tier participant further agrees by submitting this proposal that it will include this clause titled "Certification Regarding (2) Have not within a three-year period preceding this proposal been Debarment, Suspension, Ineligibility and Voluntary Exclusion-Lower Tier convicted of or had a civil judgment rendered against them for commission Covered Transaction," without modification, in all lower tier covered of fraud or a criminal offense in connection with obtaining, attempting to transactions and in all solicitations for lower tier covered transactions obtain, or performing a public (Federal, State or local) transaction or exceeding the $25,000 threshold. contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, g. A participant in a covered transaction may rely upon a certification of falsification or destruction of records, making false statements, or receiving a prospective participant in a lower tier covered transaction that is not stolen property; debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant (3) Are not presently indicted for or otherwise criminally or civilly is responsible for ensuring that its principals are not suspended, debarred, charged by a governmental entity (Federal, State or local) with commission or otherwise ineligible to participate in covered transactions. To verify the of any of the offenses enumerated in paragraph (a)(2) of this certification; eligibility of its principals, as well as the eligibility of any lower tier and prospective participants, each participant may, but is not required to, check the Excluded Parties List System website (https://www.epls.gov/), which is (4) Have not within a three-year period preceding this compiled by the General Services Administration. application/proposal had one or more public transactions (Federal, State or local) terminated for cause or default. h. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the b. Where the prospective participant is unable to certify to any of the certification required by this clause. The knowledge and information of statements in this certification, such prospective participant shall attach an participant is not required to exceed that which is normally possessed by a explanation to this proposal. prudent person in the ordinary course of business dealings.
2. Instructions for Certification - Lower Tier Participants: i. Except for transactions authorized under paragraph e of these instructions, if a participant in a covered transaction knowingly enters into (Applicable to all subcontracts, purchase orders and other lower tier a lower tier covered transaction with a person who is suspended, debarred, transactions requiring prior FHWA approval or estimated to cost $25,000 ineligible, or voluntarily excluded from participation in this transaction, in or more - 2 CFR Parts 180 and 1200) addition to other remedies available to the Federal Government, the department or agency with which this transaction originated may pursue a. By signing and submitting this proposal, the prospective lower tier is available remedies, including suspension and/or debarment. providing the certification set out below. Certification Regarding Debarment, Suspension, Ineligibility and b. The certification in this clause is a material representation of fact upon Voluntary Exclusion--Lower Tier Participants: which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly 1. The prospective lower tier participant certifies, by submission of this rendered an erroneous certification, in addition to other remedies available proposal, that neither it nor its principals is presently debarred, suspended, to the Federal Government, the department, or agency with which this proposed for debarment, declared ineligible, or voluntarily excluded from transaction originated may pursue available remedies, including participating in covered transactions by any Federal department or agency. suspension and/or debarment. 2. Where the prospective lower tier participant is unable to certify to any c. The prospective lower tier participant shall provide immediate written of the statements in this certification, such prospective participant shall notice to the person to which this proposal is submitted if at any time the attach an explanation to this proposal. prospective lower tier participant learns that its certification was erroneous by reason of changed circumstances.
d. The terms "covered transaction," "debarred," "suspended," XI. Certification Regarding Use Of Contract Funds "ineligible," "participant," "person," "principal," and "voluntarily excluded," as used in this clause, are defined in 2 CFR Parts 180 and 1200. You may For Lobbying contact the person to which this proposal is submitted for assistance in obtaining a copy of those regulations. “First Tier Covered Transactions” This provision is applicable to all Federal-aid construction contracts and to refers to any covered transaction between a grantee or subgrantee of all related subcontracts which exceed $100,000 (49 CFR 20).
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1. The prospective participant certifies, by signing and submitting this bid or proposal, to the best of his or her knowledge and belief, that: a. To the extent that qualified persons regularly residing in the area are not available. a. No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting b. For the reasonable needs of the contractor to employ supervisory or to influence an officer or employee of any Federal agency, a Member of specially experienced personnel necessary to assure an efficient execution Congress, an officer or employee of Congress, or an employee of a of the contract work. Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, c. For the obligation of the contractor to offer employment to present or the entering into of any cooperative agreement, and the extension, former employees as the result of a lawful collective bargaining contract, continuation, renewal, amendment, or modification of any Federal contract, provided that the number of nonresident persons employed under this grant, loan, or cooperative agreement. subparagraph (1c) shall not exceed 20 percent of the total number of employees employed by the contractor on the contract work, except as b. If any funds other than Federal appropriated funds have been paid or provided in subparagraph (4) below. will be paid to any person for influencing or attempting to influence an officer or employee of any Federal agency, a Member of Congress, an 2. The contractor shall place a job order with the State Employment officer or employee of Congress, or an employee of a Member of Congress Service indicating (a) the classifications of the laborers, mechanics and in connection with this Federal contract, grant, loan, or cooperative other employees required to perform the contract work, (b) the number of agreement, the undersigned shall complete and submit Standard Form- employees required in each classification, (c) the date on which the LLL, "Disclosure Form to Report Lobbying," in accordance with its participant estimates such employees will be required, and (d) any other instructions. pertinent information required by the State Employment Service to complete the job order form. The job order may be placed with the State 2. This certification is a material representation of fact upon which reliance Employment Service in writing or by telephone. If during the course of the was placed when this transaction was made or entered into. Submission contract work, the information submitted by the contractor in the original of this certification is a prerequisite for making or entering into this job order is substantially modified, the participant shall promptly notify the transaction imposed by 31 U.S.C. 1352. Any person who fails to file the State Employment Service. required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. 3. The contractor shall give full consideration to all qualified job applicants referred to him by the State Employment Service. The contractor is not 3. The prospective participant also agrees by submitting its bid or required to grant employment to any job applicants who, in his opinion, are proposal that the participant shall require that the language of this not qualified to perform the classification of work required. certification be included in all lower tier subcontracts, which exceed $100,000 and that all such recipients shall certify and disclose accordingly. 4. If, within one week following the placing of a job order by the contractor with the State Employment Service, the State Employment Service is unable to refer any qualified job applicants to the contractor, or less than ATTACHMENT A - EMPLOYMENT AND the number requested, the State Employment Service will forward a certificate to the contractor indicating the unavailability of applicants. Such MATERIALS PREFERENCE FOR APPALACHIAN certificate shall be made a part of the contractor's permanent project DEVELOPMENT HIGHWAY SYSTEM OR records. Upon receipt of this certificate, the contractor may employ persons who do not normally reside in the labor area to fill positions APPALACHIAN LOCAL ACCESS ROAD covered by the certificate, notwithstanding the provisions of subparagraph CONTRACTS (1c) above. This provision is applicable to all Federal-aid projects funded under the Appalachian Regional Development Act of 1965. 5. The provisions of 23 CFR 633.207(e) allow the contracting agency to provide a contractual preference for the use of mineral resource 1. During the performance of this contract, the contractor undertaking to materials native to the Appalachian region. do work which is, or reasonably may be, done as on-site work, shall give preference to qualified persons who regularly reside in the labor area as 6. The contractor shall include the provisions of Sections 1 through 4 of designated by the DOL wherein the contract work is situated, or the this Attachment A in every subcontract for work which is, or reasonably subregion, or the Appalachian counties of the State wherein the contract may be, done as on-site work. work is situated, except:
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8.4 FTA Clauses U.S.C. 5302(a)1, which is receiving federal financial assistance through the programs described at 49 U.S.C. 5307, 5309 or 5311. THE CITY OF EL PASO FEDERAL CLAUSES AND FORMS (Operations/Management Contracts) 2. Where any Purchaser which is the FTA Recipient or a subgrantee of FEDERAL FUNDING REQUIREMENTS the FTA Recipient in accordance with 49 U.S.C. 5325(a) enters into a contract for a capital project or improvement (defined at 49 U.S.C. 5302(a)1) through other than competitive bidding, the Contractor shall PROGRAM FRAUD AND FALSE OR FRAUDULENT STATEMENTS make available records related to the contract to the Purchaser, the AND RELATED ACTS Secretary of Transportation and the Comptroller General or any 31 U.S.C. 3801 et seq. authorized officer or employee of any of them for the purposes of 49 CFR Part 31 18 U.S.C. 1001 conducting an audit and inspection. 49 U.S.C. 5307 3. The Contractor agrees to permit any of the foregoing parties to Program Fraud and False or Fraudulent Statements or Related reproduce by any means whatsoever or to copy excerpts and Acts. transcriptions as reasonably needed.
(1) The Contractor acknowledges that the provisions of the Program 4. The Contractor agrees to maintain all books, records, accounts and Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. § 3801 et reports required under this contract for a period of not less than three seq. and U.S. DOT regulations, "Program Fraud Civil Remedies," 49 years after the date of termination or expiration of this contract, except C.F.R. Part 31, apply to its actions pertaining to this Project. Upon in the event of litigation or settlement of claims arising from the execution of the underlying contract, the Contractor certifies or affirms performance of this contract, in which case Contractor agrees to the truthfulness and accuracy of any statement it has made, it makes, it maintain same until the Purchaser, the FTA Administrator, the may make, or causes to be made, pertaining to the underlying contract Comptroller General, or any of their duly authorized representatives, or the FTA assisted project for which this contract work is being have disposed of all such litigation, appeals, claims or exceptions related performed. In addition to other penalties that may be applicable, the thereto. Reference 49 CFR 18.42(i)(11). Contractor further acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or FEDERAL CHANGES certification, the Federal Government reserves the right to impose the 49 CFR Part 18 penalties of the Program Fraud Civil Remedies Act of 1986 on the Contractor to the extent the Federal Federal Changes - Contractor shall at all times comply with all Government deems appropriate. applicable FTA regulations, policies, procedures and directives, including without limitation those listed directly or by reference in the (2) The Contractor also acknowledges that if it makes, or causes to be Master Agreement MA21, dated October, 2014 between Purchaser and made, a false, fictitious, or fraudulent claim, statement, submission, or FTA, as they may be amended or promulgated from time to time during certification to the Federal Government under a contract connected with the term of this contract. Contractor's failure to so comply shall constitute a project that is financed in whole or in part with Federal assistance a material breach of this contract. originally awarded by FTA under the authority of 49 U.S.C. § 5323, the Government reserves the right to impose the penalties of 18 U.S.C. § NO OBLIGATIONS BY THE FEDERAL GOVERNMENT 1001 and 49 U.S.C. § 5323(l) on the Contractor, to the extent the Federal Government deems appropriate. (1) The Purchaser and Contractor acknowledge and agree that, notwithstanding any concurrence by the Federal Government in or (3) The Contractor agrees to include the above two clauses in each approval of the solicitation or award of the underlying contract, absent subcontract financed in whole or in part with Federal assistance the express written consent by the Federal Government, the Federal provided by FTA. It is further agreed that the clauses shall not be Government is not a party to this contract and shall not be subject to any modified, except to identify the subcontractor who will be subject to the obligations or liabilities to the Purchaser, Contractor, or any other party provisions. (whether or not a party to that contract) pertaining to any matter resulting from the underlying contract. ACCESS TO RECORDS AND REPORTS 49 U.S.C. 5325 18 CFR 18.36 (i) (2) The Contractor agrees to include the above clause in each 49 CFR 633.17 subcontract financed in whole or in part with Federal assistance provided by FTA. It is further agreed that the clause shall not be Access to Records - The following access to records requirements modified, except to identify the subcontractor who will be subject to its apply to this Contract: provisions.
1. Where the Purchaser is not a State but a local government and is the TERMINATION FTA Recipient or a subgrantee of the FTA Recipient in accordance with 49 U.S.C. Part 18 49 C.F.R. 18.36(i), the Contractor agrees to provide the Purchaser, the FTA Circular 4220.1F FTA Administrator, the Comptroller General of the United States or any of their authorized representatives access to any books, documents, a. Termination for Convenience The (Recipient), by written notice, papers and records of the Contractor which are directly pertinent to this may terminate this contract, in whole or in part, when it is in the contract for the purposes of making audits, examinations, excerpts and Government's interest. If this contract is terminated, the Recipient shall transcriptions. Contractor also agrees, pursuant to 49 C.F.R. 633.17 to be liable only for payment under the payment provisions of this contract provide the FTA Administrator or his authorized representatives for services rendered before the effective date of termination including any PMO Contractor access to Contractor's records and construction sites pertaining to a major capital project, defined at 49 Company Name ______Initials ______Date ______
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b. Termination for Default [Breach or Cause] If the Contractor does not deliver supplies in accordance with the contract delivery schedule, Claims for Damages - Should either party to the Contract suffer injury or, if the contract is for services, the Contractor fails to perform in the or damage to person or property because of any act or omission of the manner called for in the contract, or if the Contractor fails to comply with party or of any of his employees, agents or others for whose acts he is any other provisions of the contract, the (Recipient) may terminate this legally liable, a claim for damages therefor shall be made in writing to contract for default. Termination shall be effected by serving a notice of such other party within a reasonable time after the first observance of termination on the contractor setting forth the manner in which the such injury of damage. Contractor is in default. The contractor will only be paid the contract price for supplies delivered and accepted, or services performed in Remedies - Unless this contract provides otherwise, all claims, accordance with the manner of performance set forth in the contract. counterclaims, disputes and other matters in question between the (Recipient) and the Contractor arising out of or relating to this agreement If it is later determined by the (Recipient) that the Contractor had an or its breach will be decided by arbitration if the parties mutually agree, excusable reason for not performing, such as a strike, fire, or flood, or in a court of competent jurisdiction within the State in which the events which are not the fault of or are beyond the control of the (Recipient) is located. Contractor, the (Recipient), after setting up a new delivery of performance schedule, may allow the Contractor to continue work, or Rights and Remedies - The duties and obligations imposed by the treat the termination as a termination for convenience. Contract Documents and the rights and remedies available thereunder shall be in addition to and not a limitation of any duties, obligations, rights If, after termination for failure to fulfill contract obligations, it is and remedies otherwise imposed or available by law. No action or determined that the Contractor was not in default, the rights and failure to act by the (Recipient), (Architect) or Contractor shall constitute obligations of the parties shall be the same as if the termination had a waiver of any right or duty afforded any of them under the Contract, been issued for the convenience of the (Recipient). nor shall any such action or failure to act constitute an approval of or acquiescence in any breach thereunder, except as may be specifically c. Opportunity to Cure The (Recipient) in its sole discretion may, in agreed in writing. the case of a termination for breach or default, allow the Contractor [an appropriately short period of time] in which to cure the defect. In such case, the notice of termination will state the time period in which cure is CIVIL RIGHTS REQUIREMENTS permitted and other appropriate conditions 29 U.S.C. § 623, 42 U.S.C. § 2000 42 U.S.C. § 6102, 42 U.S.C. § 12112 If Contractor fails to remedy to (Recipient)'s satisfaction the breach or 42 U.S.C. § 12132, 49 U.S.C. § 5332 default of any of the terms, covenants, or conditions of this Contract 29 CFR Part 1630, 41 CFR Parts 60 et seq. within [ten (10) days] after receipt by Contractor of written notice from (Recipient) setting forth the nature of said breach or default, (Recipient) Civil Rights - The following requirements apply to the underlying shall have the right to terminate the Contract without any further contract: obligation to Contractor. Any such termination for default shall not in any way operate to preclude (Recipient) from also pursuing all available (1) Nondiscrimination - In accordance with Title VI of the Civil Rights Act, remedies against Contractor and its sureties for said breach or default. as amended, 42 U.S.C. § 2000d, section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6102, section 202 of the d. Waiver of Remedies for any Breach In the event that (Recipient) Americans with Disabilities Act of 1990, 42 U.S.C. § 12132, and Federal elects to waive its remedies for any breach by Contractor of any transit law at 49 U.S.C. § 5332, the Contractor agrees that it will not covenant, term or condition of this Contract, such waiver by (Recipient) discriminate against any employee or applicant for employment because shall not limit (Recipient)'s remedies for any succeeding breach of that of race, color, creed, national origin, sex, age, or disability. In addition, or of any other term, covenant, or condition of this Contract. the Contractor agrees to comply with applicable Federal implementing regulations and other implementing requirements FTA may issue. If, after termination for failure to fulfill contract obligations, it is determined that the Contractor was not in default, the rights and (2) Equal Employment Opportunity - The following equal employment obligations of the parties shall be the same as if the termination had opportunity requirements apply to the underlying contract: been issued for the convenience of the Recipient. (a) Race, Color, Creed, National Origin, Sex - In accordance with Title BREACHES AND DISPUTE RESOLUTION VII of the Civil Rights Act, as amended, 42 U.S.C. § 2000e, and Federal 49 CFR Part 18 transit laws at 49 U.S.C. § 5332, the Contractor agrees to comply with FTA Circular 4220.1F all applicable equal employment opportunity requirements of U.S. Department of Labor (U.S. DOL) regulations, "Office of Federal Contract Disputes - Disputes arising in the performance of this Contract which Compliance Programs, Equal Employment Opportunity, Department of are not resolved by agreement of the parties shall be decided in writing Labor," 41 C.F.R. Parts 60 et seq., (which implement Executive Order by the authorized representative of (Recipient)'s [title of employee]. This No. 11246, "Equal Employment Opportunity," as amended by Executive decision shall be final and conclusive unless within [ten (10)] days from Order No. 11375, "Amending Executive Order 11246 Relating to Equal the date of receipt of its copy, the Contractor mails or otherwise Employment Opportunity," 42 U.S.C. § 2000e note), and with any furnishes a written appeal to the [title of employee]. In connection with applicable Federal statutes, executive orders, regulations, and Federal any such appeal, the Contractor shall be afforded an opportunity to be policies that may in the future affect construction activities undertaken in heard and to offer evidence in support of its position. The decision of the course of the Project. The Contractor agrees to take affirmative the [title of employee] shall be binding upon the Contractor and the action to ensure that applicants are employed, and that employees are Contractor shall abide be the decision. treated during employment, without regard to their race, color, creed, national origin, sex, or age. Such action shall include, but not be limited Performance During Dispute - Unless otherwise directed by to, the following: employment, upgrading, demotion or transfer, (Recipient), Contractor shall continue performance under this Contract recruitment or recruitment advertising, layoff or termination; rates of pay while matters in dispute are being resolved. or other forms of compensation; and selection for training, including
Company Name ______Initials ______Date ______
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apprenticeship. In addition, the Contractor agrees to comply with any afforded equal opportunity to use transportation system and services. implementing requirements FTA may issue. Veterans Employment:
(b) Age - In accordance with section 4 of the Age Discrimination in Recipients and subrecipients of Federal financial assistance under this Employment Act of 1967, as amended, 29 U.S.C. § § 623 and Federal chapter shall transit law at 49 U.S.C. § 5332, the Contractor agrees to refrain from ensure that contractors working on a capital project funded using such discrimination against present and prospective employees for reason of assistance give a age. In addition, the Contractor agrees to comply with any implementing hiring preference, to the extent practicable, to veterans (as defined in requirements FTA may issue. section 2108 of title 5) who have the requisite skills and abilities to perform the (c) Disabilities - In accordance with section 102 of the Americans with construction work required Disabilities Act, as amended, 42 U.S.C. § 12112, the Contractor agrees under the contract. This subsection shall not be understood, construed that it will comply with the requirements of U.S. Equal Employment or enforced in any Opportunity Commission, "Regulations to Implement the Equal manner that would require an employer to give a preference to any Employment Provisions of the Americans with Disabilities Act," 29 veteran over any C.F.R. Part 1630, pertaining to employment of persons with disabilities. equally qualified applicant who is a member of any racial or ethnic In addition, the Contractor agrees to comply with any implementing minority, female, an requirements FTA may issue. individual with a disability, or a former employee.
(3) The Contractor also agrees to include these requirements in each subcontract financed in whole or in part with Federal assistance DISADVANTAGED BUSINESS ENTERPRISE (DBE) provided by FTA, modified only if necessary to identify the affected 49 CFR Part 26 parties. Disadvantaged Business Enterprises Americans with Disabilities: 1. Policy: It is the policy of the Department of The recipient agrees to comply, and assures the compliance of each Transportation (DOT) that disadvantaged business third party contractor and each subrecipient at any tier of the project, enterprises as defined in 49 CFR Part 26, and as amended in with the applicable laws and regulations, discussed below, for Section 1061(c) of the Surface Transportation and Uniform nondiscrimination on the basis of disability. Relocation Assistance Act of 1987, shall have the maximum opportunity to participate in the performance of contracts Page IV-14 FTA C 4220.1F (11/01/2008); Rev.1 – 04/14/2009; Rev.2 – financed in whole or part with federal funds under this 07/01/2010; Rev.3 – 02/15/2011; Agreement. Consequently, the DBE requirements of 49 CFR Section 504 of the Rehabilitation Act of 1973, as amended (Section Part 26 and Section 1061(c) of the Surface Transportation 504), 29 U.S.C. Section 794, prohibits discrimination on the basis of and Uniform Relocation Assistance Act of 1987 apply to this disability by recipients of Federal financial assistance. Agreement. The Americans with Disabilities Act of 1990, as amended (ADA), 42 U.S.C. Sections 12101 et seq., prohibits discrimination against qualified individuals with disabilities in all programs, activities, and services of 2. DBE Obligation: The Contractor or its public entities, as well as imposes specific requirements on public and representative agrees to ensure that disadvantaged business private providers of transportation. enterprises as defined in 49 CFR Part 26 and Section 1061(c) of the Surface Transportation and Uniform Relocation DOT Public Transportation Regulations implementing Section 504 and Assistance Act of 1987 have the maximum opportunity to the ADA. These regulations include DOT regulations, participate in the performance of contracts and subcontracts “Nondiscrimination on the Basis of Handicap in Programs and Activities financed in whole or in part with federal funds provided under Receiving or Benefiting from Federal Financial Assistance,” 49 CFR Part this Agreement. In this regard, the Contractor or its 27, DOT regulations, “Transportation Services for Individuals with representative shall take all the necessary and reasonable Disabilities (ADA),” 49 CFR Part 37, and Architectural and steps in accordance with 49 CFR Part 26 and Section 1061(c) Transportation Barriers Compliance Board (ATBCB)/DOT regulations, of the Surface Transportation and Uniform Relocation “Americans With Disabilities (ADA) Accessibility Specifications for Assistance Act of 1987 to ensure that DBEs have the Transportation Vehicles,” 36 CFR Part 1192 and 49 CFR Part 38. In maximum opportunity to compete for and perform contracts. addition the solicitation should also comply with: “DOT’s ADA Standards The Contractor shall not discriminate on the basis of race, for Transportation Facilities (2206)” and the DOT ADA Final Rule religion, color, national origin, age, disability, or sex in the 10/19/2011. award and performance of DOT-assisted contracts. Part 26 and Section 1061(c) of the Surface Transportation and Examples of requirements include, but are not limited to, the following: Uniform Relocation Assistance Act of 1987 apply to this Agreement. 1. Design and Construction. Accessibility requirements for the design and construction of a. This contract is subject to the requirements of Title 49, Code of new transportation facilities. Federal Regulations, Part 26, Participation by Disadvantaged Business 2. Accessibility and Usability. Requirements that Enterprises in Department of Transportation Financial Assistance vehicles acquired (with limited exceptions) be Programs. The national goal for participation of Disadvantaged 3. accessible to and usable by individuals with Business Enterprises (DBE) is 10%. The agency’s overall goal for DBE disabilities, including individuals using participation is _4.99_ %. wheelchairs; 4. Equal Opportunity. Requirements for compliance with service b. The contractor shall not discriminate on the basis of race, color, requirements intended to ensure that individuals with disabilities are national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR Part 26 in the award Company Name ______Initials ______Date ______
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and administration of this DOT-assisted contract. Failure by the The certification in this clause is a material representation of fact relied contractor to carry out these requirements is a material breach of this upon by The City of El Paso. If it is later determined that the bidder or contract, which may result in the termination of this contract or such proposer knowingly rendered an erroneous certification, in addition to other remedy as The City of El Paso deems appropriate. Each remedies available to The City of El Paso, the Federal Government may subcontract the contractor signs with a subcontractor must include the pursue available remedies, including but not limited to suspension assurance in this paragraph (see 49 CFR 26.13(b)). and/or debarment. The bidder or proposer agrees to comply with the requirements of 49 CFR 29, Subpart C while this offer is valid and The successful bidder/offeror will be required to report its DBE throughout the period of any contract that may arise from this offer. The participation obtained through race-neutral means throughout the period bidder or proposer further agrees to include a provision requiring such of performance. compliance in its lower tier covered transactions. c. The contractor is required to pay its subcontractors performing work related to this contract for satisfactory performance of that work no later ENERGY CONSERVATION REQUIREMENTS than 30 days after the contractor’s receipt of payment for that work from 42 U.S.C. 6321 et seq. The City of El Paso. In addition, Contractor is required to return any 49 CFR Part 18 retainage payments to those subcontractors within 30 days after incremental acceptance of the subcontractor’s work by The City of El Energy Conservation - The contractor agrees to comply with Paso and contractor’s receipt of the partial retainage payment related to mandatory standards and policies relating to energy efficiency which are the subcontractor’s work. contained in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act. d. The contractor must promptly notify The City of El Paso, whenever a DBE subcontractor performing work related to this contract is terminated or fails to complete its work, and must make good faith efforts to engage RECYCLED PRODUCTS another DBE subcontractor to perform at least the same amount of work. 42 U.S.C. 6962 The contractor may not terminate any DBE subcontractor and perform 40 CFR Part 247 that work through its own forces or those of an affiliate without prior Executive Order 12873 written consent of The City of El Paso. Recovered Materials - The contractor agrees to comply with all the requirements of Section 6002 of the Resource Conservation and Recovery Act (RCRA), as amended (42 U.S.C. 6962), including but not INCORPORATION OF FEDERAL TRANSIT ADMINISTRATION limited to the regulatory provisions of 40 CFR Part 247, and Executive (FTA) TERMS Order 12873, as they apply to the procurement of the items designated FTA Circular 4220.1F in Subpart B of 40 CFR Part 247.
