Maryland Transit Administration

STATE OF MARYLAND DEPARTMENT OF TRANSPORTATION

MARYLAND TRANSIT ADMINISTRATION

Invitation for Bids (IFB)

METRO STATE CENTER AND CHARLES CENTER DOUBLE CROSSOVERS

IFB NO. T-1223-1740

DATE: August 23, 2019

~Disadvantaged Business Enterprises are encouraged to respond to this solicitation~ T-1223-1740 TABLE OF CONTENTS

VOLUME I METRO STATE CENTER AND CHARLES CENTER DOUBLE CROSSOVERS

CONTRACT NO. T-1223-1740

CONTRACT SPECIFICATIONS BOOK

TABLE OF CONTENTS

DESCRIPTION PAGE NO.

KEY INFORMATION SHEET…………………………………………………….KIS 1 NO BID NOTICE ...... NBN 1 NOTICE TO CONTRACTORS ...... NTC 1-12 DAVIS BACON WAGE RATES…………………………………………………..DBWR 1-10 BID FORM INCLUDING UNIT PRICE SCHEDULE ...... BF 1-11 BID BOND...... BB 1-2 AFFIDAVIT OF INDIVIDUAL SURETY & APPENDIX ...... AIS 1-5 CONTRACTOR QUESTIONNAIRE ...... CQ 1-6 BID/PROPOSAL AFFIDAVIT ...... BPA 1-7 DBE REQUIREMENTS ...... DBE 1-13 LIABILITY INSURANCE REQUIREMENTS ...... IR 1-4 INSURANCE WORKSHEET………………………………………………………1-4 OCIP MANUAL…………………………………………………………………….1-35 SUBCONTRACTOR UTILIZATION INFORMATION FORM ...... SUI 1-2 PAYMENT BY ELECTRONIC FUNDS TRANSFER ...... EFT 1-3 CONTRACT AGREEMENT ...... C 1-3 CONTRACT AFFIDAVIT ...... CA 1-4 SURETY BOND ASSISTANCE PROGRAM ...... BAP 1 PAYMENT BOND ...... PA 1-4 PERFORMANCE BOND ...... PE 1-3 BID PROTEST...... BP 1

T-1223-1740 T-1223-1740 TABLE OF CONTENTS

CERTIFICATION REGARDING INVESTMENT ACTIVITIES IN IRAN ...... IRAN 1-2 LOCATION OF THE PERFORMANCE OF SERVICES DISCLOSURE ...... LPSD 1 MERCURY AFFIDAVIT ...... MA 1 CONFLICT OF INTEREST AFFIDAVIT ...... CO 1 FEDERAL FUNDING CLAUSES & ACKNOWLEGEMENTS ………………...FF 1-23 MTA SAFETY SYSTEM PROGRAM PLAN…………………………………… SSPP 1-183 GENERAL PROVISIONS FOR CONSTRUCTION CONTRACTS (MARYLAND DOT)...... GP 1-79 SUPPLEMENTAL GENERAL PROVISIONS FOR CONSTRUCTION CONTRACTS (MTA – FEDERALLY FUNDED) ...... SGP 1-69

Volume II--Specifications--Special Provisions Volume III--Drawings 1 Volume IV--Drawings 2 Volume V--Drawings 3 Volume VI--Drawings 4

T-1223-1740 STATE OF MARYLAND MARYLAND DEPARTMENT OF TRANSPORTATION MARYLAND TRANSIT ADMINISTRATION(MTA) KEY INFORMATION SUMMARY SHEET

Invitation for Bids CONSTRUCTION: Metro State Center and Charles Center Double Crossovers Solicitation Number: T-1223-1740 IFB Issue Date: August 23, 2019 IFB Issuing Office: Maryland Department of Transportation Maryland Transit Administration (MTA) Procurement Officer: Lorraine Ziara-Denmark Procurement Office, 6 St. Paul St., Baltimore, MD 21202 e-mail: [email protected] Office Phone: 410-767-3591 or 410-454-7418 Bids are to be sent to: MTA Procurement Office, 7th Floor 6 St. Paul Street Baltimore, MD 21202 Attention: Lorraine Ziara-Denmark Pre-Bid Conference: Thursday, September 6, 2019 at 10:00 AM Room 731 at 6 St. Paul Street, Baltimore, MD 21202 Site Visits The site visit will begin immediately following the Pre-Bid, Transportation via the Metro Subway will be provided.

Questions Due Date and Time Wednesday, September 11, 2019 at 12:00 PM Local Time Bid Due (Closing) Date and September 26, 2019 at 1:00 PM Local Time at the Procurement Time: Check-In Desk, in the Procurement Department, 7th Floor,6 St. Paul Street, Baltimore, MD 21202. Bids must be submitted prior to going to the bid opening room. Public Bid Opening Date, Immediately following bids due, approximately 1:15 PM Local Time Time and Location in Room 742, at 6 St. Paul Street, Baltimore, MD 21202.

MBE Subcontracting Goal: 9%, with no designated sub-goals

Contract Type: Fixed Price

Contract Duration: 320 Days

Place of Performance: Baltimore City

Federal Funding: Yes, 80% MARYLAND TRANSIT ADMINISTRATION NO BID FORM

To help us improve the quality of State solicitations, and make our procurement process more responsive and business-friendly, we ask that you take a few minutes to complete this form. Thank you for your assistance.

Bid/Proposal No.: T-1223-1740

Contract Title: Metro State Center and Charles Center Double Crossovers

I. If you are not bidding, please indicate why:

Other commitments preclude our participation at this time. The subject of the contract is not in our business line. We lack experience in the work/commodities required. The scope of work is beyond our current capacity. We cannot be competitive. (Please explain below.) The specifications are either unclear or too restrictive. (Please explain below.) Bid/proposal requirements, other than specifications, are unreasonable or too risky. (Please explain below.) Time for completion is insufficient. Bonding/insurance requirements are prohibitive. (Please explain below.) Doing business with government is simply too complicated. Prior experience with State of Maryland contracts was unprofitable or otherwise unsatisfactory. (Please explain below.) Other:

II. Please explain your response further, offer suggestions, or express concerns. (use the back for additional information.

Remarks:

OPTIONAL:

Vendor Name: Date: Contact: Phone: Address or e-mail:

THANK YOU !!!!!!!

T-1223-1740 NB - 1 STATE OF MARYLAND DEPARTMENT OF TRANSPORTATION MARYLAND TRANSIT ADMINISTRATION

NOTICE TO CONTRACTORS

METRO STATE CENTER AND CHARLES CENTER DOUBLE CROSSOVERS

CONTRACT NO.: T-1223-1740 DATE: August 23, 2019

1. DESCRIPTION OF WORK

A. This MDOT MTA Metro project involves the reconstruction of the State Center Station and the Charles Center Station double crossovers and adjacent sections of track, including replacement of all special trackwork, direct fixation fasteners and all required modifications to contact rail, traction power cables and system cables. Work will be performed in four (4) stages in a ninety-one (91) day construction period, during which service will be maintained on one track at all times. Charles Center DXO will be reconstructed in the first two stages, followed by the State Center DXO in two stages. This is very specialized trackwork, being performed within the confined space of the Metro tunnel. Both locations are within the City of Baltimore limits.

B. The State Center work includes, but is not limited to:

1. Demolition of existing mainline resiliently special trackwork on timber ties supported by rubber support pads which are supported by the concrete base slab of an underground structure. This work includes removal and disposal of all existing special trackwork, including steel and/or iron special trackwork, running rails, guard rails, timber switch ties, timber cross ties, single-rail tie plates, twin tie plates, switch plates, gauge plates and their rail clips, rail braces and screw spikes within the limits indicated on the Contract Drawings. However, the Contractor shall remove and salvage the turnout and crossing diamond frogs.

2. Demolition of special trackwork includes a No. 8 double crossover, 37 feet track centers, which includes Turnouts No. 1A, 1B, 3A, and 3B and a crossing diamond.

3. Removal and disposal of crosswalks that cross each turnout of the double crossover. Furnishing and installing new crosswalks that cross each turnout of the double crossover.

4. Removal and disposal of: rubber support pads, associated hardware and high density polyethylene (HDPE) pads which are under the timber ties.

5. Removal and disposal of cellular rubber pads around the ends of the timber ties.

T-1223-1740 NTC Page 1 of 12

6. Removal and disposal of track concrete, including reinforcing steel and dowels and continuous grout pads.

7. Removal and disposal of two-block concrete tie assemblies and installation of new two-block concrete tie assemblies on Tracks 1 and 2 east of Switches 1A and 3B.

8. Removal and salvage of contact rail and splice bars. Removal and disposal of protective cover, support brackets, support insulators, contact rail anchor assemblies, end approaches, side approaches and concrete pads throughout the double crossover and at locations noted on the Contract Drawings.

9. Furnishing and installing reinforced concrete for the entire double crossover. Concrete shall fill the existing troughs in the base slab of the structure and incorporate plinths that extend up from the concrete base slab to support high resilience direct fixation fasteners. Concrete shall include troughs for switch rods and operating rods.

10. Furnishing and installing dowels connecting new concrete to the bottoms of the troughs in the concrete base slab.

11. Furnishing and constructing reinforced concrete blocks to support contact rail support brackets.

12. Removal and replacement of grates at drain inlets.

13. Furnishing new signal and traction power related connectors, as indicated by the Contract Drawings and the Special Provisions.

14. Removing, transporting and unloading existing switch machines from the tracks to the Metro material storage location designated by the Engineer. Transporting rebuilt switch machines for the double crossover, furnished by others, from Administration material storage location to the jobsite and installing, adjusting and testing the switch machines.