Incorporation of Federal Transit Administration (FTA) Terms - The preceding provisions include, in part, certain Standard Terms and CLEAN AIR Conditions required by DOT, whether or not expressly set forth in the 42 U.S.C. 7401 et seq preceding contract provisions. All contractual provisions required by 40 CFR 15.61 DOT, as set forth in FTA Circular 4220.1F, are hereby incorporated by 49 CFR Part 18 reference. Anything to the contrary herein notwithstanding, all FTA mandated terms shall be deemed to control in the event of a conflict with Clean Air - (1) The Contractor agrees to comply with all applicable other provisions contained in this Agreement. The Contractor shall not standards, orders or regulations issued pursuant to the Clean Air Act, as perform any act, fail to perform any act, or refuse to comply with any amended, 42 U.S.C. §§ 7401 et seq. The Contractor agrees to report (name of grantee) requests which would cause (name of grantee) to be each violation to the Purchaser and understands and agrees that the in violation of the FTA terms and conditions. Purchaser will, in turn, report each violation as required to assure notification to FTA and the appropriate EPA Regional Office.
GOVERNMENT-WIDE DEBARMENT AND SUSPENSION (2) The Contractor also agrees to include these requirements in each (NONPROCUREMENT) subcontract exceeding $100,000 financed in whole or in part with Federal assistance provided by FTA. Suspension and Debarment
This contract is a covered transaction for purposes of 49 CFR CLEAN WATER REQUIREMENTS Part 29. As such, the contractor is required to verify that none 33 U.S.C. 1251 of the contractor, its principals, as defined at 49 CFR 29.995, or affiliates, as defined at 49 CFR 29.905, are excluded or Clean Water - (1) The Contractor agrees to comply with all applicable disqualified as defined at 49 CFR 29.940 and 29.945. standards, orders or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 U.S.C. 1251 et seq. The The contractor is required to comply with 49 CFR 29, Subpart Contractor agrees to report each violation to the Purchaser and C and must include the requirement to comply with 49 CFR understands and agrees that the Purchaser will, in turn, report each 29, Subpart C in any lower tier covered transaction it enters violation as required to assure notification to FTA and the appropriate into. EPA Regional Office.
By signing and submitting its bid or proposal, the bidder or (2) The Contractor also agrees to include these requirements in each proposer certifies as follows: subcontract exceeding $100,000 financed in whole or in part with Federal assistance provided by FTA.
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CONTRACT WORK HOURS AND SAFETY STANDARDS ACT (a) General Transit Employee Protective Requirements - To the extent 40 USC 3701, et seq that FTA determines that transit operations are involved, the Contractor (1) Overtime requirements - No contractor or subcontractor contracting agrees to carry out the transit operations work on the underlying contract for any part of the contract work which may require or involve the in compliance with terms and conditions determined by the U.S. employment of laborers or mechanics shall require or permit any such Secretary of Labor to be fair and equitable to protect the interests of laborer or mechanic in any workweek in which he or she is employed on employees employed under this contract and to meet the employee such work to work in excess of forty hours in such workweek unless such protective requirements of 49 U.S.C. A 5333(b), and U.S. DOL laborer or mechanic receives compensation at a rate not less than one guidelines at 29 C.F.R. Part 215, and any amendments thereto. These and one-half times the basic rate of pay for all hours worked in excess terms and conditions are identified in the letter of certification from the of forty hours in such workweek. U.S. DOL to FTA applicable to the FTA Recipient's project from which Federal assistance is provided to support work on the underlying (2) Violation; liability for unpaid wages; liquidated damages - In the contract. The Contractor agrees to carry out that work in compliance event of any violation of the clause set forth in paragraph (1) of this with the conditions stated in that U.S. DOL letter. The requirements of section the contractor and any subcontractor responsible therefor shall this subsection (1), however, do not apply to any contract financed with be liable for the unpaid wages. In addition, such contractor and Federal assistance provided by FTA either for projects for elderly subcontractor shall be liable to the United States for liquidated damages. individuals and individuals with disabilities authorized by 49 U.S.C. § Such liquidated damages shall be computed with respect to each 5310(a)(2), or for projects for nonurbanized areas authorized by 49 individual laborer or mechanic, including watchmen and guards, U.S.C. § 5311. Alternate provisions for those projects are set forth in employed in violation of the clause set forth in paragraph (1) of this subsections (b) and (c) of this clause. section, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek (b) Transit Employee Protective Requirements for Projects Authorized of forty hours without payment of the overtime wages required by the by 49 U.S.C. § 5310(a)(2) for Elderly Individuals and Individuals with clause set forth in paragraph (1) of this section. Disabilities - If the contract involves transit operations financed in whole or in part with Federal assistance authorized by 49 U.S.C. § 5310(a)(2), (3) Withholding for unpaid wages and liquidated damages - The and if the U.S. Secretary of Transportation has determined or (write in the name of the grantee) shall upon its own action or upon determines in the future that the employee protective requirements of 49 written request of an authorized representative of the Department of U.S.C. § 5333(b) are necessary or appropriate for the state and the Labor withhold or cause to be withheld, from any moneys payable on public body subrecipient for which work is performed on the underlying account of work performed by the contractor or subcontractor under any contract, the Contractor agrees to carry out the Project in compliance such contract or any other Federal contract with the same prime with the terms and conditions determined by the U.S. Secretary of Labor contractor, or any other federally-assisted contract subject to the to meet the requirements of 49 U.S.C. § 5333(b), U.S. DOL guidelines Contract Work Hours and Safety Standards Act, which is held by the at 29 C.F.R. Part 215, and any amendments thereto. These terms and same prime contractor, such sums as may be determined to be conditions are identified in the U.S. DOL's letter of certification to FTA, necessary to satisfy any liabilities of such contractor or subcontractor for the date of which is set forth Grant Agreement or Cooperative unpaid wages and liquidated damages as provided in the clause set Agreement with the state. The Contractor agrees to perform transit forth in paragraph (2) of this section. operations in connection with the underlying contract in compliance with the conditions stated in that U.S. DOL letter. (4) Subcontracts - The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraphs (1) through (4) of this (c) Transit Employee Protective Requirements for Projects Authorized section and also a clause requiring the subcontractors to include these by 49 U.S.C. § 5311 in Nonurbanized Areas - If the contract involves clauses in any lower tier subcontracts. The prime contractor shall be transit operations financed in whole or in part with Federal assistance responsible for compliance by any subcontractor or lower tier authorized by 49 U.S.C. § 5311, the Contractor agrees to comply with subcontractor with the clauses set forth in paragraphs (1) through (4) of the terms and conditions of the Special Warranty for the Nonurbanized this section. Area Program agreed to by the U.S. Secretaries of Transportation and Labor, dated May 31, 1979, and the procedures implemented by U.S. DOL or any revision thereto. CONFORMANCE WITH NATIONAL ITS ARCHITECTURE
ITS projects shall conform to the National ITS Architecture and (2) The Contractor also agrees to include the any applicable standards in accordance with the requirements contained in this part. requirements in each subcontract involving transit operations financed Conformance with the National ITS Architecture is interpreted to mean in whole or in part with Federal assistance provided by FTA. the use of the National ITS Architecture to develop a regional ITS architecture in support of integration and the subsequent adherence of all ITS projects to that regional ITS architecture. Development of the CHARTER BUS REQUIREMENTS regional ITS architecture should be consistent with the transportation 49 U.S.C. 5323(d) planning process for Statewide and Metropolitan Transportation Planning (49 CFR Part 613 and 614). 49 CFR Part 604 Charter Service Operations - The contractor agrees to comply with 49 U.S.C. 5323(d) and 49 CFR Part 604, which provides that recipients and subrecipients of FTA assistance are prohibited from providing charter TRANSIT EMPLOYEE PROTECTIVE AGREEMENTS service using federally funded equipment or facilities if there is at least 49 U.S.C. § 5310, § 5311, and § 5333 one private charter operator willing and able to provide the service, 29 CFR Part 215 except under one of the exceptions at 49 CFR 604.9. Any charter Transit Employee Protective Provisions. (1) The Contractor agrees service provided under one of the exceptions must be "incidental," i.e., to the comply with applicable transit employee protective requirements it must not interfere with or detract from the provision of mass as follows: transportation.
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(insert date) and to submit the Management Information System (MIS) reports before (insert date before March 15) to (insert title and address SCHOOL BUS REQUIREMENTS of person responsible for receiving information). To certify compliance 49 U.S.C. 5323(F) the contractor shall use the "Substance Abuse Certifications" in the 49 CFR Part 605 "Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements," which is published annually in the Federal Register. School Bus Operations - Pursuant to 69 U.S.C. 5323(f) and 49 CFR
Part 605, recipients and subrecipients of FTA assistance may not engage in school bus operations exclusively for the transportation of LOBBYING students and school personnel in competition with private school bus 31 U.S.C. 1352 operators unless qualified under specified exemptions. When operating 49 CFR Part 19 exclusive school bus service under an allowable exemption, recipients 49 CFR Part 20 and subrecipients may not use federally funded equipment, vehicles, or facilities. Byrd Anti-Lobbying Amendment, 31 U.S.C. 1352, as amended by the Lobbying Disclosure Act of 1995, P.L. 104-65 [to be codified at 2 U.S.C. § 1601, et seq.] - Contractors who apply or bid for an award of DRUG AND ALCOHOL TESTING $100,000 or more shall file the certification required by 49 CFR part 20, 49 U.S.C. §5331 "New Restrictions on Lobbying." Each tier certifies to the tier above that 49 CFR Parts 653 and 654 it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or The contractor agrees to establish and implement a drug and alcohol employee of any agency, a member of Congress, officer or employee of testing program that complies with 49 CFRParts 653 and 654, produce Congress, or an employee of a member of Congress in connection with any documentation necessary to establish its compliance with Parts 653 obtaining any Federal contract, grant or any other award covered by 31 and 654, and permit any authorized representative of the United States U.S.C. 1352. Each tier shall also disclose the name of any registrant Department of Transportation or its operating administrations, the State under the Lobbying Disclosure Act of 1995 who has made lobbying Oversight Agency of (name of State), or the (insert name of grantee), to contacts on its behalf with non-Federal funds with respect to that Federal inspect the facilities and records associated with the implementation of contract, grant or award covered by 31 U.S.C. 1352. Such disclosures the drug and alcohol testing program as required under 49 CFR Parts are forwarded from tier to tier up to the recipient. 653 and 654 and review the testing process. The contractor agrees further to certify annually its compliance with Parts 653 and 654 before Certification on Next Page
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APPENDIX A, 49 CFR PART 20--CERTIFICATION REGARDING LOBBYING Certification for Contracts, Grants, Loans, and Cooperative Agreements
(To be submitted with each bid or offer exceeding $100,000)
The undersigned [Contractor] certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of an agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for making lobbying contacts to an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan, or cooperative agreement, the undersigned shall complete and submit Standard Form--LLL, "Disclosure Form to Report Lobbying," in accordance with its instructions [as amended by "Government wide Guidance for New Restrictions on Lobbying," 61 Fed. Reg. 1413 (1/19/96). Note: Language in paragraph (2) herein has been modified in accordance with Section 10 of the Lobbying Disclosure Act of 1995 (P.L. 104-65, to be codified at 2 U.S.C. 1601, et seq.)]
(3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by 31, U.S.C. § 1352 (as amended by the Lobbying Disclosure Act of 1995). Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
[Note: Pursuant to 31 U.S.C. § 1352(c)(1)-(2)(A), any person who makes a prohibited expenditure or fails to file or amend a required certification or disclosure form shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such expenditure or failure.]
The Contractor, ______, certifies or affirms the truthfulness and accuracy of each statement of its certification and disclosure, if any. In addition, the Contractor understands and agrees that the provisions of 31 U.S.C. A 3801, et seq., apply to this certification and disclosure, if any. ______Signature of Contractor's Authorized Official
______Name and Title of Contractor's Authorized Official
______Date
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8.5 FTA Required Forms Checklist
Check if FTA Documentation signed and included 1 Buy America Certificate N/A 2 Certification of Restrictions on Lobbying 3 Schedule of DBE/WBE Participation 4 Letter of Intent to Perform as a Subcontractor 5 Bidder's Certification Statement Certification of Lower-Tier Participants Regarding Debarment, Suspension, 6 and Other Ineligibility and Voluntary Exclusion
Certification of Primary Participant Regarding Debarment, Suspension, and 7 Other Responsibility Matters
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Buy America Certificate Procurement of Steel, Iron or Manufactured Products
Certificate of Compliance with 49 U.S.C. 5323(j)(1)
The Bidder hereby certifies that it will comply with the requirements of 49 U.S.C. 5323(j)(1), and the applicable regulations in 49 CFR part 661.5.
Date: Signature: Company Name: Title:
or
Certificate of Non-Compliance with 49 U.S.C. 5323 (j)(1) The Bidder hereby certifies that it cannot comply with the requirements of 49 U.S.C. 5323(j)(1) and 49 C.F.R. 661.5, but it may qualify for an exception pursuant to 49 U.S.C. 5323(j)(2)(A), 5323(j)(2)(B) or 5323(j)(2)(D), and 49 CFR 661.7
Date: Signature: Company Name: Title:
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Certification of Restrictions on Lobbying
The undersigned certifies, to the best of his or her knowledge and belief, that:
(1) No Federal appropriated funds have been or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into the cooperative agreement, and the extension, continuation, renewal, amendment, or modification of any Federal contract, grant, loan, or cooperative agreement.
(2) If any funds other than Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with this Federal contract, grant, loan or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying", in accordance with its instructions.
(3) The undersigned shall require that the language of this certification be included in the award documents for all subawards at all tiers (including subcontracts, subgrants, and contracts under grants, loans, and cooperative agreements) and that all subrecipients shall certify and disclose accordingly.
This certification is a material representation of the fact upon which reliance is place when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by Section 1352, title 31, U.S. Code. Any person who fails to file the required certification shall be subject to civil penalty of not less than $10,000 and not more than $100,000 for each such failure.
Executed this day of , 20 .
Company Name:
By: Signature of company official
Title of company official
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Schedule of DBE/WBE Participation
Name of Prime Contractor
Name of DBE/WBE Address Type of Start/End Agreed Contractor Work Dates Price
1.
2.
3.
4.
5.
6.
7.
8.
NOTE
The undersigned will enter into a formal agreement with Disadvantaged Contractors for work listed in this schedule conditioned upon the execution of a contract with the City of El Paso.
Signature Name of Prime Contractor
Date
**IF NOT APPLICABLE, PLEASE INDICATE N/A AND SIGN FORM.
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Letter of Intent to Perform as a Subcontractor
To: Name of Contractor
The undersigned intends to perform work in connection with the above project as (check one):
an individual a corporation
a partnership a joint venture
The disadvantaged status of the undersigned is confirmed (a) in the City of El Paso's DBE/WBE Directory dated or (b) on the attached Disadvantaged/Women Business Enterprise Certification Form (Available atPURCHASING & STRATEGIC SOURCING DEPARTMENT).
The undersigned is prepared to perform the following described work in connection with the above project,
at the following price: $ .
percent of the dollar value of the subcontract will be sublet and/or awarded to non-disadvantaged contractors and/or non-disadvantaged suppliers. The undersigned will enter into a formal agreement for the above work with you conditioned upon your execution of a contract with the City of El Paso.
Disadvantaged Contractor
Signature
Date
Applies only to contracts for the purchase of motor vehicles.
**IF NOT APPLICABLE, PLEASE INDICATE N/A AND SIGN FORM.
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Bidder's Certification Statement
1. Certification with regard to the performance of previous Contracts or Subcontracts subject to the Equal Employment Opportunity Clause and the filing of required reports. The bidder , and/or proposed Subcontractor , hereby certifies that they have , have not participated in a previous Contract or subcontract subject to the Equal Opportunity Clause, as required by Executive Orders 10925, 1114, or 11246, and that they have , have not , filed with the Joint Reporting Committee on Equal Employment Opportunity, all reports due under the applicable filing.
Company Name by: Signature
Title Dated:
Note: The above certification is required by the Equal Employment Opportunity Regulation of the Secretary of Labor (41 CFR 60-1.7) (b)(1), and must be submitted by bidders and proposed subcontractors only in connection with Contracts and Subcontracts which are subject to the Equal Employment Opportunity Clause. Contracts and Subcontracts which are exempt from the Equal Opportunity Clause are set forth in 41 CFR 60-1.5 (generally only Contracts or Subcontracts of $10,000 or under are exempt). Currently, Standard Form 100 (EE0-1) is the only report required by the Executive Orders or their implementing regulations. Proposed Prime Contractors and Subcontractors who have participated in a previous Contract or Subcontract subject to Executive Orders and have not filed the required reports should note that 41 CFR 60-1.7 (b) (1) prevents the award of Contracts and Subcontracts unless such Contractor submits a report covering the delinquent period or such other period specified by the Federal Department of Transportation or by the director, Office of Federal Contract Compliance, United States Department of Labor.
2. Certification of Non-collusion. The bidder being sworn deposes and says, , the Contractor, submitting this bid, and that its agents, officers or employers have not directly or indirectly entered into any agreements, participated in any collusion, or otherwise taken any action in restraint of free competitive bidding in connection with this proposal or with any City official. Company Name by: Signature
Title Dated:
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3. Ineligible Contractor. The bidder hereby certifies that it is/is not (underscore one) included on the United States Comptroller General's consolidated list of persons or firms currently debarred for violations of various public contracts incorporating labor standard provisions. Company Name by: Signature
Title Dated:
**IF NOT APPLICABLE, PLEASE INDICATE N/A AND SIGN FORM.
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Certification of Lower-Tier Participants Regarding Debarment, Suspension, and Other Ineligibility and Voluntary Exclusion
The Lower Tier Participant (potential sub-grantee or sub-recipient under an FTA project, potential third party contractor, or potential subcontractor under a major third party contract), certifies, by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency.
(If the Lower Tier Participant (potential sub-grantee or sub-recipient under an FTA project, potential third party contractor, or potential subcontractor under a major third party contract) is unable to certify to any of the statements in this certification, such participant shall attach an explanation to this proposal).
THE LOWER-TIER PARTICIPANT (POTENTIAL SUB-GRANTEE OR SUB-RECIPIENT UNDER AN FTA PROJECT, POTENTIAL THIRD PARTY CONTRACTOR, OR POTENTIAL SUBCONTRACTOR UNDER A MAJOR THIRD PARTY CONTRACT) , CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS SUBMITTED ON OR WITH THIS CERTIFICATION AND UNDERSTANDS THAT THE PROVISIONS OF 31 U.S.C. SECTIONS 3801 ET SEQ. ARE APPLICABLE THERETO.
Signature and Title of Authorized Official
The undersigned Chief Legal Counsel for the hereby certifies that the has authority under State and Local law to comply with the subject assurances and that the certification above has been legally made.
Signature of Applicant's Attorney
Date
**IF NOT APPLICABLE, PLEASE INDICATE N/A AND SIGN FORM.
Company Name ______Initials ______Date ______
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Certification of Primary Participant Regarding Debarment, Suspension, and Other Responsibility Matters
The Primary Participant (applicant for an FTA grant of cooperative agreement, or potential contractor for a major third party contract), certifies to the best of its knowledge and belief, that it and its principals:
1. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency; 2. Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements, or receiving stolen property; 3. Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph (2) of this certification; and 4. Have not within a three-year period preceding this application/proposal had one or more public transaction (Federal, State or local) terminated for cause or default. (If the Primary Participant (applicant for an FTA grant, or cooperative agreement, or potential third party contractor) is unable to certify to any of the statements in this certification, the participant shall attach an explanation to this certification.)
The primary participant (applicant for an FTA grant or cooperative agreement, or potential contractor for a major third party contract), certifies or affirms the truthfulness and accuracy of the contents of the statements submitted on or with this certification and understands that the provisions of 31 u.s.c. sections 3801 et seq. Are applicable thereto.
Signature and Title of Authorized Official
The undersigned Chief Legal Counsel for the hereby certifies that the has authority under State and local law to comply with the subject assurances and that the certification above has been legally made.
Signature of Applicant's Attorney Date **IF NOT APPLICABLE, PLEASE INDICA
Company Name ______Initials ______Date ______
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Attachment A System Safety Program Plan
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EL PASO STREETCAR SYSTEM SAFETY PROGRAM PLAN (SSPP) Revision 1, November 2017
El Paso Streetcar Project Safety and Security Program Plan
DOCUMENT REVISION LOG
Date Revision Description of Change
Nov 2017 1.0 Original Document
Table 1: EPSC Safety and Security Program Document Index
System Safety Program Plan (SSPP)
System Security & Safety & Security Start-up & Testing Operations & Emergency Certification Plan Plan Maintenance Plan Preparedness Plan (SSCP) (SUTP) (OMP) (SSEPP)
Implementation Program Operation Program
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El Paso Streetcar Project System Safety Program Plan
POLICY STATEMENT
Sun Metro is a public agency created as a department of the City of El Paso, Texas (COEP). It is charged with providing safe, secure, reliable, and efficient transportation services by creating a collective awareness, understanding, involvement, and commitment among all Sun Metro employees and contractors that will ensure the security of passengers, employees, property and the general public in the Sun Metro service area. The City of El Paso, Mass Transit Department (Sun Metro) is committed to providing safe, secure, clean, reliable, and efficient transportation services to the patrons. This policy statement serves to express Sun Metro management’s commitment to and involvement in providing and maintaining a safe and secure transit system.
Effective April 15, 2016 under 49 CFR 674, every state must designate an entity to oversee the safety and security for each Rail Fixed Guideway System (RFGS) operating within its boundaries. The State of Texas has designated the Texas Department of Transportation (TxDOT) as the Safety and Security Oversight Agency (SSOA) responsible for implanting and administering a program to meet the program requirements of 49 CFR 674.
Prior to the development, acceptance and issuance of final rules regarding 49 CFR 674, the TxDOT State Safety and Security Oversight Program Standard (August 2013), compliant with 49 U.S.C. 5330 and 49 CFR 659, was used as the guiding document in development of this Safety and Security Program Plan (SSPP) and subsidiary documents for the EPSC project.
Following the publication of an FTA Notice of Proposed Rule Making (2/27/15), subsequent comment response and finalization in March 2016, FTA issued the SSO Final Rule for 49 CFR 674, superseding 49 CFR 659 to strengthen the existing SSO program. The new rule is effective April 15, 2016 and all SSOA’s will have three years to update their respective SSO programs to comply without incurring corrective actions from FTA.
On February 5, 2016, the FTA published a proposed rule for Public Transportation Agency Safety Plans (PTASP). System Safety Program Plan (SSPP) requirements under 49 CFR 659 will be replaced by requirements for a PTASP. Per 49 CFR 674, establishes that the System Safety Program Plan will serve as Sun Metro’s safety plan until one year after the effective date of PTASP Rule.
In the interest of safety and security, and in order to comply with the statutory requirements, Sun Metro Mass Transit will update this System Safety Program Plan (SSPP) and subsidiary documents to comply with the latest established SSOA safety standards. The SSPP is intended to document all policies, functions, roles and responsibilities of the agency necessary to achieve a high degree of system safety. The SSPP applies to all areas of the transportation system, including procurement, construction, administration, operations and maintenance.
Sun Metro Transit’s management is responsible for maintaining a coordinated safety system in order to identify and prevent unsafe acts and conditions that present a potential danger or threat to public safety. Management has responsibility for maintaining and implementing the SSPP and complying with the policies, procedures, and standards included in this document. All departments, personnel, and contract service operators are charged with the responsibility of adhering to this SSPP and subsidiary Safety & Security Program documents. Any violation of safety and security practices is
Safety and Security Program Plan, iv Revision 1 El Paso Streetcar Project November 2017 El Paso Streetcar Project System Safety Program Plan subject to appropriate administrative action. Sun Metro Transit is ultimately responsible for enforcing the SSPP and maintaining a safe and secure system.
Sun Metro’s has created the position of Streetcar Safety, Security & Training (SSST) Manager. The SSST Manager is hereby authorized, empowered and directed by the Director to implement and administer the SSPP to prevent accidents, hazardous conditions and security breaches from occurring and is empowered to resolve those that may occur.
The SSST Manager is authorized by the Director to develop, implement and administer an integrated and coordinated SSPP, a plan to identify, prevent, control and resolve unsafe conditions and to manage the Sun Metro response to accidents and emergencies. The SSST is charged and authorized by the Director to provide timely documentation to the appropriate point of contact.
All Sun Metro employees and contractors are responsible for system safety, and it is the responsibility of each to provide the information required to implement and maintain this program plan and to assist and participate in the conducting of investigations.
The SSPP and supplementary implementing procedures shall be considered Security Sensitive Information and shall not be publicly disclosed without authorization from the Sun Metro Director or SSST Manager.
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AUTHORIZATIONS
Authorized by:
______Date ______Jose A. Marquez Streetcar Safety, Security, & Training (SSST) Manager
Approved by:
______Date ______Jay Banasiak Executive Director Sun Metro
______Date ______Carl Jackson Assistant Director of Streetcar Operations
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DOCUMENT REVISION LOG ...... iii POLICY STATEMENT ...... iv AUTHORIZATIONS ...... vi TERMS AND ABBREVIATIONS ...... x 1. POLICY STATEMENT AND AUTHORITY FOR THE SYSTEM SAFETY PROGRAM PLAN (SSPP) ...... 1 1.1 Authority ...... 3 1.2 El Paso Streetcar Project Overview ...... 4 1.3 Purpose ...... 6 2. GOALS OBJECTIVES AND SSPP AWARENESS ...... 2.1 El Paso Streetcar SSPP Purpose ...... 7 2.2 El Paso Streetcar SSPP Objectives ...... 7 2.3 El Paso Streetcar SSPP Goals ...... 8 2.4 SSPP Document Control and Update Procedure ...... 8 2.5 System Safety Program Plan (SSPP) Awareness ...... 9 3. EPSC MANAGEMENT STRUCTURE ...... 10 3.1. Safety and Security Oversight Structure ...... 10 3.1.1State of Texas Responsibilities ...... 10 3.2. Sun Metro / EPSC Management Structure ...... 12 3.2.1.Sun Metro Director of Mass Transit ...... 12 3.2.2.Sun Metro Assistant Director for Streetcar Operations ...... 12 3.2.3.Streetcar Safety, Security & Training (SSST) Manager ...... 13 3.2.4.Streetcar Maintenance and Facility Services Superintendent ...... 14 3.2.5.Assistant Superintendent for Transit Operations ...... 15 3.3. Integration of Safety Function ...... 16 3.4. Lines of authority for safety...... 16 4. SSPP CONTROL & UPDATE ...... 18 4.1 SSPP Control and Update Procedures ...... 18 4.2 Implementation Activities and Responsibilities ...... 18 5 ANNUAL SSPP REVIEW ...... 19 5.1.1 Control of Documents ...... 19 5.1.2 Control of Records...... 20 5. SSPP IMPLEMENTATION AND RESPONSIBILITIES ...... 21 5.1. Overview ...... 21 5.2 Methodology Used to Achieve Goals ...... 21 5.3. Safety-Related Tasks of Other Departments ...... 22 5.4. Management Responsibilities ...... 22 6. Hazard Management Process ...... 24 6.1. Overview ...... 24 6.2. Identification ...... 24 6.3. Hazard Analysis Methods ...... 25 6.4. Hazard Risk Assessment Methodology ...... 26 6.4.1. Hazard Severity ...... 26
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6.4.2. Hazard Probability ...... 26 6.5. Hazard Risk Assessment ...... 27 6.6. Initial Hazard Notification ...... 29 6.7. Hazard Resolution ...... 29 6.8. Hazard Tracking ...... 30 7. SAFETY DATA COLLECTION AND ANALYSIS ...... 32 7.1. Data Acquisition ...... 32 7.1.1. Data Analysis ...... 32 7.1.2. Reports ...... 32 8. ACCIDENT/INCIDENT INVESTIGATIONS ...... 34 8.1. Accident / Incident Investigation and Reporting Criteria ...... 34 8.1.1. Supervisor Investigation ...... 34 8.1.2. Safety Follow-up ...... 35 8.1.3. Investigation Called by Sun Metro Executive Director ...... 35 8.2. Internal Notification of Accidents/Incidents and Unacceptable Hazards ...... 35 8.3. Notification of EPSC Accidents and Incidents to External Agencies ...... 36 8.3.1. Texas Department of Transportation ...... 36 8.3.2. National Transportation Safety Board (NTSB) ...... 37 8.3.3. Federal Transportation Administration ...... 39 8.3.4. Accident/Incident Reporting and Documentation ...... 39 8.3.5. Corrective Action Plans ...... 41 8.3.6. Coordination with TxDOT ...... 41 8.3.7. Streetcar Safety and Security Committee Review ...... 42 9. EMERGENCY MANAGEMENT PLAN ...... 43 9.1. Planning ...... 43 9.1.1. Sun Metro Emergency Preparedness and Continuity Plan ...... 43 9.2. Responsibilities for Emergency Preparedness ...... 44 9.2.1. Crisis Communications Plan ...... 44 9.3. Coordinated Schedule ...... 44 9.3.1. Interdepartmental / Interagency Coordination ...... 44 9.3.2. Streetcar Safety & Security Committee ...... 45 9.4. Emergency Drills and Exercises ...... 45 9.5. Emergency Procedures ...... 46 9.5.1. Emergency Preparedness Training ...... 46 9.6. Familiarization Training ...... 46 10. INTERNAL SAFETY AUDITS ...... 47 10.1. Purpose and Scope ...... 47 10.2 Safety Audit Process...... 48 10.2.1. Integrity of Review Process ...... 48 10.2.2. Cycle/Schedule ...... 48 10.2.3. Checklists and Performance of Safety Audits ...... 49 10.2.4. Audit Report ...... 49 10.2.5. Annual Report Review ...... 50 10.2.6. Coordination with TxDOT ...... 50 10.2.7. Review Completeness...... 50 11. RULES COMPLIANCE ...... 51
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11.1 Review of Rules and Procedures ...... 51 11.2. Process for Rules Compliance ...... 51 11.3. Compliance Techniques – Operations and Maintenance Personnel ...... 51 11.4. Compliance Techniques – Supervisory Personnel ...... 52 11.5. Documentation ...... 52 12. FACILITIES AND EQUIPMENT INSPECTIONS ...... 53 12.1 Facility Inspections ...... 53 12.2. Equipment Inspections ...... 53 12.3. Checklists ...... 53 12.4. Coordination with Hazard Management Process ...... 53 13. MAINTENANCE AUDIT AND INSPECTIONS ...... 54 13.1. Systems and Facilities Subject to Maintenance Programs ...... 54 13.2. Resolution of Review/ Inspection Findings ...... 54 13.3. Checklists ...... 54 14. TRAINING AND CERTIFICATION PROGRAM...... 56 14.1. Overview ...... 56 14.2. Employee Safety Training Program ...... 56 14.3. Railway Worker Protection ...... 56 14.4. Operator Training ...... 56 14.4.1. Streetcar ...... 56 14.4.2. Maintenance Training ...... 57 14.5. Contractor Safety ...... 57 14.6. Record Keeping ...... 57 14.7. Compliance with Training Requirements ...... 57 15. SAFETY CERTIFICATION ...... 58 15.1. Overview ...... 58 15.2. Certifiable Elements ...... 58 16. SYSTEM MODIFICATION ...... 61 17. CONFIGURATION MANAGEMENT AND CONTROL ...... 62 17.1. Overview ...... 62 17.2. Process for Change ...... 62 17.3. Authority for Change ...... 62 18. EMPLOYEE AND SUBCONTRACTORS SAFETY PROGRAMS ...... 63 18.1. Local Requirements ...... 63 18.1.1. Working on or Near Rail Transit Controlled Property or Systems ...... 63 18.1.2. Compliance with Required Safety Programs ...... 63 18.2. Hours of Service (Rail Only) ...... 64 18.2.1. Transportation Employees ...... 64 18.2.2. Maintenance of Way and Rail Car Maintenance Employees ...... 64 18.3. Compliance with the Contractor Safety Program ...... 64 19. HAZARDOUS MATERIALS PROGRAM ...... 66 20. DRUG AND ALCOHOL PROGRAM ...... 67 21. PROCUREMENT PROCESS ...... 68
APPENDICIES (UNDER DEVELOPMENT)
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TERMS AND ABBREVIATIONS
Accident: Any event involving a rail transit vehicle or taking place on rail transit-controlled property where one or more of the following occurs: • A fatality at the scene; or where an individual is confirmed dead within thirty (30) days of a rail transit-related incident; • Injuries requiring immediate medical attention away from the scene for two or more individuals; • Property damage to rail transit vehicles, non-rail transit vehicles, other rail transit property or facilities, and non-transit property that equals or exceeds $25,000; • An evacuation due to life safety reason; • A collision at a grade crossing; • A main-line derailment; • A collision with an individual on the rail right-of-way; or • A collision between a rail transit vehicle and a second rail transit vehicle, or a rail transit non- revenue vehicle Administrator: The Federal Transit Administrator or the Administrator’s designee. CEL: Certifiable Elements List Contractor: An entity that performs tasks on behalf of FTA, a State Safety Oversight Agency, or a Rail Transit Agency, through contract or other agreement. Corrective Action Plan (CAP): A plan developed by a Rail Transit Agency that describes the actions the Rail Transit Agency will take to minimize, control, correct, or eliminate risks and hazards, and the schedule for taking those actions. Either a State Safety Oversight Agency or FTA may require a Rail Transit Agency to develop and carry out a corrective action plan. EPSC: El Paso Streetcar Event: An Accident, Incident, or Occurrence. FRA: The Federal Railroad Administration is an agency within the United States Department of Transportation. FTA: The Federal Transit Administration is an agency within the United States Department of Transportation. Hazard: Any real or potential condition that can cause injury, illness, or death; damage to or loss of the facilities, equipment, rolling stock, or infrastructure of a rail fixed guideway public transportation system; or damage to the environment. Hazard Analysis: The method by which hazards are identified and analyzed as to their possible effects upon the safe operation of the entire system (i.e., Failure Mode and Effect Analysis, Fault Tree Analysis, Stress Analysis, etc.) Hazardous Condition: An immediate condition that could cause an accident involving personal injuries or death Incident: An unforeseen event or occurrence that does not necessarily result in death, injury, contact, or property damage. Individual: Any person on the property of a rail fixed guideway public transportation system. Injury: Any physical damage or harm to persons as a result of an incident that requires immediate medical attention away from the scene Investigation: The process of determining the causal and contributing factors of an accident, incident, or hazard, for the purpose of preventing recurrence and mitigating risk. MSF: El Paso Streetcar Maintenance Service Facility National Public Transportation Safety Plan: The plan to improve the safety of all public transportation systems that receive Federal financial assistance under 49 U.S.C. Chapter 53. NTSB: The National Transportation Safety Board, an independent federal agency.
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Occurrence: An Event without any personal injury in which any damage to facilities, equipment, rolling stock, or infrastructure does not disrupt the operations of a rail transit agency. Person: A passenger, employee, contractor, pedestrian, trespasser, or any individual on the property of a rail fixed guideway public transportation system. Public Transportation Agency Safety Plan (PTASP): The comprehensive agency safety plan for a transit agency, including a Rail Transit Agency, that is required by 49 U.S.C. 5329(d) and based on a Safety Management System. Until one year after the effective date of FTA's PTASP final rule, a System Safety Program Plan (SSPP) developed pursuant to 49 CFR part 659 will serve as the rail transit agency's safety plan. Public Transportation Safety Certification Training Program: Either the certification training program for Federal and State employees, or other designated personnel, who conduct safety audits and examinations of public transportation systems, and employees of public transportation agencies directly responsible for safety oversight, established through interim provisions in accordance with 49 U.S.C. 5329(c)(2), or the program authorized by 49 U.S.C. 5329(c)(1). Rail fixed guideway public transportation system: Any fixed guideway system that uses rail, is operated for public transportation, is within the jurisdiction of a State, and is not subject to the jurisdiction of the Federal Railroad Administration, or any such system in engineering or construction. Rail fixed guideway public transportation systems include but are not limited to rapid rail, heavy rail, light rail, monorail, trolley, inclined plane, funicular, and automated guideway. Rail Transit Agency (RTA): Any entity that provides services on a rail fixed guideway public transportation system. Reportable Incident: Existence of one or more of the following: • A fatality confirmed within 30 days (including suicide) • An injury requiring immediate medical attention away from the scene for one or more persons (partial exception in the case of Other Safety Occurrences not Otherwise Classified) • Estimated property damage equal to or exceeding $25,000 • An evacuation for due to or under hazardous conditions or to the rail right‐of‐way. • Collisions involving transit vehicles that require towing away of a transit roadway vehicle or other non‐transit roadway vehicle • Rail transit vehicle collisions occurring at a grade crossing • Rail transit vehicle collisions with an individual on the rail right of‐way or another revenue or non‐revenue rail transit vehicle* • A mainline or yard derailment of revenue or non‐revenue vehicles • Security incidents: o Terrorism related events: . Bomb threat (Credible) . Bombing (Occurring) . Chemical/Biological/Radiological/Nuclear release o Other system security events: . Arson . Sabotage . Hijacking . Cyber Attack o Other personal events: . Aggravated assault . Rape . Suicide . Attempted suicide (Survives attempt) . Vandalism (See dollar limits) . Robbery (See dollar limits)
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. Burglary (See dollar limits) . Motor vehicle theft (Proven by police) . Larceny / theft (See dollar limits) . Homicide Risk: The composite of predicted severity and likelihood of the potential effect of a hazard.
Risk mitigation: A method or methods to eliminate or reduce the effects of hazards.
Sabotage: The deliberate destruction of transit property or the slowing down of public transit operations by employees with the intention of damaging business or the economic condition of the transit agency
Safety Certification: The process used to verify that the El Paso Streetcar system meets criteria, codes, regulations, and contract requirements as they relate to safety, fire/life safety, and security
Safety risk management: A process within a Rail Transit Agency's Safety Plan for identifying hazards and analyzing, assessing, and mitigating safety risk.
Serious injury: Any injury which: (1) Requires hospitalization for more than 48 hours, commencing within 7 days from the date of the injury was received; (2) Results in a fracture of any bone (except simple fractures of fingers, toes, or nose); (3) Causes severe hemorrhages, nerve, muscle, or tendon damage; (4) Involves any internal organ; or (5) Involves second- or third-degree burns, or any burns affecting more than 5 percent of the body surface.
SSPP: System Safety Program Plan
State: A State of the United States, the District of Columbia, Puerto Rico, the Northern Mariana Islands, Guam, American Samoa, and the Virgin Islands.
State Safety Oversight Agency (SSOA): An agency established by a State that meets the requirements and performs the functions specified by 49 U.S.C. 5329(e) and the regulations set forth in this part.
Subsystem: An element of a system that, in itself may constitute a system
System Safety Program Plan (SSPP): A document developed and adopted by the transit agency, describing its safety policies, objectives, responsibilities, and procedures. Until one year after the effective date of FTA's PTASP final rule, an SSPP developed pursuant to 49 CFR part 659 will serve as the rail transit agency's safety plan.
System Security Plan (SSP): A document developed and adopted by the rail transit agency describing its security policies, objectives, responsibilities, and procedures.
Vehicle: Any rolling stock used on a rail fixed guideway public transportation system, including but not limited to passenger and maintenance vehicles.
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1.POLICY STATEMENT AND AUTHORITY FOR THE SYSTEM SAFETY PROGRAM PLAN (SSPP)
The El Paso Streetcar (EPSC) System Safety Program Plan (SSPP) was developed to support our commitment to provide safe, reliable, efficient, and convenient rail transportation services to the public over a route that traverses many of the major activity centers in El Paso (City). The implementation of the SSPP is crucial to the EPSC and Sun Metro ongoing efforts to ensure a safe and secure streetcar operation. The mission of EPSC & Sun Metro is to plan, develop, and operate the streetcar system in El Paso. Transit services must be safe, reliable, efficient, and cost-effective. Safety is the major consideration in all functions including planning, design, construction, testing, maintenance, and operations of the rail transit system. To meet these goals, four safety objectives are established: 1. To avoid loss of life, reduce injury, and minimize damage or property loss; 2. To instill an awareness of safety in all EPSC employees and contractor personnel; 3. To provide for the identification and elimination or, in the absence of such, control of hazards through a systematic approach of auditing and analyzing the operational system and the work environment; and, 4. To minimize hazards in new facilities by building safety into the design through adherence to applicable codes and standards, use of sound engineering judgment, and implementation of a detailed safety certification program.
EPSC & Sun Metro Managers and Supervisors are required to follow and enforce this comprehensive and coordinated System Safety Program. Additionally, senior staff from the EPSC, Sun Metro, and the City shall provide leadership in promoting safety throughout the agency and to ensure that all EPSC & Sun Metro Staff is committed to the safety of EPSC patrons, employees, property, and the general public who come into contact with the system EPSC & Sun Metro Managers are responsible for daily oversight, monitoring compliance of all operations and support activities, reinforcing safe work practices, focusing on identifying risks, and reducing incidents and accidents. Sun Metro Executive Director has authorized the Assistant Director of Streetcar Operations and EPSC Safety, Security & Training (SSST) Manager to establish and implement the SSPP for the EPSC. This plan must be evaluated and updated on a annual basis to make certain that relevant issues are adequately addressed and that prevention and mitigation steps are adequate to deal with the current level of threat, risk, and unsafe acts. If it is determined that an immediate and serious hazard exists, the Sun Metro Executive Director & Assistant Director of Streetcar Operations has the authority, and responsibility, to order such condition(s) corrected or practice(s) halted. Additionally, EPSC & Sun Metro shall be required to strictly observe and execute the SSPP in all its levels of responsibilities, duties, tasks, processes, and procedures.
The SSPP must receive the full commitment and support from all personnel at El Paso Streetcar & Sun Metro employees and contractors.
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Jay Banasiak Date Sun Metro Executive Director
Carl Jackson Date Associate Director for Streetcar Operations
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1.1 Authority
Those rules published in 1995, required states to oversee the safety of RFGS not regulated by FRA. Because FTA is not a regulatory agency, it does not manage a top-down safety inspection and enforcement program. Instead, FTA relies upon SSO agencies (SSOAs) that are designated by each state that has a fixed guideway rail system. Although not a regulatory agency, FTA has regulatory authority to administer programs that place safety and security requirements on transit grantees and state agencies.
In 1997, the Texas Legislature enacted a state statute, Transportation Code, §455.005, (Appendix B) requiring state compliance with Title 49 USC §5330. The Texas Legislature adopted the compliance requirements set out in the FTA regulations in effect at the time. Texas Department of Transportation (TxDOT) adopted rules to implement the statute in September 1997. Those rules are contained in Title 43 (Part 1, Chapter 31, Subchapter F) of the Texas Administrative Code (TAC).
The State Safety Oversight (SSO) regulations, described in 49 CFR Part 659, included requirements for:
Designation of oversight agencies for establishing standards for rail safety and security practice. Preparation of a System Safety Program Plan and System Security Plan. Defined processes for hazard management, internal safety and security audits, accident notification and investigation, and corrective action plans.
On April 15, 2016, the Federal Final Rule on State DOT Safety Oversight of RFGS (49 CFR 674) became effective, replacing 49 CFR 659. The final SSO rule strengthens the existing SSO program and includes guidelines to broaden the responsibilities of States regarding oversight and investigations of rail fixed guideway systems’ safety. All states have 3 years from the effective date in which to modify their current State Safety Oversight Program (SSOP) to meet the Final Rule.
As TxDOT is currently developing revised SSOP documents to correspond with changes required due to 49 CFR 674, this document is developed as per the existing Texas Department of Transportation (TxDOT) Rail Division developed guidelines for Rail Safety Management Systems (SMS), under the TxDOT State Safety and Oversight Program Standard (August 2013).
TxDOT as the oversight agency developed a program, which ensures performance of the following minimum activities: • System Safety Program Plan (SSPP) • System Security Plan (SSP) • Rail Transit Internal Safety and Security Audit Program • Hazard Management Process • Accident Notification and Investigation • On-Site Three-Year Safety and Security Reviews • Corrective Action Plans
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EPSC Safety and Security Program, including applicable program documents, will also be revised according to the modifications made to the TxDOT Rail Division guidelines for Rail Safety Management Systems.
Authority for implementing the EPSC Project Safety and Security Program Plan (SSPP) rests with the Sun Metro Director of Mass Transit, the Assistant Director for Streetcar Operations and their staff.
Sun Metro has commissioned the development of this Safety and Security Program Plan (SSPP) to conform to the requirements and recommendations of the State Safety Oversight (SSO) regulations set forth by these Federal and State agencies.
1.2 El Paso Streetcar Project Overview
The EPSC system consists of 4.8 track-miles of Streetcar facilities. The Stanton Street and Oregon Street corridor will be used on the north side of the project from Franklin Avenue to Baltimore Drive. Franklin Avenue, Kansas Street, Santa Fe Street, and Father Rahm Avenue form a one-way clockwise loop at the south end of the project.
A Maintenance and Storage Facility (MSF) for the streetcar vehicles is located at 601A Santa Fe Street. This is the intersection of Santa Fe Street and W. 4th Avenue in the location of the former metered public parking lot south of the Bert Williams Santa Fe Downtown Transfer Center, with access from the loop alignment on Santa Fe Street. For the length of the project, the streetcar guideway will be positioned within existing traffic lanes: the right lane adjacent to the curb or parking lane, or the left lane adjacent to the center
.
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Figure 1: El Paso Streetcar Route Map
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1.3 Purpose
The purpose of the EPSC System Safety Program Plan (SSPP) is to optimize the level of protection (within the constraints of time, cost, and operational effectiveness) afforded to EPSC passengers, employees, volunteers and contractors, and other individuals who come into contact with the system, both during normal operations and under emergency conditions. The SSPP is a continual process that is integrated into normal Sun Metro operations. During the design, construction, and testing and startup of the EPSC several other safety documents will help to ensure the safety of the EPSC. These include:
• System Safety and Security Certification Plan (SSCP) • System Startup and System Integration Testing (SUTP) • Operations and Maintenance Plan (OMP) • System Security and Emergency Preparedness Plan (SSEPP)
Figure 2: El Paso Streetcar Safety and Security Program Guiding Documents
System Safety Program Plan (SSPP)
System Security & Safety & Security Start-up & Testing Operations & Emergency Certification Plan Plan Maintenance Plan Preparedness Plan (SSCP) (SUTP) (OMP) (SSEPP)
Implementation Program Operation Program
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2. GOALS OBJECTIVES AND SSPP AWARENESS 2.2 El Paso Streetcar SSPP Purpose
The purpose of the System Safety Program Plan (SSPP) is to set forth the requirements for identifying, evaluating, and minimizing safety risks throughout all elements of the EPSC system. The SSPP is the blueprint for the Authority’s effort in strengthening its overall safety management and its goal is to achieve continuous improvement in safety performance.
The Streetcar Safety, Security & Training (SSST) Manager has the responsibility for the development of this plan and to promote a safety culture throughout the organization with the help of the other managers. To achieve a safety culture within an organization, two vital aspects must be firmly in place:
I. First, the Streetcar Safety, Security & Training (SSST) Manager must identify and communicate the various Federal (i.e. FTA, OSHA, EPA, etc.) and State regulatory requirements, training requirements, and best practices to ALL EPSC & Sun Metro Operational Personnel.
II. Second, the SSST Manager must understand that he is ultimately responsible for the safety of their domain, and to propagate this responsibility on to each level of the supervisory chain and down to each employee.
The SSPP defines EPSC’s technical and managerial safety activities. The SSPP applies to all organizational units affecting, or affected by, the streetcar system from the planning period through the operations and maintenance phases. EPSC Management’s compliance with identified responsibilities in the SSPP ensures that the goals and objectives are achieved.
Additional policies, methods, procedures, and operational strategies for system security are provided in the Sun Metro & EPSC System Security Emergency Program Plan (SSEPP). The Sun Metro & EPSC Security Emergency Plan responds to the requirements of the TxDOT-SSO’s System Safety Program Standards.
2.3 El Paso Streetcar SSPP Objectives
The objectives of the El Paso Streetcar SSPP and subsidiary safety and security documents are as follows:
1. Ensure that safety and emergency preparedness are addressed during all elements of EPSC System design, startup and operation, including design of the system; hiring and training of agency personnel and contractors; procurement and maintenance of agency equipment; development of agency policies, rules, and procedures; and coordination with local public safety and emergency planning agencies.
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2. Enhance the safe and secure operation of the EPSC System through the identification, evaluation and resolution of hazards, threats and vulnerabilities, and the ongoing assessment of response capabilities and readiness. 3. Create a culture that supports and encourages employee System Safety during system operation under normal and emergency conditions. Sustain this safety culture through motivation, training, compliance with laws and agency rules and procedures, and the appropriate use and operation of equipment.
2.4 El Paso Streetcar SSPP Goals
The goal of the System Safety Program Plan is to achieve a high level of safety for EPSC employees, contractors and passengers commensurate with modern-day transit systems. EPSC safety goals are evaluated and submitted annually to Sun Metro Assistant Director for Streetcar and Director of Mass Transit for approval. These goals are developed to provide organizational framework and focus on safety priorities and will include departmental specific safety tasks and initiatives to be completed. The goals of the SSPP are the following:
(1) Safety of passengers, EPSC personnel and its Contractors who come in contact with the rail transit system, equipment, and facilities (2) To identify and eliminate, or if that fails, to minimize and/or control safety hazards and their associated risks (3) Achieve and maintain a level of safety in EPSC and every front-line employee’s work environment comparable or better than other organizations in the transit industry (4) To assure compliance with safety, security, health, and environmental laws, regulations, and codes (5) To maintain a high level of ability to respond to emergency/disaster conditions and a plan for handling each foreseeable type of emergency. To establish requirements, lines of authority, and levels of responsibility and accountability for implementing the System Safety Program Plan within the organization 2.5 SSPP Document Control and Update Procedure
This SSPP is a controlled and secure document with a specific and limited distribution list. Should the holder of this plan leave their current position, any hard copies of the plan must be returned to the SSST Manager. Should hard copies of the plan be lost or stolen, it must be immediately reported to the SSST Manager.
The SSPP is supplemented by and dependent on other supporting documents develop by Sun Metro, EPSC and other third parties. The Associate Director for Streetcar Operations and the SSST Manager will determine the initial distribution for this document. The SSST Manager maintains the distribution list and assigns control numbers for the controlled distribution. Anyone referring to a copy of this document that does not have a control number should verify they are using the latest revision.
Document holders are required to keep their manuals up-to-date by returning obsolete documents to the SSST Manager and replacing them with updated documents as explained in the instructions that accompany all updates to the SSPP. The inside cover page of this document shows the record of previous revisions and the control number for this copy of the SSPP. Authorized individuals at Sun Metro can request additional copies from the office of the SSST Manager.
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2.6 System Safety Program Plan (SSPP) Awareness
All EPSC employees have a role in supporting system safety. This SSPP has been developed to capture the EPSC safety philosophy and codify the essential organizational practices and responsibilities that support the consistent application of safe practices. In order to ensure the SSPP becomes a working document for all EPSC employees, an annual SSPP safety refresher awareness program is conducted.
In addition, the SSST Manager, Associate Director of Streetcar Operations and the Sun Metro Director of Mass Transit will review each year the progress made in achieving system safety goals and objectives and highlights for the current year to establish the safety priorities for the next year. In addition, EPSC will conduct re-certification training for safety-sensitive personnel with an SSPP awareness component within the lesson plan.
Sensitive positions are: A. Managers B. First Line Supervisors C. All personnel whose duties have a direct impact to passenger travel D. Anyone in a leadership or influential position
Safety awareness is also reinforced through: A. Training B. Safety bulletins C. Rule of the Week program D. Safety Awards program E. Periodic internal and external safety awareness campaigns F. Tool Box Safety Meetings (TBSMs)
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3. EPSC MANAGEMENT STRUCTURE
This section includes information about the EPSC organization as well as departmental roles and responsibilities 3.1. Safety and Security Oversight Structure
Figure 3: Safety and Security Oversight Flow Chart
TxDOT Sun Metro Federal Transit Development of State Delegation of Development of Administration State Safety and Authority to TxDOT Safety and Security Regulations Security Oversight Program Plan Program Standard
3.1.1 State of Texas Responsibilities
Under the revised rule, the primary responsibility of the State of Texas remains designating an entity other than the RTA to oversee the safety and security of each Rail Fixed Guideway System (RFGS). Texas Transportation Code, §455.005., Rail Fixed Guideway Mass Transportation System Safety Oversight (Appendix B) designated TxDOT as the responsible SSOA for implementing and administering 49 U.S.C. 5330 and meeting the requirements of 49 CFR, Part 659.
The Texas Department of Transportation (TxDOT) is the Safety and Security Oversight Agency (SSOA) of the State of Texas. The SSOA is required to prepare a program standard, which is a written document developed by the oversight agency that describes the policies, objectives, responsibilities, and procedures used to provide RTA safety and security oversight. FTA’s revised rule specifies that the oversight agency’s program standard must address, at a minimum, nine areas identified in 49 CFR, Part 659.15.
Sun Metro Transit is the City of El Paso Mass Transit Department, administered by the Office of the City Manager through the City’s Mass Transit Board. The Director reports to the City of El Paso Mass Transit Board and manages the various divisions of Sun Metro’s staff, as shown in Figure 4.
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Figure 4: Sun Metro Safety & Security Management Team Organization
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3.2. Sun Metro / EPSC Management Structure 3.2.1. Sun Metro Director of Mass Transit
Sun Metro Director of Mass Transit is the Accountable Executive responsible for directing and coordinating all activities affecting safety within the El Paso Streetcar system. The Accountable Executive who, irrespective of other functions, satisfies the following: (1) Is the final authority over all operations authorized to be conducted on El Paso Streetcar system. (2) Controls the financial resources required for the operations. (3) Controls the human resources required for the operations authorized to be conducted. (4) Retains ultimate responsibility for the safety performance of the operations conducted. The accountable executive must accomplish the following: (1) Ensure that the SMS is properly implemented and performing in all areas. (2) Develop and sign the safety policy. (3) Communicate the safety policy throughout the organization. (4) Regularly review the safety policy to ensure it remains relevant and. (5) Regularly review the safety performance of the organization and direct actions necessary to address substandard safety performance
The Director of Mass Transit has full authority to speak and act on-behalf of the Authority on all operations and maintenance matters including those involving the safety of passengers, employees, and service property. It is the responsibility of the Director of Mass Transit to ensure that the organization achieves the system safety goals. As part of this effort, the Director of Mass Transit assists the SSRC in reviewing and approving the SSPP, at a minimum, on an annual basis. The Director of Mass Transit schedules and attends meetings with the appropriate internal and external staff to exchange information, assess the safety performance of the El Paso Streetcar aspect, discuss any safety issues, and is the media contact for streetcar and safety related inquiries. The Director of Mass Transit are responsible for the performance of all subordinate staff and for ensuring that the entire staff’s safety responsibilities are consistently carried-out in a professional and effective manner. 3.2.2. Sun Metro Assistant Director for Streetcar Operations
The Assistant Director of Streetcar Operations acts as the direct point of contact for the day-to-day management of the El Paso Streetcar system. As a Sun Metro employee, this managerial position reports to the Director of Mass Transit. The position directs and manages all streetcar staff and contractors to ensure compliance with established streetcar system policies, directives, regulations and ordinances (city, state and federal) and both the Standard Operating Procedures (SOP) and Standard Maintenance Procedures (SMP) in all phases of operation and maintenance, as well as the direct supervision of all operational and maintenance staff to provide a safe, dependable, timely and courteous fixed rail transit service. In addition, a singular purpose of this position is to act as the primary interface between the streetcar organization, the Camino Real Regional Mobility Authority (CRRMA), and additional El Paso Streetcar stakeholders which consists of The City of El Paso, and the University of Texas-El Paso. Among his duties are: 1. Directs and coordinates all operational personnel by establishing and monitoring program and
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project objectives, developing and implementing processes and procedures, reviewing performance, completing required status change and timekeeping documents, implementing and monitoring training, coordinating efforts with internal Sun Metro departments, administering required programs, managing budgets, compiling and reporting data, supervising the hiring process, developing goals and objectives, and implementing team building processes. 2. Maintains reliable and high quality streetcar service by ensuring the scheduling of personnel, facilities and training, monitoring of ridership trends, analyzing data, compliance with all regulations and manufacturers’ processes for operations, evaluating staff performance, recommending and completing service upgrades and modifications, monitoring work flow, monitoring expenditures, coordinating operational requirements with the maintenance staff, reporting equipment failures, establishing and monitoring service standards, and developing short and long range plans. 3. Completes related administrative tasks by reviewing and analyzing data and statistics, coordinating and managing the budget process, addressing and resolving labor relations issues, monitoring training and safety, developing and presenting information, writing papers, memos and other correspondence, and investigating accidents and promoting safety. 4. Administers contractual agreements with El Paso Streetcar’s contractors and their personnel as assigned to the El Paso Streetcar project, including supervisory, operations and maintenance personnel. Oversee day-to-day issues, working with the contractor’s manager, including safety, service quality, training, development, scheduling, discipline, and similar functions. Literally, to provide the highest level of customer service possible. 5. Develops, refines, and ensures implementation of the El Paso Streetcar’s operations and maintenance plan, and related standards and documents such as rules and procedures. This position oversees job and position expectations for supervisory, operations, and maintenance personnel. Coordinates and oversees the data and reports regarding El Paso Streetcar operations and maintenance, including key performance indicators, accident/incident reports, personnel measurements, and statistics related to any contractor’s El Paso Streetcar contract compliance. 6. Works through the Sun Metro’s Director of Mass Transit, as necessary, to ensure the El Paso Streetcar support functions are being adequately provided. 7. The position is responsible for identifying solutions for deviations from the Service Plan and related agreements, within the parameters of the Inter-Governmental Agreement.
Take every reasonable precaution given the circumstances to ensure the protection of employees, patrons, and members of the public. Identify and inform employees of hazards in the workplace. Determines safe work methods and ensures that employees are notified of new and modified methods. Ensures that employees are trained on safety policies and procedures. Ensures that employees follow procedures. Responds to health and safety concerns of employees in a timely manner
3.2.3. Streetcar Safety, Security & Training (SSST) Manager
EPSC Safety and Security compliance fall under the responsibility of the Streetcar Safety, Security & Training (SSST) Manager. Under the supervision of the Assistant Director for Streetcar Operations, the SSST Manager oversees the daily operations of EPSC.
The SSST Manager among his/her duties: • Assists in accident investigation, • Performs investigation of security breaches,
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• Conducts random inspections • perform annual safety audits, • Manages hazard analysis, • Provides safety & security training, • Conducts threat and vulnerability assessments. • Responsible for all System Safety regulatory reporting requirements.
The SSST Manager’s responsibilities in the day-to-day activities may include but are not limited to: • Directing/overseeing the safety program both on-site and on-road in coordination with Homeland Security and State and Local Law Enforcement for EPSC. • Directing/overseeing the overall safety operations of jobsites and on-board systems that include reporting, conducting safety meetings. • Directing/overseeing the development and implementation of training programs (i.e. new streetcar operator, safety policy courses, passenger/assistance service sensitivity classes, etc.) • Directing/overseeing the security program for all facilities (including on-road), remote surveillance and on-board camera systems • Training staff • Developing and monitoring contents of classroom training to ensure compliance • Investigating incidents, accidents, and work-related injuries including, accident reports, accident files, accident register, and following up with the claims office and adjusters as necessary • Planning, scheduling and conducting monthly safety meetings based on Sun Metro safety and security training goals and objectives • Setting up regular accident review committees to determine preventability of accidents • Addressing employee safety complaints.
3.2.4. Streetcar Maintenance and Facility Services Superintendent
The Streetcar Vehicle & Facility Maintenance Superintendent fall under the responsibility of the Streetcar Maintenance & Facility Services Superintendent. Under the supervision of the Assistant Director for Streetcar Operations, the Streetcar Maintenance & Facility Services Superintendent oversee: • Plan, assign and direct the maintenance and repair of rail equipment and facilities. • Involves: Maintain streetcars and facilities including, but not restricted to, trackway, Overhead Contact System (OCS), Traction Power Substations (TPSS), and maintenance/storage facilities. • Coordinate duties of all Streetcar maintenance personnel and contractors as required for the safe and efficient operation of the Streetcar. • Manage warranties and vendor interaction in support of all streetcar and facility related equipment. • Conduct inspection of buildings and surrounding areas and recommend modifications or repairs. • Plan and implement preventive maintenance programs for all rail equipment. • Inspect work in progress and recommend adjustment of personnel assigned to work order to ensure timely quality of completion of work orders. • Allocate personnel, materials and other resources to balance workflow and ensure availability of rail equipment. • Oversee the servicing and daily cleaning activities of all rail equipment and personnel. • Develop and implement processes and procedures within the Streetcar maintenance division to
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ensure the safe and efficient operation of all streetcars, maintenance support equipment, and streetcar facility equipment. • Implement rail transit system maintenance and management programs, industrial hazard identification, accident and security incident notification, internal maintenance and safety audits, and emergency preparedness and response. • Conduct training sessions with maintenance and equipment support personnel on a regular basis. • Monitor regulatory compliance and implement training materials in coordination with Sun Metro Safety personnel. • Ensure completion of all maintenance tasks, monitor vehicle performance trends, analyze data, ensuring compliance with all regulations and established Original Equipment Manufacturer processes. • Develop and execute comprehensive plans to consistently improve safety performance across all areas of the Streetcar Maintenance and Storage Facility (MSF) and its associated track and power equipment. • Determine safe work methods and ensure that personnel are notified of new and modified maintenance methods consistent with OEM procedures and policies. • Ensure that personnel are trained on and continuously review safety policies and procedures. • Supervise assigned staff. • Schedule, assign, instruct, guide and check work. • Appraise employee performance. • Provide for training and development. • Enforce personnel rules and regulations and work behavior standards firmly and impartially. • Counsel, motivate and maintain harmony. Interview applicants. Recommend hiring, discipline, merit pay or other employee status changes.
3.2.5. Assistant Superintendent for Transit Operations
The Streetcar Operations fall under the responsibility of the Streetcar Assistant Superintendent for Transit Operations. Under the supervision of the Assistant Director for Streetcar Operations, the Streetcar Assistant Superintendent for Transit Operations over-sees:
(6) Assists in planning, organizing, coordinating and directing transit fixed route or streetcar operations through subordinate supervisors to ensure timely, efficient and safe customer service. (7) Provide guidance and direction to subordinate supervisors in route and shift coverage to ensure timeliness of service, customer satisfaction and compliance with safety requirements set forth by Federal Transit Administration (FTA) regulations and motor carrier requirements. (8) Monitor daily operations, meet with route supervisors on service-related issues such as road closures or special assignments, maintain and analyze complaint files for service improvement. (9) Issue written or oral instructions to transit supervisors and dispatchers. Monitor overtime and other operating expenses. (10) Oversee and monitor fixed route and streetcar to ensure sufficient staffing to facilitate orderly movement of passengers. (11) Investigate and respond to complaints from public officials, other departments or the general public. (12) Provide accurate information to inquiries, and respond to complaints, including complaints from individuals who may be irate. (13) Ensure that accidents or complaints are properly investigated. Represent the City in administrative hearings. Interact with other departments, supervisors, co-workers and the public. (14) Assign, schedule and monitor work.
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(15) Appraise employee performance and review subordinates’ appraisals. (16) Provide for training and development. (17) Counsel, motivate and maintain supervisor-subordinate harmony. (18) Identify and resolve staff differences, conflicts and deficiencies. (19) Investigate grievances, take statements and make recommendations. Interview applicants. (20) Recommend hiring, discipline, termination, merit pay or other employee status changes. (21) Enforce personnel rules and regulations, and work behavior standards firmly and impartially. (22) Monitor and ensure equitable distribution of overtime. Promote the observation of safe work practices. Monitor sick leave abuse, oversee vacation sign-up. (23) Respond to serious accidents or emergencies to ensure proper investigation. (24) Attend meetings to represent the department, such as Citizens’ Advisory Board, or workers’ compensation hearings. 3.3. Integration of Safety Function
El Paso streetcar System Safety Program Plan focal points are the safety and the fire / life / safety-related activities that must occur throughout the life of the streetcar system to provide a reasonable degree of assurance that a high level of safety is achieved. The elements of this System Safety Program Plan for revenue operations (SSPP) include long-term strategies for implementing safety as a systemic process. Simultaneously, it delineates activities to be performed by the safety organizations to ensure their involvement throughout the system’s operational life. This SSPP is a dynamic document. While the long-term safety strategies tend to remain constant, many short-term tasks evolve as operational experience and the specific needs of the alignment and the system’s clientele become more clearly defined. The System Safety Program Plan is periodically reviewed as the streetcar system matures. These reviews will be reflected in subsequent yearly revisions of the SSPP. The analysis, review, and revision processes are the responsibility of Sun Metro SSTQ Manager with support from other groups (for example, the Fire / Life Safety & Security Committee and emergency services organizations). 3.4. Lines of authority for safety
In any case where an agreement cannot be made concerning a safety issue, Sun Metro Director of Mass Transit and the Assistant Director for Streetcar Operations has the ultimate authority for making the final decision. The City of El Paso has delegated the day to day authority for the operation of the system to Sun Metro.
The SSST Manager is the overall responsible for the Safety & Security of the El Paso Streetcar system. The SSST Manager oversees all safety and security of the system with the assistance of Sun Metro Safety & Security Manager. The SSST Manager is the focal point in the day to day safety-related activities. The SSST Manager is responsible for coordination which may include review or preparation of rules and procedures, participation in committee discussions, auditing of the department Safety Programs, and review of the safety training curriculum. This methodology assures free information flow and resolves conflicts in safety-related documents prepared by more than one department.
In case the SSST Manager is indisposed (sick, vacation, out of town, etc.), the Sun Metro Safety & Security Manager will take over the functions of the SSST Manager. This will be done with the support of the EPSC manager and staff.
The City of El Paso staff have the authority to work with all management leaders to receive information, identify safety concerns, conduct internal reviews, and inspections, while developing
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recommendations and corrective action plans to address safety concerns, track and verify the implementation of recommendations and corrective action plans, and report findings.
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4. SSPP CONTROL & UPDATE
1.1 SSPP Control and Update Procedures
Any change or modification to the rail system has the potential for affecting passenger and/or employee safety. Controlling the system modification and change process is in order; appropriate safety reviews must be conducted during each stage of such processes to maintain acceptable levels of system safety.
Changes to the system in the revenue service period will be conducted in accordance with EPSC & Sun Metro policies. The SSPP is reviewed annually based upon a baseline date of June 1 and updated periodically on an as-needed basis to:
Review progress on the tasks accomplished as the system matures Refine and improve the current task descriptions and activities Identify new tasks that may be required as the system progresses Identify system safety, fire / life / safety-related responsibilities
The following process is used to update and support the System Safety Program Plan:
(25) The City of El Paso and Sun Metro personnel will work cooperatively with the SSST Manager to annually update their safety record and to evaluate the SSPP’s effectiveness. (26) SSST Manager will review the System Safety Program Plan and advance proposed updates to Sun Metro Director of Mass Transit and the Associate Director for Streetcar Operations for review and approval. (27) Upon the approval of Sun Metro Director of Mass Transit and the Associate Director for Streetcar Operations, the SSST Manager will forward updated SSPP to TxDOT - SSO for their review and comments. (28) TxDOT - SSO then returns the System Safety Program Plan to SSST Manager: (29) The TxDOT-SSO will submit comments that will be reviewed by of Sun Metro Director of Mass Transit, Associate Director for Streetcar Operations, the SSST Manager. If all concur, the comments will be integrated in the document and resend for review and approval. If comments or doubts arise during the evaluation of TxDOT comments, clarification will be asked. (30) TxDOT-SSO has no comments and submits a letter of approval of the SSPP. At that moment, the document will be copied and distributed in accordance with EPSC SSPP distribution list. (31) The approved plan is published and distributed to all EPSC Managers and pertinent Sun Metro members for implementation according to an established distribution list.
1.2 Implementation Activities and Responsibilities
EPSC & Sun Metro have defined specific tasks to implement the goals and objectives of the EPSC System Safety Program Plan. The personal safety and security of passengers and employees are Sun Metro’s highest priorities. The following tasks for implementation are listed below in Table 2:
Table 2: Implementation Activities and Responsibilities†
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No. Implementation Activity Responsibility (position) 1 Establishment of Streetcar System Safety & Security Sun Metro (SSST Manager), Certification (SSC) Committee and System Safety and CRRMA, City of El Paso Security Oversight (SSO) Committee. 2 Continual review of the System Safety Program Plan in the Sun Metro (SSST ), CRRMA, regular streetcar operations meetings. City of El Paso 3 Coordination of SSPP with existing Sun Metro practices and policies, and revision of other practices and policies if Sun Metro ( SSST Manager) necessary. 4 Continual reinforcement of operator awareness as it pertains Sun Metro ( SSST Manager) to System Safety. 5 Continued reinforcement of safety and emergency preparedness responsibilities for all streetcar operators Sun Metro ( SSST Manager) through training programs, procedures, drills and instructions. 6 Integrate system safety procedures, drills/demonstrations Sun Metro ( SSST Manager), and incident reviews into streetcar operations, maintenance CRRMA and training process. 7 Reinforce an organizational culture for safety and security responsibility, by restricting access to the streetcar barn to Sun Metro (SSST Manager) authorized personnel only. 8 Review the system SSPP on an on-going basis for Sun Metro (SSST Manager), performance of its objectives and goals. CRRMA 9 Update the SSPP annually. Sun Metro (SSST Manager)
† CRRMA’s involvement as the project owner is through construction and beginning of revenue operations only.
ANNUAL SSPP REVIEW The SSPP will be reviewed annually by the SSST Manager to make updates, corrections, and modifications. The SSPP will be resubmitted for approval by the TxDOT - SSO prior to June 1 of each year.
The SSST Manager is responsible for the preparation, maintenance, and updating of the SSPP. Revisions of the SSPP will be made effective upon the concurrence of Sun Metro Executive director & the Associate Director of Streetcar Operations and the approval by TxDOT - SSO. TxDOT-SSO SSPP’s approved revision will be handed to the SSST Manager who will distribute the plan.
1.2.1 Control of Documents
EPSC Sun Metro procedure for Control and Distribution of Plans, Manuals, Policies and Procedures defines the controls needed:
• To approve documents for adequacy prior to issue • To review and update as necessary and re-approve documents • To ensure that changes and the current revision status of documents are identified • To ensure that current versions of applicable documents are available at points of use • To ensure that documents remain legible and readily identifiable
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• To prevent the unintended use of obsolete documents and to apply suitable identification to them if they are retained for any purpose
Employees shall use the specified or latest revision of specifications or controlled documents to include documents of external origin.
1.2.2 Control of Records
Records are established and maintained to provide evidence of conformity to requirements, and for the effective operation of the quality management system. Records shall remain legible, readily identifiable, and retrievable. Sun Metro Control of Public Records defines the controls needed for the identification, storage, protection, retrieval, retention time, and disposition of records
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5. SSPP IMPLEMENTATION AND RESPONSIBILITIES
5.1. Overview
Interdepartmental cooperation and teamwork are required to implement the provisions of the System Safety Program Plan. The SSST Manager is responsible for implementing and maintaining the requirements of the System Safety Program Plan throughout the life of the EPSC system. It is essential that all areas work cooperatively to identify, eliminate, and control hazards. The reduction of the frequency and severity of accidents and incidents on the EPSC Streetcar system also serves as the principal measure for monitoring the plan’s implementation and effectiveness.
The SSST Manager is responsible for conducting on-site audits of individual system safety performance, procedures, policies, and goals. This process assists in the promotion of an effective organizational culture regarding safety and provides all invested parties with the assurance of accountability regarding compliance. 5.2 Methodology Used to Achieve Goals
Presented herein, is detailed information pertaining to implementation of the EPSC Streetcar system safety and fire / life / safety program to provide a reasonable degree of assurance that the safety program is structured to meet the requirements for compliance with the Safety Oversight Standards. The section below lists the system safety and fire / life / safety tasks presently identified for the EPSC & Sun Metro. Additionally, it identifies the organizational responsibilities for preparing, initiating, supporting, reviewing, commenting, and approving each task or activity. Task numbers the left-hand column correspond with the paragraph numbers used in this section of the SSPP. Subsequent revisions of this document may identify other organizations responsible for accomplishing safety tasks. Within this matrix, task responsibilities are assigned by the following letter codes:
P Primary Task Responsibility — the identified participant is responsible for the conduct of the task and the preparation of the necessary documentation. S Secondary or Support Responsibility — the identified participant is to provide such support as may be necessary in the accomplishment and documentation of the task. R Review and/or Comment Responsibility — the identified participants are required to review and/or provide comments on the task or requirement. A Approval Responsibility — the identified participant is required to review comments and approve the task or requirement.
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5.3. Safety-Related Tasks of Other Departments
The SSST Manager will ensure that each department meet assigned safety goals and initiatives are implemented and brought to closure. Verification that assigned safety policies and programs are being implemented in each Department is achieved through the following processes:
Inspections- Jointly performed by the SSST Manager and Sun Metro Safety & Security Manager Audits- Jointly performed by the SSST Manager and Sun Metro Safety & Security Manager Safety Certification Program- Approved by the SSRC, SSST Manager and Sun Metro Director of Mass Transit. Hazard Categorization Policy Data will be collected by the SSST Manager and approve by SSRC Safety Data Collection- SSST Manager will be responsible for data collection and trend analysis. Interdepartmental Annual Safety Goals- Goals will be set to and agreed to by the SSST Manager, Sun Metro Associate Director for Streetcar Operations and ` Sun Metro Director of Mass Transit. Accident/Incident Investigations- SSST Manager will perform accident/incident investigations and provide a report to Sun Metro Associate Director of Safety & Planning and the Associate Director for Streetcar Operations who will review, edit if needed Emergency Response Drills- Jointly planned and coordinated SSST Manager and Sun Metro Safety & Security Manager. Safety Training- Performed by the SSST Manager Safety Management Committees- SSRC and Employee Safety Committee Rules and Procedures Review- SSST Manager and the appropriate manager System Modification Review and Approval Process- will review and approve any/all safety related items involved in a system modification
5.4. Management Responsibilities
EPSC & Sun Metro Management are expected to provide leadership and guidance to their respective departments in system safety to ensure compliance with the System Safety Program Plan. This is accomplished in a variety of ways.
First and foremost, each manager is expected to prioritize safety programs and initiatives to ensure that safety goals are met and that all relevant safety policies and procedures adhered to. The necessary resources must be identified and channeled to effectively support the implementation of departmental safety goals and objectives. This process is exercised through the development of annual safety goals, which all departments are required to participate in discussing, developing, and implementing.
All EPSC personnel inherently have general safety-related tasks under the SSPP. These include the following:
(32) Department Managers are responsible for the safety of their departments including employees, facilities, equipment, operations, and services provided. They are tasked with performing
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operational testing in the field to ensure rules (safety, operations) compliance. A minimum number of tests will be assigned to managers each quarter. Prior quarter accident/incident data will be used to drive the quarterly testing plan. Managers are also responsible for ensuring that supervisors in their employ meet assigned testing goals. (33) Supervisors are responsible for the safety of employees, facilities, equipment, operations, and services under their supervision. They are tasked with performing operational testing in the field to ensure rules compliance. A minimum number of tests will be assigned to supervisors each quarter (34) Employees from EPSC and all Sun Metro personnel are responsible for working safely and following established regulations, rules, procedures, policies, and safe work practices. Employees will be monitored in the field by managers and supervisors to ensure they are in compliance with all applicable rules. All results, to standard and below standard, will be discussed with the employee. This will ensure that they are provided an opportunity to ask any questions, clarify understanding and bring their performance into compliance.
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6. Hazard Management Process
6.1. Overview
The objective of hazard management is to identify and define as many potentially hazardous conditions as possible and enter them into the Hazard Resolution process to mitigate the potential for those conditions or associated activities to cause an accident, injury, death or other loss.
EPSC & Sun Metro defines a hazard as any real or potential condition that can cause injury, illness, or death; damage to or loss of the facilities, equipment, rolling stock, or infrastructure of a rail fixed guideway public transportation system; or damage to the environment. The EPSC SSTQ Manager is directly responsible for the implementation and ongoing management of the EPSC Hazard Management process. This includes:
• Developing, updating and auditing the program • Training all designated Sun Metro employees and contractors on the hazard management process • Documenting and tracking all identified hazards to resolution.
The hazard resolution process is from ‘cradle to grave’ and can be applied throughout the 5 phases of the system life cycle.
1. Planning 2. Design 3. Construction 4. Operations 5. Decommissioning
Hazard analysis attempts to determine the set of primary events in the hazard generation process. Upon identification of these events, EPSC/Sun Metro will undertake measures to mitigate, control or eliminate the generation of hazards in ways that can reduce their risk to an acceptable level. Hazard resolution is the corrective action taken in response to the hazard identification and assessment process but time and resource restrictions may determine the level of resolution that can be accomplished. The following are actions for hazard resolution:
• Eliminate the hazard, if possible • Install protective devices/measures to reduce the hazard • Provide training to educate the workforce of possible hazards • If hazard cannot be eliminated, reduce exposure to it
6.2. Identification
Hazard identification encompasses a set of methodologies that first searches throughout the system for anything the potential to do harm. Identification of hazards is the responsibility of all divisions and is the key to system safety. Identified hazards are analyzed for severity, occurrence frequency and cost feasibility of remedial action required to eliminate or reduce the hazard to the
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lowest practical level. The EPSC SSTQ Manager shall review all hazards that are identified. Hazards can be identified in several ways such as:
• Design Review • Accidents, incidents and system reliability and failure reports • Ride Checks and Proficiency Checks • System inspections, audits and regulatory inspections • Customer, contractor and employee complaints • Safety Committee • Transit Industry Experience
While identifying, every hazard is virtually impossible, there are two methods for orderly identification of hazards: inductive and deductive analysis.
• The inductive hazard identification process consists of an analysis of system components to identify their respective failure modes and the effects they may have on the total system. This process assumes the failure of single elements or events and, through analysis, determines the potential consequential effects on the system or subsystem. • The deductive hazard identification process involves defining an undesired effect (e.g. collision, fire) and then deducing the possible conditions or system component faults (or combinations of them) that are necessary to cause the undesired effect.
EPSC plans to use a hazard identification and analysis process before purchasing and accepting new equipment and modifications of existing facilities, systems or rolling stock.
6.3. Hazard Analysis Methods
Analysis of a hazard is based on both the probability of occurrence and the severity of an event. Hazards with greatest potential to cause serious injury take highest priority for immediate resolution. Hazard analysis also attempts to reduce the severity of accident events by introducing protective devices and equipment, procedures and/or forms, or system modifications that reduce the amount of human and property damage in an accident event. There are four commonly used methods of hazard analysis:
1. Preliminary Hazard Analysis (PHA) is typically the initial hazard analysis technique used during the system or subsystem design phase. PHA is used to identify safety critical areas within the system, to identify and roughly evaluate hazards, and to begin to consider safety design criteria. PHA establishes the basis for the safety criteria in design, equipment and performance specifications, and can also be used for subsequent Subsystem Hazard Analysis. 2. Operating Hazard Analysis (OHA) is performed to determine all applicable operational safety requirements for personnel, procedures and equipment throughout all phases of the system life cycle. Engineering data, procedures and instructions developed from other safety analyses, the engineering design and initial test programs are all used to support this analysis.
OHA is used most frequently for investigations of catastrophic and critical accidents that result from human error rather than equipment failure. It involves four major determinations: cause, effect, risk assessment and control.
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6.4. Hazard Risk Assessment Methodology
Hazard Risk Assessment is a quantitative calculation based on largely subjective judgments used to determine the risk associated with each hazard and thus the urgency for implementing corrective measures to eliminate or reduce risk to a level of acceptability. Risk Assessment is comprised of evaluating hazard severity (categorizing the hazard) and evaluating hazard probability. The factors considered in this analysis include system safety, schedule, and the impact on the public’s perception of safety on the system in the community where the trains operate.
6.4.1. Hazard Severity
Hazard severity is a subjective determination. As data is accumulated over time, an objective determination applicable specifically to Sun Metro can be derived. The determination reflects a credible mishap that could be anticipated to result from human error, procedural deficiencies, design inadequacies, component failure or malfunction. Hazard Severity at Sun Metro is based on the U.S. Department of Defense Military Standard for Systems Engineering (MIL-STD-882E) as follows:
• Category 1, Catastrophic – Death, system loss, or severe disruption of service system- wide. • Category 2, Critical – Severe injury, severe occupational illness, major system damage, or major system-wide disruption of service. • Category 3, Marginal – Minor injury, minor occupational illness, minor system damage, or minor system disruption of service. • Category 4, Negligible – Less than minor injury, occupational illness, system damage, or less than minor system disruption of service.
The categorization of hazards is consistent with risk-based criteria for severity; it reflects the principle that not all hazards pose an equal amount of risk to personal or system safety.
During the performance of hazard analyses, EPSC / Sun Metro will identify any Category 1 Catastrophic and Category 2 Critical hazards. These hazards constitute the Safety Critical Element List (SCEL), a subset of the Critical Element List (CEL), to provide visibility of these issues and to verify monitoring and control. The SSST Manager updates the CEL to reflect the status of all hazards; prioritizing Category 1 and 2 hazards. The SCEL and CEL are published and managed until all hazards have been eliminated, reduced or controlled to acceptable levels.
6.4.2. Hazard Probability
The probability of an event or hazard occurring may be defined as a ratio of the number of times that a specific event occurs to the total number of trials in which this event may occur during the planned life expectancy of a system. Generally, hazard probability is described qualitatively in potential occurrences per units of time, miles, trips/runs or passengers carried. Table 3 identifies the probability thresholds used by the Sun Metro / EPSC for hazard assessment. A hazard probability may be derived from the analysis of transit system operating experience, evaluation of Sun Metro safety data or from historical safety data from other passenger rail systems.
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Table 3: Hazard Assessment Probability Levels
Hazard Probability Probability Levels A = Frequent Likely to occur frequently to an individual item. Continuously experienced in the system. MTBE* is less than 1000 operating hours B = Probable May occur several times in the life of an item. May occur frequently in the system. MTBE is equal to or greater than 1000 operating hours and less than 100,000 operating hours
C = Occasional Likely to occur sometime in the life of an item. May occur several times in the system. MTBE is equal to or greater than 100,000 operating hours and less than 1,000,000 operating hours D = Remote Unlikely, but possible to occur in the lifetime of an item. Unlikely, but can be expected to occur at some time in the system. MTBE is greater than 1,000,000 operating hours and less than 100,000,000 operating hours E = Improbable So, unlikely to occur, it can be assumed occurrence may not be experienced. Unlikely, but possible to occur in system. MTBE is greater than 100,000,000 operating hours F = Eliminated Incapable of occurrence. This category is used when potential hazards are identified and later eliminated * MTBE = Mean Time Between Events
6.5. Hazard Risk Assessment
The Risk Assessment Process is used to prioritize hazardous conditions and focus available resources on the most serious hazards requiring immediate resolution. EPSC & Sun Metro will use a system for assessing the level of risk for each identified hazard to determine what action(s) must be taken to correct or document the hazard risk. This risk assessment system is incorporated into the formal System Safety analysis which enables EPSC decision-makers to understand the amount of risk involved in accepting the hazard in relation to the cost (schedule, cost, operations) to reduce the hazard to an acceptable level.
The Risk Assessment Matrix (Table 4) informs the Risk Assessment Index (Table 5) based upon potential severity and probability. The criteria for defining further actions are based upon that index. Follow-up actions resulting from the Risk Assessment are as follows:
Unacceptable: The hazard must be mitigated in the most expedient manner possible before normal service may resume. Interim corrective action may be required to mitigate the hazard to an acceptable level while the permanent resolution is in development.
Undesirable: A hazard at this level of risk must be mitigated unless a documented decision to manage the hazard until resources are available for full mitigation is issued by executive management and forwarded to TxDOT for review and approval/disapproval.
Acceptable with Review: The SSTQ Manager must determine if the hazard adequately controlled or mitigated as is.
Acceptable without Review: The hazard does not need to be reviewed by management and does not require further mitigation or control.
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Table 4: Risk Assessment Matrix
Safety Risk Assessment Matrix MIL-STD-882-E Severity Catastrophic Critical Marginal Negligible 1 2 3 4 A - Frequent 1A 2A 3A 4A
B - Probable 1B 2B 3B AB
C - Occasional 1C 2C 3C 4C
D - Remote 1D 2D 3D 4D
Probability E – Improbable 1E 2E 3E 4E
F - Eliminated 1F 2F 3F 4F
Table 5: Risk Assessment Index
1A, 1B, 1C, 2A, 2B HIGH Unacceptable 1D, 2C, 3A, 3B SERIOUS Undesirable with management decision required 1E, 2D, 2E, 3C, 3E, 4A, 4B MEDIUM Acceptable with review by management 4C, 4D, 4E LOW Acceptable without review 1F, 2F, 3F, 4F NONE Incapable of occurrence. This category is used when potential hazards are identified and later eliminated
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6.6. Initial Hazard Notification
Sun Metro / EPSC will provide initial notification of any hazards identified in the 1-2 hazard risk index category to TxDOT via email or telephone within 24 hours of occurrence or discovery.
The following information shall be provided by the EPSC in the initial notification of the hazard. If the information is not pertinent to the event, the item should be identified on the Initial Notification as “non-applicable” (N/A).
• Rail Transit Agency • Name and Job Title of person reporting the hazard to TxDOT • Date and Time of Hazard Discovery or Occurrence: • Location on System: • Name and Contact Telephone # for Follow-up Information • Fatalities • Injuries • Property damage estimate • Rail transit vehicle(s) involved (type, number) • Other vehicle(s) involved (type, number) • NTSB reportable • FRA reportable • Sun Metro person conducting the investigation (name, title, telephone # and email address) • Description of the Hazard: • Description of the implemented and/or planned corrective action(s)
6.7. Hazard Resolution
Resolution of hazards utilizes the results of the Risk Assessment Process. The objectives of the hazard resolution process are to:
1. Identify areas where hazard resolution requires a change in the system design, installation of safety devices or development of special procedures; 2. Verify that hazards involving interfaces between two or more systems have been resolved; and 3. Verify that the resolution of a hazard in one system does not create a new hazard in another system.
EPSC & Sun Metro uses the following methodology to assure that system safety and security objectives, to eliminate or control hazards, are implemented throughout design, construction, procurement, and operations:
1. Design out hazards or design to minimize hazard severity. To the extent permitted by cost and practicality, identified hazards are eliminated or controlled by the design of equipment, systems and facilities.
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2. Develop mitigating provisions for hazards that cannot reasonably be eliminated or controlled through design which are controlled to an acceptable level through the use of fixed, automatic, or other protective safety design features or devices. Provisions are made for periodic performance of functional checks of safety devices and training for employees to meet system safety objectives. 3. When design, training and safety devices cannot reasonably nor effectively eliminate or control an identified hazard, safety warning devices are used (to the extent practicable) to alert persons to the hazard. 4. Where it is impossible to reasonably eliminate or adequately control a hazard through design or the use of safety and warning devices, procedures and training are used to control the hazard. Precautionary notations are standardized for use by all persons involved and safety-critical issues require certification of authorized personnel.
The Initial Risk Index defines the magnitude of any specific hazard item without implementation of design, construction, procurement or operational measures to control or mitigate the risk. The Sun Metro SSTQ Manager will identify sets of proposed mitigation actions to eliminate or control each identified risk and evaluate the Residual Risk Index, based on those mitigating actions, to assess the potential effectiveness and inform Sun Metro Associate Director of Streetcar Operations determination of whether the hazard is adequately controlled or mitigated.
6.8. Hazard Tracking
Hazards identified using any of the four commonly used methods of hazard analyses identified in Section 6.3 are formally documented within Hazard Analysis (HA) Logs (Figure 5Error! Reference source not found.). The EPSC SSTQ Manager will develop and update the HA Logs to reflect the status of identified hazards. The HA Log is published and managed to eliminate, reduce or control each hazard to an acceptable level. The HA Log for the EPSC Project will be submitted to the SSOA monthly as per the TxDOT Rail Division’s State Safety and Security Oversight Program Standard (August 2013).
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Figure 5: Sample El Paso Streetcar Hazard Analysis Tracking Log
SSO / Date Source / Haz- Action or POC for CAP submitted to Resolution CAP Proposed CAP Status CAP Submission Logged Incident # Cat Hazards CAP Agency Status Complete Date as of Today Review Date
Date Proposed Implementation date Actual Implementation Issues Prev Resolution
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7. SAFETY DATA COLLECTION AND ANALYSIS The Sun Metro Safety and Security & EPSC SSTQ Manager monitors the safety performance of the various Sun Metro operations. Accident, incident, injury and other safety data is collected throughout the division and analyzed to determine trends within the organization. The safety data collected is analyzed to determine if safety performance meets established safety goals outlined annually. The accident and incident data also assists in identifying service areas that generate a higher percentage of accidents or potential for higher accident rates. Safety data collected includes injuries to passengers, Sun Metro personnel and the public; hazardous equipment failures; unacceptable hazardous conditions; vandalism and security hazards; and rules and procedures violations. The Safety and Security Division analyzes safety-related data for the purpose of implementing corrective action to assist in preventing or mitigating the reoccurrence of hazards. 7.1. Data Acquisition
Information regarding accidents, incidents, and hazardous conditions of EPSC is obtained from several different reporting sources. These include, but are not limited to the following reports: • Accident/Injury Reports • Incident Reports • Daily Operations Summary • Accident/Incident Database • Employee/Occupational Injury reports • National Transit Database (NTD) Safety and Security reporting module
7.1.1. Data Analysis
Hazard data is used to identify trends. Trends are then further analyzed and/or investigated by the SSST Manager to determine causal factors. Interviews with personnel in the affected division(s) may also be conducted. The various safety teams identify hazards, areas susceptible to accidents, traffic problems and other critical factors to develop corrective actions for hazards.
7.1.2. Reports
The SSST Manager analyzes the data from reports, incident investigations, safety committees, field inspections, Police Reports and Risk Management. The SSST Manager also uses the data acquisition and analysis process to identify system trends and to monitor safety and security program performance. The SSST Manager provides monthly safety program performance reports to executive management.
Currently, safety performance reports (in conformance with those submitted to the National Transit Database - NTD) are submitted to FTA on a monthly and annual basis. The reports contain injury data regarding passengers, Sun Metro personnel, and customer/public accidents and incidents. The Assistant Director for Safety and Planning (or designee) compiles safety data for the overall Sun Metro organization including El Paso Streetcar. The report summarizes accidents and incidents into three categories: minor
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8.ACCIDENT/INCIDENT INVESTIGATIONS All EPSC / Sun Metro employees and contractors are expected to comply with EPSC / Sun Metro accident and incident reporting procedures and use the forms prescribed. Roles, responsibilities, and accident reporting thresholds are outlined in the procedure, including accident notification, reporting and investigation throughout the organization. The level of investigation required is dependent on the seriousness of the event. Each accident/incident is investigated by a supervisor as specified in the procedure. EPSC / Sun Metro complies with 49 CFR Part 659, State Rail Safety Oversight Rule for rail incidents/accidents and 49 CFR Part 1580 U.S. Department of Homeland Security Rule affecting transit systems. 8.1. Accident / Incident Investigation and Reporting Criteria
Section 659.33a requires that EPSC / Sun Metro submit reports to TxDOT regarding accidents/incidents as defined in SSOP. The SSST Manager conducts internal accident investigations on its behalf, unless otherwise notified.
For all investigations conducted by EPSC / Sun Metro, it will follow its own policy guidelines and procedures. EPSC / Sun Metro must submit any updates and revisions to its accident investigation procedures to appropriate agencies as they are completed and implemented by Sun Metro or with the annual update of the SSPP.
This procedure is integrated in the EPSC System Safety and Security Program Plan. TxDOT may participate in the investigation process when Sun Metro is conducting the investigation on TxDOT’s behalf. If TxDOT elects to conduct an investigation of accidents or incidents, the Streetcar System Safety Officer may also conduct an independent investigation.
8.1.1. Supervisor Investigation
Accidents and incidents on the EPSC Project which do not involve serious injury and/or damage usually require only an initial investigation by the supervisor and or EPSC SSTQ Manager responding to the scene. Initial investigations generally include items 1 thru 7 below.
The supervisor at the scene will: 1. Notify the SSST Manager 2. Perform an investigation, including an on-site inspection of the accident scene 3. Conduct interviews with involved personnel and witnesses as appropriate 4. Review reports written by involved personnel 5. Gather, collect and review physical evidence 6. Complete each Sun Metro accident / incident investigation form that applies to the event. (See Sun Metro Manual: Accident/Incident Investigation and Reporting.) 7. Submit a report based on the information collected to the SSTQ Manager and Sun Metro Assistant Director of Safety & Planning Director.
The SSST Manager will:
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1. Notify TxDOT, the National Transportation Safety Board (NTSB) and the Federal Transit Administration, for those accidents/incidents Section 8.3. 2. Notify the DHS/Transportation Security Administration of any reportable security incidents/events. 3. Complete the appropriate National Transit Database documents, per the established thresholds.
8.1.2. Safety Follow-up
All accident/incident data is collected throughout the organization and analyzed to determine trends within the operations. The SSST Manager is responsible for reviewing all accident/incident reports for potentially serious problems or conditions. Additionally, when accident/incident reports and statistics show repetitive trends that result in an inability to meet or exceed the safety goal and objective, the Safety and Security Manager will initiate an investigation to determine the causal factors and settle on required corrective actions. All corrective actions shall be approved by the Streetcar System Safety Officer.
8.1.3. Investigation Called by Sun Metro Executive Director
Sun Metro Executive Director may establish a separate, independent investigation of any incident / accident occurrence to be conducted by the SSST Manager, independent committee or independent consultant. This can be in addition to an investigation being conducted on behalf of local law enforcement, TxDOT or in addition to an NTSB investigation
8.2. Internal Notification of Accidents/Incidents and Unacceptable Hazards
Depending on the type of incident, the operator/employee must immediately notify the appropriate communication center and/or Safety and Security personnel. Non-revenue vehicle operators should notify their supervisor/manager, if at all possible. See Table 6 below for incident reporting responsibilities.
Table 6: Sun Metro Incident Reporting Responsibilities
Type of Incident Parties Involved in Incident Emergency Contact City cars, personal vehicle Non-revenue vehicles Supervisor/Manager operated on city business Streetcar PCC streetcar Streetcar Dispatch Firearms, potential terrorist Security Sun Metro Police Communications activity, suspicious package
All individuals who are in the designated notification process shall appoint one alternate in the event they cannot be reached by one of the Control Centers. Contact information is updated regularly and is maintained by the communication centers. If the respective communication center cannot reach an individual who must respond to the scene, the communication center will contact
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the alternate(s) for the individual. The above notification shall be completed within fifteen (15) minutes of the communication center or supervisor/manager being informed of the accident.
When notifying the Sun Metro communications center or designated personnel, the caller states their involvement in the incident and provides the following information (as applicable):
1. Location 2. Direction of travel 3. Number of persons injured and/or requiring medical assistance 4. Any other assistance that may be required 5. Name and Division/Section (if non-revenue vehicle accident)
After gathering the information from the operator and other parties, the respective communication center or manager forwards the information to the designated personnel and contacts the following agencies and City personnel, listed in priority order (see Accident/Incident Notification Report):
1. Call “911” to notify emergency personnel. 2. Notify SSST Manager. 3. Notify appropriate EPSC Operations Manager (i.e., Transportation, Equipment, and Facilities Management). 4. Notify the respective division. The on-duty Supervisor will contact the division or on-duty manager. For non-revenue service vehicles, the Safety and Security Division will verify that the operator/employee’s supervisor is notified. 5. Notify other support services (e.g. towing company) if necessary.
In any accident, incident, or crime resulting in a fatality, serious injury or major property damage, the SSST Manager or designee is responsible for the following: 1. Notify Sun Metro Operations Office at 915-534-5850 or 915-534-5818
8.3. Notification of EPSC Accidents and Incidents to External Agencies
EPSC / Sun Metro has established communications protocols with first responder agencies as well as other local entities that may be impacted by incidents or accidents involving transit vehicles.
8.3.1. Texas Department of Transportation
The EPSC SSST Manager shall notify the TxDOT Rail Division SSOA Program Manager, Susan Hausmann by telephone, at 512-416-2833 no later than two hours after the occurrence of any safety or security incident involving a rail transit vehicle or taking place on rail transit-controlled property where one or more of the following occurs:
• A fatality at the scene; or where an individual is confirmed dead within 30 calendar days of a transit-related incident;
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• Injuries requiring immediate medical attention away from the scene for two or more individuals; • Property damage to rail transit vehicles, non-rail transit vehicles, or other rail transit property or facilities and non-transit property that equals or exceeds $25,000; • The evacuation of fixed guideway systems during passenger carrying operation; • An evacuation due to life safety reasons; • An incident involving the release of hazardous materials; • A main line derailment (revenue portion of line, not OMF or yard track); • A collision between a streetcar with an individual; • A collision between a rail transit vehicle and a second rail transit vehicle, or a rail transit non-revenue vehicle;
The SSST Manager shall notify TxDOT, by the methods listed above within 30 days after the occurrence of any safety or security incident involving a rail transit vehicle or taking place on rail transit-controlled property where one or more of the following occurs:
• Incidents with an injury that is not classified as a serious injury • One or more injuries requiring medical transportation away from the event • Evacuation of a train into the right-of-way • Evacuation of a train into the right-of-way or onto adjacent track or customer self- evacuation • Certain low-speed collisions that do not result in injury or damage • Certain fires that result in a non-serious injury or property damage • A train stopping due to an obstruction in the tracks/“hard stops” • Most hazardous materials spills
8.3.2. National Transportation Safety Board (NTSB)
Either Sun Metro Assistant Director of Safety & Planning and / or the SSST Manager will notify the NTSB via the National Response Center at 800-424-0201 at the earliest practicable time after the occurrence of any one of the following railroad accidents:
No later than 2 hours after an accident that results in: • A passenger or employee fatality or serious injury to two or more crewmembers or passengers requiring admission to a hospital; • The evacuation of a passenger train; • Damage to a tank car or container resulting in release of hazardous materials or involving evacuation of the general public; or • A fatality.
No later than 4 hours after an accident which does not involve any of the circumstances enumerated in paragraph (a) of this section but which results in: • Damage (based on a preliminary gross estimate) of $150,000 or more for repairs, or the current replacement cost, to railroad and non-railroad property; or • Damage of $25,000 or more to a passenger train and railroad and non-railroad property.
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Accidents involving joint operations must be reported by the railroad that controls the track and directs the movement of trains where the accident has occurred.
Table 7 has been provided below for clarity on which incidents must be reported to TxDOT, NTSB, or both agencies as well incident reporting time requirements for each agency.
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Table 7: External Agency Incident Reporting Requirements
Notification Requirement Incident SSOA (TxDOT) NTSB Within 2 Within 30 Within 2 Within 4 Hours Days Hours Hours Fatality X X Injuries requiring immediate medical X X attention of two or more people Property damage exceeding $25,000 X X Evacuation of streetcar during passenger X X operations Incident involving release of hazardous X X material Mainline derailment X Collision between streetcar and individual X Collision between two streetcars resulting X in damage or injury Low speed collisions not resulting in X damage or injury Fires resulting in non-serious injury or X property damage Damage of $150,000 or more to railroad X X and non-railroad property
8.3.3. Federal Transportation Administration
As 49 CFR 673 is currently in development, Federal Transportation Administration incident reporting requirements will be incorporated in this document at a later date.
8.3.4. Accident/Incident Reporting and Documentation
Each EPSC / Sun Metro investigation conducted on behalf of TxDOT must be documented in a final report that includes a description of investigation activities, findings, identified causal factors, and a corrective action plan, if applicable. For those reportable accidents, incidents or unacceptable hazardous conditions for which no further information is required beyond that contained in the Preliminary Accident/Incident/Hazardous Condition Report Form (or some other report form), EPSC will identify its report as Final Report and re-submit to TxDOT.
At its discretion, and as specified in its accident investigation procedures, EPSC / Sun Metro may separate its investigation report into two parts:
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1) Description of investigation activities, investigation findings, and determination of the most probable cause and additional contributing causes; and 2) Recommendations to prevent recurrence, including a corrective action plan which implements the recommendations.
EPSC / Sun Metro submits written accident and unacceptable hazardous condition reports on standard forms (approved by the TxDOT). Such written reports are submitted within 30 days after the last day of the month in which the accident occurred or the unacceptable hazardous condition was identified.
Bi-weekly interim reports are submitted to the TxDOT for all reports not submitted within 30 days from the date of the event. Reports contain the most probable cause, other contributing causes, corrective action plans, and a schedule for implementing corrective actions.
The status investigation reports at a minimum shall include:
• Minutes of any meeting held by a Sun Metro ad hoc reportable event investigation committee or contractor • Disclosure of any immediate corrective actions Sun Metro has planned or completed Principal issues or items currently being evaluated • Overall progress and status of the investigation.
Written reports are filed for all occurrences that fall into the category of an accident, incident or injury. The SSST Manager files a monthly statement of all accidents, incidents, unacceptable hazardous conditions, and tracks open corrective action items through completion. In addition, EPSC / Sun Metro file an annual safety performance report in a format approved by TxDOT. At any time during an investigation, Sun Metro shall be prepared to provide a full briefing on the known circumstances of the event, status of Sun Metro or NTSB investigation, and investigation activities.
Upon receipt of the EPSC accident investigation report, TxDOT will review the report. In the event that TxDOT does not agree with the description of the investigation, the identification of primary and contributing causes, or the findings of the Sun Metro report, TxDOT shall communicate in writing to SSST Manager, the safety-point-of-contact the area(s) of disagreement or concern. TxDOT will work with EPSC / Sun Metro to address these issues in EPSC’s accident investigation report. In the event that agreement cannot be reached on these issues, TxDOT will issue its own accident investigation report, which may only state that the Sun Metro report and the TxDOT dissent.
To reduce the potential for conflict, TxDOT encourages Sun Metro to submit a draft version of the accident investigation report to the TxDOT Manager so that agreement may be obtained on the most probable cause, additional contributing causes, corrective action plan, and an implementation schedule before the report is finalized and formally issued by Sun Metro. Reports and records of accident investigations submitted to TxDOT by Sun Metro, as well as related reports and records produced by both TxDOT and Sun Metro, will be treated as confidential information, and will not be released without concurrence by both TxDOT and Sun Metro.
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8.3.5. Corrective Action Plans
After the occurrence of an accident and subsequent investigation; the development of recommendations; the identification of an unacceptable hazardous condition; or hazards or deficiencies identified through internal or external safety reviews/audits, the SSST Manager will enter a corrective action plan (CAP) within 30 calendar days after identification of the need for a CAP. EPSC / Sun Metro may request additional time to prepare the CAP for complex issues. The corrective action plan will include:
• A title that references the SSPP element number, the year, and a suffix starting with “01” indicating the first item for that element and year (progressing numerically for additional CAPs for the same element and year). The alphanumeric format should be: “SSPPXX- YEAR-XX”, using four digits for the year; NOTE: The title may occasionally include a reference to a System Security Plan element (formatted similarly); • The hazard or deficiency identified and investigation (if relevant to the CAP); • Proposed actions planned to minimize, control, correct, or eliminate the unsafe or hazardous condition, including interim action if required; • Scheduled date of completion of implementation; • Division and individual responsible for implementing the CAP; • Comments subsequently added pursuant to review and closure of the CAP
In the event that the NTSB conducts an investigation, EPSC / Sun Metro shall review the NTSB findings and recommendations to determine whether or not to develop a CAP. If a CAP is required by the NTSB, Sun Metro shall develop it.
Unacceptable hazardous conditions that are identified through any means, including after-action reports, containing Sensitive Security Information (SSI) will be tracked in a separate hazard log. Sun Metro will make the SSI hazard log available to TxDOT during quarterly meetings.
The corrective action plan log generated in TxDOT’s web-based software program includes entries related to corrective actions for investigation reports, annual audits, three-year safety reviews, FTA Program Audits, unacceptable hazardous conditions, hazard analysis or safety reviews performed at the request of the TxDOT, and other related external reviews. The status of each Corrective Actions is reported at Streetcar Safety and Security Committee Meetings. All corrective actions are prioritized for implementation using the risk assessment matrix and assigned a responsible person to lead the corrective action effort and close the corrective action after resolution. TxDOT requires verification from Sun Metro that the CAP has been implemented either by documentation submitted by Sun Metro, independent visual inspection by TxDOT, or both.
8.3.6. Coordination with TxDOT
When an accident, incident, or condition involves post-accident inspections, examination, or testing by Sun Metro Divisions, the SSST Manager is the lead Sun Metro / EPSC officer to coordinate with TxDOT. The SSST Manager or designee will evaluate the need for accident/incident reconstruction.
TxDOT may choose to investigate rail accidents and unacceptable hazardous conditions rather than having the EPSC/Sun Metro perform the investigation on its behalf. EPSC/Sun Metro will
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fully cooperate with the TxDOT in its investigation, with the SST Manager serving as Sun Metro’s primary point of contact.
8.3.7. Streetcar Safety and Security Committee Review
The Safety and Security Committee will identify opportunities to enhance safety and security and reduce hazards and other risks to the lowest practical level through design, technology, and changes in procedures and processes. The committee will:
1. Look at trends in Major and Critical Preventable Accidents. 2. Review probable causes and contributing factors, establish conclusions, and give recommendations and corrective actions. 3. Identify improvements to reduce preventable accidents. 4. Prioritize improvements and provide estimated costs. Assign champions for funded items and track successes.
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9.EMERGENCY MANAGEMENT PLAN
Major incidents such as Streetcar accidents, fires, floods, violent crime, and terrorist attacks present significant challenges for public transit agencies. In order to successfully manage these events, personnel from multiple disciplines and agencies work together to promote the highest level of safety and to execute tasks such as perimeter control; rescuing or evacuating passengers; supporting the transportation of emergency responders and equipment; managing victims and their families; controlling crowds; repairing facilities; communicating with the media; and restoring service.
EPSC / Sun Metro management recognizes that safety, security, and emergency preparedness encompasses, not only the system, including employees, facilities, passengers, and operations, but the local responders, planning organizations, and mutual aid partners within the communities it serves. EPSC / Sun Metro has developed a coordinated emergency response program and a schedule of planned activities and exercises that encompasses local emergency responders, and relevant planning agencies, and establishes a working partnership that allows all entities to work together to identify vulnerabilities that may impact our respective ability to respond and recover from a major emergency incident. This effort is a continuous process that employs four integral functions: planning, inter-agency coordination, training and exercises.
9.1. Planning 9.1.1. Sun Metro Emergency Preparedness and Continuity Plan
EPSC / Sun Metro have a comprehensive System Security & Emergency Preparedness Plan (SSEPP). The SSEPP guides all activity and response during a system emergency or community event. EPSC maintains Facility Emergency Plans for the following:
• Building Evacuation – General • Fire • Medical Emergencies • Elevator Emergencies • Bomb threats • Biohazards or suspicious items • Hazardous Materials Spills • Workplace violence • Other emergency conditions
Employees receive the Facility Emergency Plan for the Maintenance Service Facility (MSF) to which they are assigned and receive training to effectively respond to emergency situations in accordance with the facility plan.
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9.2. Responsibilities for Emergency Preparedness
Sun Metro has adopted the Incident Command System (ICS) structure to respond to and manage an emergency event. The ICS Primary and Secondary Management functions and responsibilities are shown below in Table 8
Table 8: ICS Management Functions
ICS Management Function Responsible Party Command Assistant Director of Streetcar Operations Safety & Security Streetcar Safety, Security & Training Manager Operations TBD Technology TBD Planning TBD Logistics TBD Finance Chief Financial Officer Public Information TBD
9.2.1. Crisis Communications Plan
A crisis is a sudden, unexpected event or set of circumstances that requires immediate action. For this reason, Sun Metro has a Crisis Communications Plan that allows the organization to deal with each situation at hand and be prepared to communicate under crisis conditions. The Crisis Communications Plan allows the organization to go from a position of response and reaction to one of relative control.
A key step in preparing for a crisis is selecting the team of employees who formulate and implement EPSC / Sun Metro’s response. The Crisis Communications Team assumes responsibility for handling the response so that other employees can maintain normal functions of the office with as few disruptions as possible. Below are the core team members responsible for formulating Sun Metro messages during a crisis:
• Sun Metro Executive Director • Associate Director for Streetcar Operations • Streetcar Safety, Security & Training Manager • EPSC Operations and Maintenance Manager • *Others notified depending on the severity of the crisis
9.3. Coordinated Schedule 9.3.1. Interdepartmental / Interagency Coordination
Sun Metro Executive Director, Associate Director of Streetcar Operations, EPSC SSTQ Manager and the EPSC Department Managers coordinate the schedule for emergency preparedness exercises; development of After-Action Reports and implementation of findings; procedure development and training with the stakeholder agencies. In Table 9 below are the major federal,
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state, and local agencies and their primary responsibility to EPSC / Sun Metro safety and emergency preparedness.
Table 9: Federal, State and Local Agencies Primary Responsibilities Agency Reporting Oversight Support Policy Federal Transit Administration X X X X Texas Department of Transportation X X X X Transportation Security Agency X X X X Department of Homeland Security X X El Paso Police Department X X El Paso Fire Department X X Emergency Management Office X X El Paso Public Works X City Attorney’s Office X
9.3.2. Streetcar Safety & Security Committee
The Sun Metro Safety Committee (SMSC) is comprised of the Sun Metro Director of Mass Transit, Associate Director of Streetcar Operations, EPSC Department Manager, SSST Manager and senior officials of the El Paso Fire Department, Police Department and Emergency Medical Services. This committee meets at least quarterly.
The Sun Metro Fire/Life Safety Committee (FLSC) addresses issues affecting first responders as part of the Safety and Security Certification process for the design and construction and initiation of service for new rail projects. In addition, this committee is used to address issues that arise during revenue operations for the Sun Metro transit system. A tracking log is maintained by the committee to track open items to closure. Any identified hazards are also entered on the EPSC / Sun Metro Hazard Management Log and tracked to closure by Sun Metro Safety and Security Division staff.
9.4. Emergency Drills and Exercises
EPSC / Sun Metro conduct or participate in a minimum of one emergency drill annually. The drills may include a full-scale evacuation of the system and a Table Top exercise. Community first- responders including the El Paso Fire Department, El Paso Police Department, local FBI, TxDOT, and El Paso Emergency Management may assist the transit system in planning, coordinating, and training to prepare for the drills.
Detailed scenarios are developed by the participants’ management to ensure that the exercises are realistic, comprehensive, and effectively evaluate the emergency preparedness of the participants. Observers are assigned to each participant group to evaluate the effectiveness of the response to the exercise scenario.
After actual incidents, there is an assessment to return the system to 100% functionality in the shortest time possible. All divisions are responsible for executing this plan. The purpose of this phase is to make certain that all areas have been addressed in an appropriate manner and Sun Metro can sustain operations indefinitely. This phase is a self-assessment to determine ways to improve our processes, procedures and to update all disaster related plans. The following are examples of items that will be reviewed during this process:
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• Division managers will provide the records to support all expenses associated with the emergency • Each division will provide an update on the status of personnel, equipment and facilities • Division managers should provide a list of proposed changes to the comprehensive System Security & Emergency Preparedness Plan (SSEPP). to Sun Metro’s Security Manager and SSTQ Manager • Division managers should follow the SSEPP to achieve 100% functionality in their assigned area • Division managers will identify any shortfalls or limiting factors that will prevent them from achieving 100% functionality • Emergency supplies and equipment used during emergency will be replenished
Immediately after completion of an exercise, the participants will debrief and discuss the observations made during the exercise. An after-action report is prepared and distributed to the participants for follow-up with each participant group. The after-action report is used to determine the need for modifications to plans, procedures and processes. The EPSC / Sun Metro FLSC (see below) performs follow-up with all participant groups to develop a coordinated schedule for implementation of corrective actions for closure of identified after-action items.
9.5. Emergency Procedures
Emergency Response Procedures are reviewed and revised in accordance with Sun Metro / EPSC Control of Plans, Manuals, Policies, and Procedures. This procedure stipulates control and distribution, including the three-year review process. The length of time needed for the review may vary based on the document being reviewed but the review should not exceed 30 days.
9.5.1. Emergency Preparedness Training
Employees receive the System Emergency Plan for the facility to which they are assigned and receive training to effectively respond to emergency situations in accordance with the plan.
9.6. Familiarization Training
All fire department personnel have been provided familiarity training on Sun Metro buses and the streetcar system. All new fire department and emergency medical department recruits are provided classroom training and hands-on training on emergency preparedness for the Sun Metro system. The Safety and Security Division provided train-the-trainer instruction and a Sun Metro training module to the El Paso Fire Department’s (CMFD) training official
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10. INTERNAL SAFETY AUDITS
The purpose of internal system safety audits is to perform an official evaluation of accomplishments, problems, and trends related to total EPSC / Sun Metro safety and to evaluate the effectiveness of the implementation of the SSPP by EPSC / Sun Metro Divisions. The SSST Manager is responsible for the direction of the safety reviews and audits of Sun Metro divisions and contractors to determine performance related to the System Safety goals and objectives.
All Sun Metro divisions and contractors are subject to safety audits. The critical nature of certain operations requires rigorous development of reviews and audits. These include training, maintenance, and operations activities. Both periodic and no-notice inspections are undertaken to address all aspects of the activity including documentation, practices, and compliance with this SSPP, Sun Metro policy and other requirements. The SSTQ Manager reviews training, practices, and procedures to correct deficiencies identified during the conduct of audits or other safety activities, including inspections and emergency drills. 10.1. Purpose and Scope
The purpose of internal safety audits is to confirm all safety elements are in place and assigned safety tasks and activities are being accomplished. This provides an additional means of documentation for senior management to verify how well each division is fulfilling their safety- related goals and objectives as required in the SSPP. EPSC / Sun Metro audits all 21 elements of the SSPP as required by TxDOT SSPS Section D and FTA Rail Fixed Guideway Systems; State Safety Oversight Regulations, 49 CFR Part 659.
Organizational functions subject to the safety audit process include:
• Facility inspections • Maintenance audits/inspections • Review of rules, standard operating procedures, special bulletins and orders • Review of training/re-certification programs • Emergency response planning, coordination, training • Configuration Management • Systems modifications (review and approval) • Safety data analysis • Employee safety programs • Hazardous materials program • Interdepartmental safety goals and objectives • Occupational safety and health programs • Contractor safety • Procurement and specification engineering • Drug and Alcohol Testing Program • Any aspect or responsibility as outlined in this document
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Pursuant to Title 49 CFR 659.19 and TxDOT SSPS Section B, the Internal Safety Audit process must evaluate the following elements:
1. Policy Statement and Authority for SSPP 2. Goals and Objectives 3. Management Structure 4. SSPP Control and Update 5. Implementation Activities and Responsibilities 6. Hazard Management Process 7. Safety Data Collection and Analysis 8. Accident Investigation 9. Emergency Management Program 10. Internal Safety Audits 11. Rules Compliance 12. Facilities and Equipment Inspections 13. Maintenance Audits and Inspections 14. Training and Certification for Employees and Contractors 15. Safety Certification 16. System Modification 17. Configuration Management and Control 18. Employee and Subcontractor Safety Program 19. Hazardous Materials Program 20. Drug and Alcohol Program 21. Procurement Process
10.2 Safety Audit Process
The SSST Manager is responsible for the management of the Internal Safety Audit Program. All EPSC / Sun Metro divisions are required to cooperate fully with Safety and Security personnel. Executive and senior managers ensure that their divisions participate fully in the safety audit process.
10.2.1. Integrity of Review Process
To maintain the integrity of the review process, an audit team is used to conduct safety audits. The SSST Manager does not perform audits/reviews of those functions and elements for which it is directly responsible to implement. These elements are audited by SSST Manage or designee, an outside contractor, or an independent member of the audit team. No team member shall audit a function or activity for which he/she is responsible.
10.2.2. Cycle/Schedule
Over a three-year period, all 21 elements of the SSPP must be audited at least once. The EPSC / Sun Metro Internal Safety Audit Process is intended to be an ongoing, continuous safety review process. The SSST Manager must develop and annually submit a comprehensive Internal Safety Audit schedule to TxDOT, detailing when it will audit these 21 elements over the three-year period.
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It is intended that seven of the 21 elements will be audited per year. The schedule is revised as necessary to accommodate schedules for auditors and the audited divisions.
The SSST Manager notifies the division/organization and TxDOT a minimum of 30 days in advance of a scheduled safety audit.
10.2.3. Checklists and Performance of Safety Audits
Audit checklists are developed in advance and submitted to TxDOT for review and approval. The checklists include the elements on which the department will be audited. Checklists are prepared during the review of the SSPP section, documents referenced in the SSPP section, previous audits and corrective actions. The Audit Checklists are provided to TxDOT 30 days in advance, at minimum, for their review and input. Audit checklists are then provided to the organization being audited as soon as possible after receiving TxDOT’s revised checklist(s).
Pre-audit and post-audit conferences are held by the audit team with the entity being audited. The safety audits are comprised of record reviews, interviews, field observations and inspections and measurements to verify the accuracy of documentation and spot inspections of facilities and equipment to verify compliance with the SSPP, procedures, codes and regulations.
The following list of documents may be used to support development of the audit checklists:
• SSPP, SSP, and/or EPCP • Rail Rule Book, bulletins, and/or procedures • Standard and emergency operating procedures • Training program documentation • Management and/or administrative plans/procedures • Design standards and criteria • Accident and investigation reports • Hazard tracking logs • Corrective Action Plans • Previous audit reports • Other sources as determined by TxDOT SSO upon request
10.2.4. Audit Report
The SSST Manager will provide a draft safety audit report to TxDOT SSO 30 days prior to the audit. TxDOT SSO will make changes and add recommendations to the audit report prior to final issue of the report.
Upon completion of each audit report, the SSST Manager will issue a final report of the results and specify areas of deficiency, prepare recommendations, identify the need for corrective action plans, and distribute copies of the report to the Sun Metro/EPSC Management staff and the audited Division. Responsible Divisions are expected to develop corrective actions, though the audit team may make recommendations and must approve corrective actions. The results of the audit will be used for positive corrective action, and not as an internal regulatory process. Safety Audit coordination meetings and management briefings are to be held to review areas of concern or disagreement over findings and evaluate possible corrective actions. SSTQ Manager will monitor and track corrective actions with the affected divisions to ensure implementation.
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SSST Manager will submit the CAPs (for Rail only) to the TxDOT SSO for review and approval in accordance with Section 10.7. Safety and Security personnel will track the implementation of the TxDOT-approved CAPs through closure. Safety and Security will also provide the CAPs to the audit team after the CAPs are approved by TxDOT SSO.
10.2.5. Annual Report Review
An annual safety activities report and safety and security audit report must be provided to the Director and to the TxDOT SSO for review and approval on or before February 15th. The report details the results of the internal Safety and Security Audit Process for the calendar year in terms of the adequacy and effectiveness of the SSPP and the status of subsequent findings and corrective actions.
Along with the annual report, EPSC/ Sun Metro must also include a formal letter signed by the Executive Director certifying EPSC / Sun Metro is in compliance with its SSPP. If the safety audit’s findings indicate noncompliance with its SSPP, the Executive Director must identify in the formal letter the nature of the noncompliance and the steps Sun Metro will take to achieve compliance. An implementation schedule detailing when compliance will be achieved may also be provided.
10.2.6. Coordination with TxDOT
As noted above, the following aspects of the Internal Safety Audit Process are coordinated with TxDOT:
• Internal Safety Audit Cycle and Schedule • Safety Audit Checklists • Dates of Completion of each Safety Audit • Each Safety Audit Report • Corrective Action Plans • The Annual Safety Audit Report • The Director Annual Certification
10.2.7. Review Completeness
The SSST Manager (or other entity performing safety audits) is responsible for ensuring that the Safety Audit Checklists provide for a complete review of each of the 21 SSPP Elements. In addition, the Safety and Security Division (or other entity performing safety audits) shall ensure that the required Safety Audit/Review reports are comprehensive and accurate.
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11. RULES COMPLIANCE The EPSC/ Sun Metro Rules and Regulations Manual is distributed to all new employees upon orientation. Training is provided on the rulebooks and procedures during operations and maintenance training courses.
11.1 Review of Rules and Procedures
Policies, plans, rulebooks referenced above, and procedures (El Paso Streetcar Standard Operating Procedures Manual) are reviewed to verify they meet the needs of the transit system in normal and emergency conditions. Accordingly, Sun Metro Instructors target safety practices intended to instill a safety culture.
The Streetcar Safety, Security & Training Manager, EPSC Operations Manager and the Associate Director of Streetcar Operations coordinates additions to or deletions from these documents which impact the safe operation of the system with the Sun Metro’s Safety and Security Division and respective Division Managers and other affected divisions/sections for approval prior to implementation. El Paso Streetcar Manuals, Policies, and Procedures, stipulate control and distribution, including the three-year review process. The length of time needed for the review may vary based on the document being reviewed but individual reviews should not exceed 30 days. Procedure Change Request Process gives employees two ways to submit a procedure change request. The Rail section managers may issue a bulletin, Notices, General Orders and Operating Orders when an immediate revision is required to an operating rule or procedure. Sun Metro safety committees, accidents/incidents and audit reviews are additional opportunities for rules reviews.
11.2. Process for Rules Compliance
EPSC Field Supervisors, EPSC Operations Manager and EPSC Safety, Security & Training Manager conduct ride checks of each rail operator at a minimum of once per month. Each EPSC Supervisor conducts 5 field road observations per week using the Supervisor’s Field Observation Report. EPSC Maintenance supervisors evaluate compliance with maintenance rules on a continual basis along with work completion and performance assessments. See Appendix D for Ride Check forms. Ride checks provide an opportunity for retraining employees to a level of compliance to specific rules.
11.3. Compliance Techniques – Operations and Maintenance Personnel
Compliance techniques include observation of work activities and tasks and questioning employees about their knowledge of the respective rulebooks and handbooks. During initial training, employees are tested on their knowledge of applicable rules and procedures through written examinations.
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11.4. Compliance Techniques – Supervisory Personnel
The SSST Manager conducts ride checks to evaluate the effectiveness of compliance methods utilized by supervisory personnel. The ride checks assess employees’ knowledge of rules and procedures and validate the success of EPSC / Sun Metro’s employee training programs. Ride check forms completed by SSST Manager are forwarded to EPSC Operations Manager to incorporate in employee performance reviews. Recommendations for enhancement of the compliance methods are submitted.
11.5. Documentation
The results of the proficiency checks performed by operations and maintenance supervisors are documented on the appropriate form and are made available to the SSST Manager. Hazards identified during these operations and maintenance rules compliance checks and assessments are captured within the Hazard Tracking Log and subsequently tracked to closure.
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12. FACILITIES AND EQUIPMENT INSPECTIONS Please reference the EPSC / Sun Metro Operations Maintenance Program (OMP) for more detailed information on the following sections. 12.1 Facility Inspections
Periodic safety inspections are performed on all EPSC / Sun Metro facilities to detect and resolve hazards in order to effectively safeguard employees, visitors, and passengers. Safety Inspections of transit facilities and light rail stations are performed by staff from the Office of Safety and Security.
The EPSC SSST Manager is responsible for ensuring that hazards are addressed and that corrective actions are captured and logged in the consolidated Hazard Tracking log SSST Manager must complete a quarterly safety inspection that covers a variety of EPA. FTA & OSHA 1910 and 1926 considerations in the facility such as housekeeping, fire extinguishers and guard rails/stair-rails in place 12.2. Equipment Inspections
Inspections of facility equipment are made in accordance with appropriate maintenance manuals and procedures. The SSST Manager works with EPSC maintenance Manager at each facility to ensure equipment and facilities are maintained at an optimum level of safety. Hazards identified during inspections are entered into the Hazard Tracking Log as appropriate and tracked to closure. 12.3. Checklists
SSST Manager will develop a Facility Safety Inspection Checklist and Stop Safety and Security Inspection Checklist based OSHA Standards. These checklists are used to perform safety related inspections of facility maintenance equipment. 12.4. Coordination with Hazard Management Process
Hazards identified during these inspections are submitted to the SSST Manager and the EPSC manager responsible for evaluation and entered the Hazard Tracking Log as appropriate and tracked to closure.
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13. MAINTENANCE AUDIT AND INSPECTIONS Please reference the EPSC / Sun Metro Operations Maintenance Program (OMP) for more detailed information on the following sections.
13.1. Systems and Facilities Subject to Maintenance Programs
EPSC / Sun Metro Facilities Management Plan identifies the responsibilities for Facilities and Equipment maintenance for the EPSC - MSF. Inspection schedules are included as an appendix to the EPSC Facilities Management Plan. Items are inspected and maintained in accordance with the manufacturers’ recommendations, Facilities Management Plan, SOPs and standards by EPSC Management staff, or contractors. MSF - Shop equipment is maintained and serviced according to manufacturer's recommendations and the EPSC Facilities Management Plan. In certain facilities, the services of outside vendors are required for servicing specialty items such as lifts, hoists, and fire detection and suppression systems.
EPSC / Sun Metro will summarize the maintenance and inspections performed by the Streetcar Department staff. The Maintenance of Way section performs the following inspections:
• Track circuits • Switch machines • Traction Power Sub-Stations • Overhead Catenary System • Track and Roadbed • Embedded Track Slab • Track Drains • Embedded switch machines
13.2. Resolution of Review/ Inspection Findings
Each EPSC facility inspection report is sent to create the appropriate work orders. It identifies specific areas and targets specific recommendations for corrective action. Identified unacceptable hazards are reported to the SSST Manager. Hazards identified during these inspections are entered into the Hazard Tracking Log, as appropriate.
Work Orders are generated for defects identified during Streetcar Maintenance, EPSC Facilities Management and EPSC Systems Maintenance inspections. Hazards identified during these inspections are entered into the Hazard Tracking Log as appropriate and evaluated by the EPSC Safety & Security Manager, mitigation of Hazards are tracked to closure. 13.3. Checklists
Checklists for Pre-Trip Vehicle, Passenger amenities, OCS, and Facilities are under development.
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14. TRAINING AND CERTIFICATION PROGRAM
14.1. Overview
Instructions on safe methods of operation and safety procedures are included in rulebooks, manuals, handbooks, and other documentation developed for the training and certification of operations and maintenance personnel. Training systems have been developed by each department, which include in-house classroom training, field training, on-the-job training and testing. Each department is responsible for establishing safety training requirements for its employees. EPSC Instructor is responsible for providing new and revised safety training programs to the EPSC Safety, Security & Training Manager for approval. 14.2. Employee Safety Training Program
SSST Manager certifies that each employee is trained in the areas of basic safety, the EPSC / Sun Metro Rule Book applicable to the employee’s work assignment, applicable OSHA regulations, ergonomics, and defensive driving, if applicable. In addition to the standard safety training provided by or in conjunction with the safety staff, safety awareness is maintained with special training bulletins and newsletters to instruct employees on methods to prevent traffic, passenger, and employee accidents. Periodic training classes will be held throughout the year to strengthen existing safety programs and present new topics of concern to employees. 14.3. Railway Worker Protection
All employees who are assigned to work on the EPSC are required to be provided with Railway Worker Protection training. Employees who complete the training are provided a certification card which must be carried by the employee when working in the rail system. Employee re-training is required at intervals not to exceed once every calendar year. The Streetcar System Safety Officer or his designee will conduct the training. 14.4. Operator Training 14.4.1. Streetcar
The EPSC Operator training program is a comprehensive 4-week training program which includes: classroom based training; alignment and vehicle instruction; and two (2) weeks of revenue training. A EPSC Operations Rulebook examination is administered to rail operator trainees. A passing grade is 70%; however, trainees must score 100% on questions pertaining to switches.
The Streetcar Safety, Security & Training (SSST) Manager and/or EPSC Operations Manager will conduct a final check ride and additional periodic ride checks after initial certification. Graduates
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of the training program are issued EPSC Operator Certification cards by EPSC Operations Manager & EPSC SSST Manager.
The operator training modules include: Roadway Worker Protection (provided by Safety and Security), Signalization, Overhead Contact System, communications, security and counter- terrorism awareness training, and customer service training.
Streetcar Operators who are out of work for 30 days or more are required to undergo a drug and alcohol test and must pass a Ride Check conducted by Safety and Security. A Rail Operator off work for 90 days or more must undergo recertification. These training programs are regularly reviewed by the Safety and Security Division and are subject to review via the Internal Safety Audit Process. Ride Check forms are included in Appendix (TBD).
14.4.2. Maintenance Training
EPSC Maintenance employees are provided training in accordance with the EPSC Maintenance Handbook. EPSC / Sun Metro Operations will develop re-certification programs for supervisors, vehicle operators, and controllers. (see Appendix TBD) 14.5. Contractor Safety
Employees or contractors who are assigned to work on the EPSC, will be provided with Railway Worker Protection (RWP) training, which is conducted by the SSST Manager, and are provided a certification card that is valid for one year. Contractor employees, whose contracts extend beyond one year, are required to re-take the RWP training and are issued a certification card valid for another year. Contractors are responsible for providing their employees all required OSHA safety training for the work being performed and for the hazards to which their employees may be exposed. 14.6. Record Keeping
The SSST Manager must maintain a record of all operations, maintenance and OSHA required safety training provided to employees, and contractor employees, including a list of the required training for each position. 14.7. Compliance with Training Requirements
The SSST Manager periodically audits training records of employees to monitor conformance with EPSC / Sun Metro training, refresher training and recertification requirements. In addition, the ride checks performed by the SSST Manager and Field Supervisors include inspection of required certification cards. Employees identified as having deficiencies are provided the required training and recertification.
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15. SAFETY CERTIFICATION
15.1. Overview
EPSC / Sun Metro’s safety and security certification process is used to ensure that safety concerns and hazards are adequately addressed prior to the initiation of passenger operations. EPSC / Sun Metro is a self-certifying agency except in cases where, in the estimation of the EPSC SSTQ Manager, the required expertise to oversee the safety and security certification process is not available among EPSC / Sun Metro staff, contractors or sub-contractors. In those cases, qualified consulting services may be retained to perform the certification according to TxDOT - SSO standards.
The EPSC El Paso Streetcar Project System Safety and Security Certification Plan (March 2016) is developed for fixed guideway rail projects (FGRP) in compliance with 49 CFR 659 and the existing TxDOT Rail Division’s State Safety and Security Oversight Program Standard (August 2013).
Effective April 15, 2016, 49 CFR 674 redefines the SSO requirements for FGRP with expanded State oversight and investigation responsibilities. TxDOT is in the process of developing a revised State Safety and Security Oversight Program Standard to comply with the new Rule. EPSC SSTQ Manager will be responsible for updating EPSC standards, protocols and procedures to comply with the modified TxDOT SSO requirements.
Although EPSC / Sun Metro may contract out safety and security certification services, EPSC / Sun Metro maintains the responsibility to document and report acceptance and endorsement of the work performed under the safety and security certification process and to report to the appropriate agencies.
15.2. Certifiable Elements
The certifiable items for a project are defined by reviewing the project design criteria manual, specifications and CELs identified on like projects. CELs will be updated periodically during each phase of the project cycle as potential hazards and risks are identified.
System Safety and Security certifiable elements are organized
Table 10 - List of Certifiable Elements
Number Element Document or Annotations 1 Signals 2 Communications 3 Power Traction & Electrification 4 Track 5 Alignment 6 Rolling Stock
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Number Element Document or Annotations 7 Fare Vending Equipment 8 Emergency Response Equipment 9 Yard and Shop 10 System Safety & Security Documents Primary documents include the SSPP, the 11 Emergency Familiarization Plan SS d h SSC 12 Fire & Life Safety Plan Includes chart with local first responders 13 Configuration Management Plan 14 Quality Assurance Plan 15 Safety SOPs 16 Security SOPs 17 Operational Rule Book 18 Operations & Maintenance SOPs 19 Training Certifications Categories include operators, maintainers, 20 Public Awareness d i d
21 Integrated Test & Procedures 22 Document Control
The safety and security certifiable elements in each technical discipline or category are certified independently once all sub-element and sub-item submittals are received, reviewed, verified and signed off by the appropriate design/construction/operations staff member. Any “Open Items” that remain in effect with operational restrictions are documented and attached to the element’s certificate. These restriction(s) must have been resolved (or have workarounds or operating restrictions put in place) and approved by the EPSC Safety & Security Certification Committee (SSCC).
During the performance of hazard analyses, EPSC / Sun Metro will identify any Category 1 Catastrophic and Category 2 Critical hazards. These hazards constitute the Safety Critical Element List (SCEL), a subset of the CEL, to provide visibility of these issues and to verify monitoring and control.
The Safety and Security Division updates the CEL to reflect the status of all hazards; prioritizing Category 1 and 2 hazards. The SCEL and CEL are published and managed until all hazards have been eliminated, reduced or controlled to acceptable levels.
All major Contractors and Manufacturers are subject to audits, inspections, and tests where the safety and security of customers and/or employees, equipment, or facilities could be affected by the improper or incorrect construction or manufacture of system elements. These audits, inspections, and tests cover both facilities and system elements. Included are:
• First Article Inspections • Mockup Reviews • Qualification Tests • Performance Tests • Acceptance Tests
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These integrated tests are developed to verify the integration and compatibility of equipment, facilities, and operation/maintenance procedures to function together under normal, abnormal and emergency situations. This includes verifying the coordination, response, environmental constraints, and capabilities of EPSC / Sun Metro and outside agencies.
The project safety and security certificate is prepared by the EPSC SSST Manager (or their designee) and reviewed/approved by the SSC Committee at the following project milestones:
• Preconstruction (Design) Phase • Construction Phase • Startup and Testing Phase • Revenue Operations Phase
Design Phase certification must be verified by the project engineers responsible for signing and sealing construction plans and specifications.
Construction Phase certification is complete once all the construction packages have safety and security certificates, transportation and maintenance personnel have been trained, and emergency response personnel have been prepared to respond to emergency situations in or along the alignment, and safety and security system integration tests have been conducted.
The overall project certificate and cover letter are presented to the Sun Metro Director for signature by the Streetcar Safety, Security & Training (SSST) Manager and the Associate Director of Streetcar Operations. The certificate’s signature provides a formal notification that the applicable portion of the operating system is safe and secure for revenue service.
Any “Open Items” that remain in effect with operational restrictions are documented in the SCEL and attached to the System Safety and Security Certificate. These restriction(s) must have been resolved (or workarounds, operating restrictions put in place) and approved by the (SSC) Committee.
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16. SYSTEM MODIFICATION
A description of the process used by the EPSC and Sun Metro to ensure that safety concerns are addressed in modifications to existing systems, vehicles, and equipment, which do not require formal certification but which may have safety impacts. Any change or modification to the rail system has the potential for affecting passenger or employee safety. Controlling the system modification or change process in order that appropriate safety reviews are conducted during each stage of this process is essential to maintaining system safety.
The EPSC SSST Manager (or designee) and must review each change notice before a system modification can be completed and/or implemented. Any changes have to be approved by EPSC SSTQ Manager r, the area manager and the Associate Director of Streetcar Operations prior to any proposed changes taking place. Changes to the system in the Revenue Service Period will be conducted in accordance with EPSC & Sun Metro System Change Control Policy.
EPSC and Sun Metro role in this function:
Incorporate safety into every proposed modification of streetcar transit system. Meet the safety requirement established for all purchases of equipment and supplies including its proposed storage, transfer, use, record keeping, and disposal. Submit proposed system modifications. Carry out assigned system modification tasks.
Evaluate proposed system and subsystem modifications from the safety perspective
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17. CONFIGURATION MANAGEMENT AND CONTROL
A description of the configuration management control process, including: i. The authority to make configuration changes, ii. Process for making changes, and iii. Assurances necessary for all involved departments to be dully notified.
17.1. Overview
Configuration Management is the process by which EPSC and the Sun Metro ensures that all property, equipment, and system design elements listed in table ----- of the SSPP are documented as to their current configuration. The EPSC and Metro’s policies and procedures for Operational Configuration Control provide a structured and systematic process for controlling changes to the project’s infrastructure and operational features that could have adverse safety implications. The Configuration Control Process ensures that any modifications to individual systems, fleet, or inventory-wide changes are recorded on as- built drawings and are addressed in training programs, maintenance manuals, and procedures. 17.2. Process for Change
A systematic and comprehensive review and approval process has been established through the System Change Control Policy before system changes are made that could potentially impact safety. The changes shall be presented to the Streetcar Safety, Security & Training Manager. Once a modification has been approved, appropriate training of affected personnel will be required and relevant documentation will be updated and kept on record. 17.3. Authority for Change
All system modifications are an inherent part of the configuration control process. If changes are to be made to any system, subsystem component, or part, the proper lines of authority have to be utilized. This activity includes all changes to documentation, procedures, and training materials. The SSST Manager shall be involved on any changes proposed, evaluated, and, if approved, implemented.
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18. EMPLOYEE AND SUBCONTRACTORS SAFETY PROGRAMS
Texas has a fully approved State Occupational Safety and Health Plan under the United States Department of Labor, Occupational Safety and Health Administration (OSHA) 1910 Occupational Safety and Health Standards. The Texas Department of Labor exercises jurisdiction over the occupational safety and health of all private and public sector employers and employees within the State. Therefore, EPSC / Sun Metro employees are protected by the regulations promulgated by the Texas Department of Labor, Occupational Safety and Health Division.
Safety information on approved methods and procedures are included in manuals, handbooks, and other documentation developed for the training and certification of operations and maintenance personnel. Identification of protective devices and emergency equipment are included in the training documentation and instruction. In addition, safety posters and notices are used, as appropriate, to enhance safety awareness during all phases of system operations. Safety concerns are incorporated in briefings given to personnel prior to their working with equipment or facilities. Each operating division has a specific training protocol for refresher training as well as new employee orientation. 18.1. Local Requirements 18.1.1. Working on or Near Rail Transit Controlled Property or Systems
All EPSC / Sun Metro employees and all employees of Sun Metro contractors are provided mandatory Railway Worker Protection Training by the Office of Safety and Security, the Supervisory Rail Operations Trainer, or other trainers with the approval of the Safety and Security Division at intervals not to exceed at least once every calendar year. The Sun Metro Roadway Worker Protection Program was developed based upon 49 CFR 214, Railroad Workplace Safety and APTA standards. Personnel who successfully complete the Railway Worker Protection course are issued certification cards valid for the calendar year in which they are issued and for the following calendar year. This certification card shall be carried by personnel when working in the rail system.
18.1.2. Compliance with Required Safety Programs
The Sun Metro Safety and Security Division has the responsibility for ensuring that all applicable OSHA standards are properly implemented and the applicable training and associated Personal Protective Equipment (PPE) are provided by the responsible office. Each individual
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operating/maintenance section has the responsibility to enforce employee compliance to the implemented OSHA standards. Proficiency demonstration checks and certifications are required of all operations and maintenance personnel. Proficiency checks are conducted by the Safety and Security Division staff, Transportation Field Supervisors, Rail Car Maintenance Supervisors and Maintenance of Way Supervisors. Any hazards identified through proficiency checks are reported to the Safety and Security Division, entered in the Hazard Tracking Log, and tracked to closure by both the responsible office and the Office of Safety and Security. 18.2. Hours of Service (Rail Only)
Sun Metro Rail Operations duty hours are as follows:
18.2.1. Transportation Employees
• No more than 12 hours per day • No more than 56 hours per week • Must have 10 hours off-duty between shifts
18.2.2. Maintenance of Way and Rail Car Maintenance Employees
• No more than 12 hours per day • No more than 56 hours per week • Must have 10 hours off-duty between shifts
The work hours of Rail Operations safety sensitive employees may be extend to a maximum of 16 hours per day for unanticipated events with no more than 14 hours of work in the aggregate, only with the permission of the Transportation Manager and upon notification to the SSST. These extended hours are in compliance with APTA RT-S-OP-15-09 Standard for Train Operator Hours of Service Requirements. Employees will be excused from extended hours if they report that they are fatigued when requested to work beyond 14 hours in a shift.
18.3. Compliance with the Contractor Safety Program
EPSC / Sun Metro requires a safe working environment for construction projects and workers. Per the Construction Management Guidelines, the Safety and Security Division reviews the contractor’s safety plan and verifies its compliance with this plan. EPSC / Sun Metro conducts periodic audits of contractors to assess their adherence to their construction safety plan. Any contracted employee found to be working in the operating rail system without a valid Contractor safety card issued by EPSC / Sun Metro will be considered a trespasser and Police will be notified to take appropriate action. At a minimum, the contracted employee will be determined to be unqualified to work
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on a EPSC / Sun Metro contract and will be removed from the work site. Workers on the project site are required to follow OSHA 1926 Safety and Health Regulations for Construction safe work practices and comply with applicable safety, health, and fire loss prevention standards, and conduct their personal work activities in a manner which does not place themselves, other employees, or the public in a hazardous position. If a safety issue is identified by a EPSC / Sun Metro contractor on a EPSC / Sun Metro project, the contractor should immediately contact the designated Sun Metro safety representative for the project. It is EPSC / Sun Metro’s responsibility to require that no project be so urgent that safety precautions are bypassed. The prevention of personal injury and property losses must always be a critical part of the work task and a collective priority of the manager, supervisor and employee.
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19. HAZARDOUS MATERIALS PROGRAM Sun Metro is fully aware of the importance of employee chemical safety programs and the duty to comply with legally mandated hazardous materials rules and regulations. To this end, Sun Metro has implemented a materials acceptance/rejection program to monitor and control chemicals which are brought on to Sun Metro property to be used by employees.
EPSC / Sun Metro Hazard Communication Program is in compliance with Title 29 Code of Federal Regulations Part 1910.1200, Hazard Communication Program. Sun Metro’s Hazard Communication program covers the procurement, receipt, storage, and disposal of hazardous materials. It also documents the maintenance of Safety Data Sheet (SDS) binders and employee training. Hazardous waste/chemical safety inspections are included in the responsibilities for safety inspections. EPSC / Sun Metro has contracted the services of a properly licensed hazardous waste contractor for removal of hazardous materials. When necessary, consultants may be hired for special projects such as indoor air quality, chemical vapor and particulate sampling.
The EPSC SSST Manager reserves the right to reject a product if it is deemed either too hazardous for employee use or Sun Metro is unable to provide adequate safeguards or protection.
The SDS review/request procedure, which requires SDS review and approval by the Office of Safety and Security, is included in EPSC / Sun Metro Hazard Communication Program. The EPSC / Sun Metro Rail Maintenance Handbook addresses the requirements of Safety Data Sheets for chemicals and hazardous materials used in Sun Metro rail facilities and on EPSC / Sun Metro property.
These programs are the responsibility of the affected division and the EPSC SSST Manager. Program effectiveness is reviewed via the Internal Safety Audit Process.
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20. DRUG AND ALCOHOL PROGRAM EPSC / Sun Metro is certified as a drug-free workplace and complies with all provisions of the U.S. Department of Transportation, Federal Transit Administration, 49 CFR Part 655, Prevention of Alcohol Misuse in Transit Operations and 49 CFR Part 40 Procedures for Transportation Workplace Drug and Alcohol Testing Programs.
In compliance with the Texas Division of Motor Vehicle – Commercial Driver License Reporting, the employer is required to report all positive DOT drug or alcohol tests required under 49 C.F.R. Part 382 or 49 C.F.R. Part 655. Such reporting to the Division of Motor Vehicles must occur with five (5) days from notification to the City of El Paso (TMC) of the confirmed positive test by the Medical Review Officer or the confirmed positive alcohol test by the Breath Alcohol Technician. Reporting shall be completed using the required forms from the TX DMV.
City Human Resources, along with the EPSC / Sun Metro, EPSC SSTQ Manager and Sun Metro Human Resources Section are responsible for administering City Policy Drug and Alcohol Free Workplace regulations. The Managers of EPSC and Transit Management of El Paso Human Resources are responsible for administering the Transit Management of El Paso, Inc. Substance Abuse Policy. Drug and alcohol testing is required under the following circumstances:
• Pre-Employment, including placement of an existing employee in a safety sensitive position (drug test only) • Reasonable suspicion that an employee has used a prohibited drug or misused alcohol • Post-accident following certain types of accidents • Random testing for safety sensitive personnel • Return to duty following completion of drug/alcohol rehabilitation program • Follow-up testing for employees who have sought and completed a treatment program
Under the FTA drug testing regulations for employees in safety sensitive positions, laboratory tests on urine specimens are conducted for five types of drugs or their metabolites. These drugs are:
• Marijuana • Cocaine • Phencyclidine (PCP) • Amphetamines (e.g. racemic amphetamine, dextroamphetamine, and methamphetamine) • Opiates (e.g. heroin, morphine, codeine)
Employees in safety sensitive positions, and supervisors of those employees, are required to attend special training sessions on the subject of prohibited drug use and alcohol misuse, and Sun Metro drug and alcohol testing requirements. EPSC / Sun Metro provides assistance to city employees with personal or related problems that could affect job performance through the Employee Assistance Program. On-site contractors working in Safety Sensitive positions on EPSC / Sun Metro property or ROW must have a drug and alcohol policy that is in compliance with DOT guidelines.
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21. PROCUREMENT PROCESS EPSC / Sun Metro shall ensure that purchased products conform to specified purchase requirements. The type and extent of control applied to the supplier and the purchased product shall be dependent upon the effect of the purchased product on subsequent product realization or the final product. Procurement actions are conducted in accordance with all applicable federal, State and local laws, regulations and policies. EPSC / Sun Metro conform to the current procurement ordinances, policies and/or procedures adopted by the Council of the City of El Paso or the El Paso City Manager.
The Mass Transit Board has full budget and signature authority for all contracts. The authority to sign contracts for normal operation supplies, and service contracts has been delegated to the City Manager or his/her designee, the Department Director or his/her designees, and the Chief Procurement Officer, based on the total dollar amount of the contract. The Sun Metro Finance Director has primary responsibility for procurement and contract administration including issuing and compliance with EPSC / Sun Metro Procurement Policies and Procedures. The EPSC / Sun Metro Procurement Manual details the requirements for all important activities, such as preparation of purchase orders, contracts for services, bid lists, vendor quality requirements, and contract file maintenance. The Sun Metro Executive Director, project managers, and other key personnel have primary responsibilities, contributor/support responsibilities, or approval authority for specified aspects of the procurement function based on the scope of the contract. Responsibilities are identified in the Sun Metro Procurement Manual.
Large procurements need to be planned during the budget preparation cycle to ensure specifications and contract awards are not driven by budget. All planning for procurement and contracts entails considering safety, as well as technical, business, and management requirements in controlling acquisition from inception to completion.
The Procurement and Contract Management (P&CM) section works in conjunction with all Sun Metro divisions and applicable City of El Paso Departments and utilizes existing city contracts for all purchasing contracts. When purchasing personal protective equipment (PPE) for employees, controlling chemicals and other hazards in the workplace, mandating safety requirements in specific contracts, and requiring compliance from specific vendors with Sun Metro safety requirements, the Safety and Security Division is consulted and reserves the right for final approval.
Those specifying requirements for purchased products and services are responsible for ensuring that products and services meet requirements specified in the procurement information. When products or services are received that do not meet requirements, employees are expected to work with Procurement to arrange a return or adjustment as appropriate. Sun Metro works with Procurement and key suppliers to insure that suppliers have the capability to meet specified requirements. The Sun Metro Warranty and Parts Manual addresses the procedure for visual inspection of parts prior to placing in inventory. The Safety and Security Division has identified requirements to include in contract documents for contractors working on Sun Metro property.
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Attachment B
APTA System Inspection Guidelines APTA STANDARDS DEVEL OPMENT PROGRAM APTA RT-FS-S-006-03, Rev. 2 STANDARD Published: Sept. 28, 2003 American Public Transportation Association First Revision: October 20, 2004 1300 I Street, NW, Suite 1200 East, Washington, DC 20006 Second Revision: December 6, 2017
Fixed Structures Inspection and Maintenance Working Group
Traction Electrification Distribution System Inspection, Maintenance and Testing
Abstract: This sstandard provides minimum requirements for inspecting, maintaining and testing rail transit system traction electrification distribution systems and subsystems.
Keywords: distribution, inspection, maintenance, rail transit system, substation, traction electrification, training, qualifications
Summary: This document establishes a standard for the periodic inspection, maintenance and testing of alternating current (AC) and direct current (DC) traction electrification distribution systems. This includes periodic visual, electrical and mechanical inspections of components that affect safe and reliable operation. This standard also identifies the necessary qualifications for rail transit system employees or contractors who perform periodic inspection, maintenance and testing tasks.
Scope and purpose: This standard applies to rail transit systems that operate electrified light rail and/or heavy rail systems and applies to normal operating conditions. This standard does not apply to commuter railroads that operate on the general railroad system regulated by the Federal Railroad Administration (FRA). The purpose of this standard is to verify that traction electrification distribution systems are operating safely and as designed through periodic inspection, maintenance and testing, thereby increasing reliability and reducing the risk of hazards and failures.
This document represents a common viewpoint of those parties concerned with its provisions, namely operating/ planning agencies, manufacturers, consultants, engineers and general interest groups. The application of any standards, recommended practices or guidelines contained herein is voluntary. In some cases, federal and/or state regulations govern portions of a transit system’s operations. In those cases, the government regulations take precedence over this standard. The North American Transportation Services Association (NATSA) and its parent organization APTA recognize that for certain applications, the standards or practices, as implemented by individual agencies, may be either more or less restrictive than those given in this document. © 2017 NATSA and its parent organization. No part of this publication may be reproduced in any form, in an electronic retrieval system or otherwise, without the prior written permission of NATSA.
Table of Contents
Participants ...... iii Introduction ...... iv Note on alternate practices ...... iv
1. Frequency of tasks ...... 1
2. Qualifications of maintenance personnel...... 1 2.1 Skills and knowledge ...... 2 2.2 Continuing education ...... 2
3. Tools ...... 2
4. Safety...... 2
5. Personal protective equipment ...... 3
6. Inspection, maintenance and testing ...... 3 6.1 Inspection, maintenance and testing categories ...... 3 6.2 Policies and procedures ...... 3
7. Correction of deficiencies ...... 7
8. Priority ratings ...... 8
9. Documentation ...... 8
Definitions ...... 9 Abbreviations and acronyms ...... 9 Summary of document changes ...... 10 Document history ...... 10
Appendix A (informative): Sample checklist/recording form ...... 11
List of Figures and Tables Table 1 Inspection and Maintenance Frequencies ...... 1
© 2017 American Public Transportation Association | ii
Participants The American Public Transportation Association greatly appreciates the contributions of the Rail Transit Standards Fixed Structures Inspection and Maintenance Working Group, which provided the primary effort in the drafting of this document.
At the time this standard was completed, the working group included the following members:
Greg O’Hare, Chair Clay Bunting, Vice Chair Tou Bong Vang, Secretary Charles Anderson Jr., Metro Transit Light Rail Richard Kindig, TriMet Steve Bezner, The Burns Group Michael Monastero, SEPTA Jose Burgos, Miami-Dade Transit Wilbert Mullet Jr., Regional Transit Authority Antonio Cabrera, MTA Rotimi Ogunsuyi, FTA Arthur Douwes, Santa Clara VTA John Rhone, Dallas Area Rapid Transit James Dwyer, ARM Corporation Carol Rose, STV Inc. Michael Esford, NFTA Mark Rudnicki, SFMTA Anthony Fazio, SEPTA Glenn Shankle, Dallas Area Rapid Transit Richard Hovde, David Evans and Associates Paul Swanson, consultant
Project team Charles Joseph, American Public Transportation Association
© 2017 American Public Transportation Association | iii Introduction This introduction is not part of APTA RT-FS-S-006-03, Rev. 2, “Traction Electrification Distribution System Inspection, Maintenance and Testing.”
APTA rail transit safety standards represent an industry consensus on safety practices for rail transit systems to help achieve a high level of safety for passengers, employees and the general public. This document was created by and for those parties concerned with its provisions, namely rail transit systems (operating agencies), manufacturers, consultants, engineers and general interest groups. This standard provides procedures for inspecting, maintaining and testing rail transit traction electrification distribution systems.
APTA recommends this standard for the following:
individuals or organizations that inspect, maintain and/or operate rail transit systems individuals or organizations that contract with others for the inspection, maintenance and/or operation of rail transit systems individuals or organizations that influence how rail transit systems are inspected, maintained and/or operated (including but not limited to consultants, designers and contractors)
This standard intends to meet the following objectives:
to ensure special life/safety equipment is operational and reliable to help rail transit systems incorporate safety considerations during the inspection and maintenance process to identify inspection criteria and maintenance standards that provide a high level of passenger and personnel safety
Note on alternate practices Individual rail transit systems may modify the practices in this standard to accommodate their specific equipment and mode of operation. APTA recognizes that some rail transit systems may have unique operating environments that make strict compliance with every provision of this standard impossible. As a result, certain rail transit systems may need to implement the standards and practices herein in ways that are more or less restrictive than this document prescribes. A rail transit system may develop alternates to APTA standards so long as the alternates are based on a safe operating history and are described and documented in the system’s safety program plan (or another document that is referenced in the system safety program plan).
Documentation of alternate practices shall:
identify the specific APTA rail transit safety standard requirements that cannot be met; state why each of these requirements cannot be met; describe the alternate methods used; and describe and substantiate how the alternate methods do not compromise safety and provide a level of safety equivalent to the practices in the APTA safety standard (operating histories or hazard analysis findings may be used to substantiate this claim).
© 2017 American Public Transportation Association | iv APTA RT-FS-S-006-03, Rev. 2 Traction Electrification Distribution System Inspection, Maintenance and Testing
Traction Electrification Distribution System Inspection, Maintenance and Testing 1. Frequency of tasks The inspection, maintenance and testing procedures in this standard shall be performed as specified in Table 1 below or as otherwise deemed necessary by the rail transit system. Since age, type, operating conditions and environment vary from system to system, and original equipment manufacturer (OEM) maintenance intervals may vary based on operating conditions, the rail transit system makes the final determination of inspection, maintenance and testing frequencies based on experience.
Following OEM-specified maintenance intervals for the equipment is recommended. Inspection frequency should be increased for severe operating conditions.
TABLE 1 Inspection and Maintenance Frequencies
Task Recommended frequency (minimum) Section Cable visual and mechanical inspection Once every five years 6.2.1.1, 6.2.2.1 Cable electrical tests Once every five years 6.2.1.2, 6.2.2.2 Contact rail visual and mechanical inspection As determined by the transit system 6.2.3 Overhead contact system walking inspection Biannually (once every six months) 6.2.4.1 Overhead contact system aerial inspection Annually 6.2.4.2 Bond inspection As determined by the transit system 6.2.5
The rail transit system shall determine the need for additional inspection, maintenance and testing frequencies for traction electrification distribution systems. A review of the following factors may be useful in making this assessment: OEM-recommended testing intervals industry experience operating environment/conditions historical data reliability-centered maintenance program development failure analysis testing and experience regulatory requirements
The frequency of tasks shall comply with applicable federal, state and local regulations.
2. Qualifications of maintenance personnel Due to the nature and hazards associated with electrical work on high-voltage AC and DC components, maintenance personnel must meet minimum recommended qualifications to perform many inspection, maintenance and testing tasks. Each rail transit system shall determine what its needs and resources are. For
© 2017 American Public Transportation Association Page 1 of 12 APTA RT-FS-S-006-03, Rev. 2 Traction Electrification Distribution System Inspection, Maintenance and Testing example, systems may wish to consider a combination of written and practical experience, together with continuing education programs geared toward traction and electrification systems maintenance.
2.1 Skills and knowledge Each rail transit system shall ensure that the employees and/or contractors who perform periodic inspection, maintenance and testing have the knowledge and skills necessary to safely and effectively perform the tasks assigned to them.
2.1.1 Basic inspection level Inspectors must have a minimum of two years’ experience working with electrical systems. All inspectors must be familiar with the installation and repair of the components associated with the electrical systems.
2.1.2 Maintenance level Maintainers must have three or more years’ experience working on high-voltage power distribution or related traction and electrification systems, either by in-house experience or a recognized trade school or apprenticeship training program.
2.1.3 Technician level Technicians must have three or more years’ experience working on high-voltage power distribution or related traction and electrification systems or possess an associate of applied science (AAS) degree in electrical systems or equivalent.
2.2 Continuing education A rail transit system should establish a continuing education program for the above positions based upon its specific operation and requirements.
3. Tools The following tools are required for inspection, maintenance and testing of traction electrification distribution systems: torque wrench multimeter* megohmmeter* gage-measuring device standard tools carried by electrical maintenance workers
NOTE: Tools designated with an asterisk (*) must be calibrated in accordance with OEM and/or rail transit system requirements.
4. Safety Rail transit system safety rules, procedures and practices shall be followed at all times during inspection, maintenance and testing.
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5. Personal protective equipment Personal protective equipment, as required by the rail transit system, shall be worn at all times during inspection and testing.
6. Inspection, maintenance and testing Rail transit systems shall evaluate their local operating environments and conditions to develop or formally adopt existing suitable inspection, maintenance and testing programs that include the following, as a minimum (where applicable):
NOTE: Rail Transit Systems can supplement t the minimum requirements below with applicable Institute of Electrical and Electronics Engineers (IEEE) Standards.
6.1 Inspection, maintenance and testing categories Periodic inspection and maintenance shall be performed to verify proper system operation and general system upkeep. Preventative maintenance (PM) and testing may require removing the equipment from service and performing tests on the equipment or the materials to ensure proper operation. This type of maintenance occurs on a regularly scheduled basis.
6.2 Policies and procedures Each rail transit system shall develop specific written policies and procedures that take into account specific equipment designs and local operating conditions to implement the inspection, maintenance and testing required by this standard. These policies and procedures shall give maintenance staff clear guidance and criteria for performing these activities.
6.2.1 Cables – 600 to 1500 VDC 6.2.1.1 Visual and mechanical inspections The rail transit system shall perform the following inspections on all positive and negative cables when cable failure occurs in areas such as conduits, duct banks or troughs.
Annex A contains a sample inspection form for recording the results of cable inspections and tests.
a) Inspect exposed sections of cables for physical damage or evidence of overheating. b) Inspect fireproofing in common cable area and firewall penetrations, if present. c) Inspect terminations, jumpers and splices for evidence of physical damage or overheating. d) Inspect bolted electrical connections for high resistance using one of the following methods: • Use the calibrated torque-wrench method in accordance with OEM published data to verify tightness of accessible bolted electrical connections. • Perform a thermo graphic survey of the equipment under loaded conditions. e) Inspect the cable support and termination.
6.2.1.2 Electrical tests a) Perform resistance measurements on bolted connections with a low-resistance ohmmeter capable of reading 2 μΩ, or with parallel cables use a clamp-on ammeter to verify nearly equal currents on all cables.
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b) Perform an insulation resistance test, only when the integrity of a cable is suspect, with a megohmmeter using a voltage no greater than the cable insulation rating. Where there is more than one cable in parallel, test each individual cable.
6.2.1.3 Test values a) Compare bolted connection resistances to values of similar connections. b) Ensure that bolt-torque levels are in accordance with OEM recommendations. c) Ensure microhm or millivolt drop values do not exceed the high levels of the normal range as indicated in the OEM published data. If OEM data is not available, then investigate any values that deviate from similar connections by more than 25 percent of the average value. d) Compare test results with previously obtained results.
6.2.2 Cables – 600 VAC and above 6.2.2.1 Visual and mechanical inspections The rail transit system shall perform the following inspections on line neutral and ground cables when cable failure occurs in areas such as conduits, duct banks or trough. a) Inspect exposed sections of cables for physical damage, evidence of overheating or corona. b) Inspect fireproofing in common cable area and firewall penetrations, if present. c) Inspect terminations and splices for evidence of physical damage, overheating or corona. d) Inspect all bolted electrical connections for high resistance using one of the following methods: • Use calibrated torque-wrench method in accordance with OEM published data to verify tightness of accessible bolted electrical connections. • Perform a thermo graphic survey of the equipment under loaded conditions. e) Inspect the shield ground (if present), cable support and termination.
6.2.3 Electrical tests a) Perform resistance measurements on bolted connections with a low-resistance ohmmeter capable of reading 2 μΩ. b) Perform an insulation-resistance test, only when the integrity of a cable, is suspect with a megohmmeter using a voltage no greater than the cable rating. Where there is more than one conductor cable in parallel, test each individual conductor.
6.2.3.1 Test values a) Compare bolted connection resistances to values of similar connections. b) Ensure that bolt-torque levels are in accordance with OEM recommendations. c) Ensure that microhm or millivolt drop values do not exceed the high levels of the normal range as indicated in the OEM published data. If OEM data is not available, then investigate any values that deviate from similar connections by more than 25 percent of the average value. d) Compare test results to previously obtained results.
6.2.4 Contact rail The rail transit system shall develop specific inspection criteria for contact rails based on the type of contact rail in service and system requirements. The rail transit system shall inspect the components listed in Section 6.2.3.1 through Section 6.2.3.8 as a minimum during each inspection interval.
Annex A provides an example of an inspection form that can be used to record the results of contact rail inspections and tests.
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6.2.4.1 Contact rail integrity a) Verify that the contact rail has proper horizontal and vertical relation to the adjoining running rail. b) Inspect the contact rail for wear. Measure the wear on the head/ball of the rail. Compare the amount of contact rail material remaining with the original profile of the head/ball of the rail, using some form of gage measuring device. Replace rail in accordance with rail transit system requirements.
6.2.4.2 Expansion joints/gaps Expansion joints/gaps are installed at various locations to allow for the thermal expansion and contraction of the contact rail. a) Check for proper alignment and signs of movement.
6.2.4.3 Power section gaps Section gaps provide a means of power isolation. Section gaps are designed to a specific minimum length to prevent energization of adjacent sections through the current collectors of a single rapid transit car. a) Check the length of the section gap.
6.2.4.4 Inclines a) Inspect inclines (also called approaches) for wear, height, gage and proper support. b) Compare measurements taken with design standards.
6.2.4.5 Contact rail anchors a) Inspect contact rail anchors for integrity.
6.2.4.6 Contact rail insulator a) Inspect all contact rail insulators for cracked, loose and/or missing contact rail insulators, particularly in curves and at inclines.
6.2.4.7 Contact rail bonds a) Inspect the physical condition of all contact rail bonds, including welds and mechanical connections.
6.2.4.8 Knife switches a) Check the condition of the knife switch for arc burns, insulator integrity and freedom of movement, operating mechanism and connecting cables.
6.2.5 Overhead contact system (OCS) Although all overhead contact systems consist of similar types of equipment, each type varies greatly depending on age, type and manufacturer. This standard cannot cover each type of installation. However, Section 6.2.4.1 and Section 6.2.4.2 contain procedures common to all types of overhead contact systems.
6.2.5.1 Walking inspection a) Check foundations for visible cracks, spalling, base details and fasteners, deposits of trash, over growth of vegetation, and concrete condition. b) Check poles (particularly termination poles) for loose nuts of bonding cables, broken or cracked welds, damaged galvanization, distortion, cracking, or corrosion. c) Check the integrity of bonding cables. d) Check the completeness, cleanliness and proper attachment of warning signs and pole number signs. e) Check insulators and cable terminations for damage or dirt.
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f) Check position of insulators, steady arms and contact wire clips. g) Check for broken wires at contact wire supports. h) Check catenary for broken or displaced hangers. i) Check the position of contact wire bridges at crossovers and the position of wires at overlaps and crossovers. j) Check frogs and switches, cantilever assemblies, and for slackened or missing jumpers. k) Check the balance weight or tension spring assembly for corrosion of steel wire. l) Check the free movement of the pulley wheel. m) Check the position of the weight stack depending on the temperature and alignment of the wires on the pulley. n) Check the condition of the disconnect switch for arc burns, insulator integrity, freedom of movement and connecting cables. o) Check section insulator running skids for wear and correct adjustment. Wash off carbon deposits with a mild detergent. p) Check tension spring assembly (where used) for corrosion of steel wire and free movement of the pulley wheel. q) Check the length of the spring depending on the temperature and alignment of the wires on the pulley.
6.2.5.2 Aerial inspection Perform the following as required during the high rail inspection: a) Check the stagger of the contact wire at supports and at mid-span and adjust as necessary. b) Check the steady arm inclination and adjust as necessary. c) Check the adjustment of the outrunning wires in overlap sections and at crossovers. d) Check the contact wire for twists, kinks and spots of arcing. If the cross sectional area is more than 30 percent worn, then replace the contact wire. e) Check the messenger wires, head-span wires, dropper wires, ground wires and feeder wires for corrosion, damage, broken strands and evidence of arcing. Wires should be carefully monitored for arcing due to hard spots, particularly near clamps. Make adjustments as necessary. f) Check the contact blades for dirt and arcing damage. Connecting wires and clamps should be free of cracks and arcing damage. g) Check all movable parts of the switch assembly, operating link, contact blades and operating handle for free movement, and adjust if necessary. h) Re-lubricate all movable parts of the switch assembly, operating link, contact blades and operating handle as required. i) Check the correct position of the section insulators and the even wear of the runners. j) Check the contact wire termination for cracks and excessive wear and for damaged suspension assembly. Adjust as necessary. k) Check the catenary for: • contact wire height above top of rail; • contact wire stagger from centerline of track at supports and in center of span; • sag of the wire in relation to the temperature if a fixed terminated system is employed; • the position and condition of hangers, cantilevers, steady arms, clips and other attachments; • cantilever lateral movement according to design, if an auto-tension system is employed; and • proper clearance envelope.
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6.2.6 Bonds 6.2.6.1 Running rail bonds Running rail bonds are installed across the running rail joint to supplement the electrical connection for negative traction return currents and can affect signal system reliability. a) Inspect the welds and mechanical connections for cracks and corrosion and fraying of the bond.
6.2.6.2 Structure bonds Elevated structures are sometimes used to supplement the negative traction return current. Structure bonds are typically connected from the running rail to the structure and across a mechanical connection between structural elements.
a) Inspect the welds and mechanical connections for cracks and corrosion and fraying of the bond.
6.2.6.3 Cross bonds Cross bonds are installed to supplement the electrical connection for enhanced negative return and reduction of stray current.
a) Inspect the welds and mechanical connections for cracks and corrosion and fraying of the bond.
6.2.6.4 Impedance bonds Impedance bonds are installed to maintain the continuity of the traction return currents in signalized territory.
a) Inspect the welds and mechanical connections (particularly the rail end weld/pin/clamp connection) for cracks, corrosion and bond fraying.
6.2.6.5 Contact rail and running rail connections Contact rail and running rail connections provide the electrical connection between the traction power distribution positive and negative cables and their respective rails. Contact rail and running rail connections are typically welded to the base of the rail or mechanically fastened to the rail.
a) Inspect the welds and mechanical connections for cracks and corrosion and fraying of the bond. b) Inspect all mechanical support systems on elevated tracks.
7. Correction of deficiencies Deficiencies identified during inspection, maintenance and testing shall be corrected and documented in accordance with OEM and/or rail transit system requirements. Some operational equipment may need to be taken out of service immediately until the problem is corrected. Other equipment may be left in service and corrected when parts, tools and/or appropriately skilled personnel are available.
The rail transit system shall designate a person responsible for deciding whether or not to leave defective equipment in service in order to operate. In the absence of a designated person, the rail transit system shall take the equipment out of service.
The rail transit system shall review and develop a corrective action plans for documented system defects monthly.
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8. Priority ratings The rail transit system shall develop a priority rating system to evaluate and determine the effects that any single defect will have on the system if it chooses to operate with a known defect.
The following are the recommended priority ratings:
Priority 1: The defect will endanger the safety of patrons and personnel and/or continuation of revenue service. A permanent or temporary repair shall be made immediately. Priority 2: The defect may cause disruption of revenue service. The repair shall be made in a predetermined timeframe set by each system. Priority 3: The defect will not affect revenue service. The repair shall be made in a predetermined timeframe set by each system.
9. Documentation The rail transit system shall develop and implement a fully auditable process for recording and tracking inspection, maintenance and testing activities and outstanding system defects. Such documentation shall be documented, reviewed and filed in accordance with rail transit system procedures and OEM recommendations. Documentation should be kept for the life of all in-service equipment and be readily available for review.
Annex A contains a sample checklist and recording form that rail transit systems can adapt to their specific equipment and operating environment.
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Definitions aerial inspection: An inspection done on an overhead electrical distribution system where the inspector is at the same level as the overhead equipment being inspected. auto-tension system: A system tensioned by weight or spring to maintain an overhead contact system wire height and a constant wire tension within a defined temperature range. contractor: Any individual(s) or entity under contract with the rail transit system (including rail transit system and subcontractor personnel) to install, inspect, maintain and/or test rail transit system vehicles, systems, and components. Also called a consultant. fixed termination system: An overhead contact system with a contact wire tension that is fixed at a specific temperature and varies for all other temperatures. heavy rail system: An electric railway capable of a “heavy volume” of traffic characterized by exclusive rights-of-way, multicar trains, high speed and rapid acceleration, sophisticated signaling and high-platform passenger loading. Also called an elevated railway, rapid rail, rapid transit or subway. light rail system: An electric railway with a lighter volume of train traffic than heavy rail that may use shared or exclusive rights-of-way and may run trains intermingled with street traffic. Light rail systems frequently operate with low platform loading and single-car trains. Also called a street car, tram or trolley car. original equipment manufacturer (OEM): The enterprise that initially designs and builds a piece of equipment. personal protective equipment (PPE): All clothing and other work accessories designed to create a barrier against workplace hazards. Examples include safety goggles, blast shields, hard hats, hearing protectors, gloves, respirators, aprons and work boots. rail transit: All forms of non-highway ground transportation that operate on rail including light rail, streetcars, trolleys and rapid rail transit systems. rail transit system: The organization or portion of an organization that operates rail transit service and related activities. Also called an operating agency, operating authority, transit agency, transit authority or transit system. shall: The word shall is used in standard documents to indicate mandatory requirements strictly to be fol- lowed in order to conform to the standard and from which no deviation is permitted unless the transit system can demonstrate equivalent safety is achieved through an alternate approach. should: The word should is used in recommended practice documents to indicate that, among several options, one is recommended as particularly suitable, without mentioning or excluding others; or that a certain course of action is preferred but not required.
Abbreviations and acronyms μΩ microhms AAS associate of applied science AC alternating current DC direct current
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FRA Federal Railroad Administration NATSA North America Transit Services Association OCS overhead contact system OEM original equipment manufacturer PPE personal protective equipment PM preventive maintenance VAC volts alternating current VDC volts direct current
Summary of document changes Document formatted to the new APTA standard format. Sections have been moved and renumbered. Definitions, abbreviations and acronyms have been moved to the back of the document. Two new sections added: “Summary of document changes” and “Document history.” Some global changes to section headings and numberings resulted when sections dealing with references and acronyms were moved to the end of the document, as well as other cosmetic changes, such as capitalization, punctuation, spelling, grammar and general flow of text. Section 6; Language added to allow Agencies to also incorporate IEEE standards into their inspection, maintenance and testing procedures Minor editorial changes.
Document history Document Working Public Rail CEO Rail Policy & Publish Date Version Group Vote Comment/ Approval Planning Technical Approval Oversight
First published Nov. 22, 2013 — — Sept. 28, 2013 Sept. 28. 2003
First revision — — — — July 26, 2004
Second Revision July 14, 2017 August 1, 2017 Sept. 18, 2017 November 13, 2017 December 6, 2017
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Appendix A (informative): Sample checklist/recording form
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