15. Installation of one No. 8 double crossover, 37 feet nominal track centers, high resilience direct fixation, complete including all required high resilience single-rail direct fixation fasteners, high resilience special trackwork direct fixation fasteners, special trackwork, running rails, guard rails, signal cabling, traction power cabling and equipment, and other facilities and systems as indicated by the Contract Drawings and the Special Provisions. 16. Relocation of one direct fixation fastener and installation of another direct fixation fastener on Track 1 west of Switch 1B so that the direct fixation fasteners will be away from the center of an insulated joint.

17. Temporary disconnection and protection in place of existing signal and traction power equipment not being renewed as part of this project. These items include but are not limited to: signal cases, signals, wayside traction T-1223-1740 NTC Page 2 of 12

power disconnect switches, traction power cabling, and signal junction boxes.

18. Temporary disconnection, setting aside, protection and reinstallation of existing impedance bonds.

19. Installation of Administration-furnished signal and traction power cables, using Contractor-furnished fasteners and related materials.

20. Pre-curving of Administration-furnished contact rail for curves on Crossover Track 1 and Crossover Track 2.

21. Installation of Administration-furnished composite contact rail, splice bars, contact rail end approaches, support brackets, support insulators, protective cover, contact rail anchor assemblies and side approaches where shown on the Contract Drawings.

22. Track-to-earth resistance testing.

23. Contact rail-to-earth resistance testing.

24. Provision of non-uniformed security personnel, as required for protection of all furnished materials, and materials removed for reinstallation as well as protection of one entrance to the State Center Station, one emergency exit at street level, and access to the construction zone from the State Center Station platform.

25. Furnishing of supplies and cleaning services for an existing Engineer’s field office at Milford Mill Station parking lot and a second Engineer’s field office in an existing room in State Center Station.

26. Furnishing, installing, relocating, maintaining and removing track safety fences at the double crossover.

27. Furnishing, installing, relocating, maintaining and removing a temporary platform barrier on the State Center Station platform. 28. Furnishing all other materials, materials, equipment, and labor required for completion of the work in this Contract – as specified and indicated in the Special Provisions and Contract Drawings.

29. Furnishing manpower to support MTA testing at the conclusion of the Contractor’s installation work.

C. For the Charles Center worksite, the work involves:

1. Demolition of existing mainline direct fixation special trackwork, which is supported on concrete floating slabs. This work includes removal and disposal of all existing special trackwork, including steel and/or iron special trackwork and single-rail plates, rail clips, anchor bolts, running rails and T-1223-1740 NTC Page 3 of 12

guard rails within the limits of construction indicated on the Contract Drawings. The base portions of existing bonded special trackwork direct fixation fasteners shall be removed and salvaged, as specified in Section 02221. Remove and dispose of the other parts of the bonded special trackwork direct fixation fasteners.

2. Demolition of special trackwork includes a No. 8 double crossover, 37 feet track centers, which includes Turnouts Nos. 1A, 1B, 3A, and 3B and a crossing diamond.

3. Removal and disposal of existing contact rail, end approaches, protective cover, protective cover brackets, support insulators, centering cups, anchor assemblies, side approaches, splice joints, expansion joints, insulated joints and support plates throughout the double crossover and at locations noted on the Contract Drawings.

4. Concrete repair work on floating slabs.

5. Furnishing new signal and traction power related connectors, as indicated by the Contract Drawings and the Special Provisions.

6. Removing, transporting and unloading existing switch machines from the tracks to the Metro material storage location designated by the Engineer. Transporting rebuilt switch machines for the double crossover, furnished by others, from Administration material storage location to the jobsite and installing, adjusting and testing the switch machines.

7. Installation of one No. 8 double crossover, 37 feet track centers, direct fixation, complete including all required single-rail direct fixation fasteners, special trackwork direct fixation fasteners, special trackwork, running rails, guard rails, signal cabling, traction power cabling and equipment, and other facilities and systems as indicated by the Contract Drawings and the Special Provisions.

8. Temporary disconnection and protection in place of existing signal and traction power equipment not being renewed as part of this project. These items include but are not limited to: signal cases, signals, wayside traction power disconnect switches, traction power cabling, and signal junction boxes.

9. Temporary disconnection, setting aside, protection and reinstallation of existing impedance bonds.

10. Installation of Administration-furnished signal and traction power cables, using Contractor-furnished fasteners and related materials.

11. Furnishing and installation of new galvanized steel shims and support plates for contact rail brackets in portions of the reconstructed sections of tracks that cross over from Track 1 to Track 2. Furnishing and installation of new T-1223-1740 NTC Page 4 of 12

galvanized steel shims, nuts and washers and selective construction of new grout pads for contact rail brackets at all other locations.

12. Installation of contact rail bracket assemblies in the reconstructed sections of track.

13. Installation of new contact rail insulators and installation of composite contact rail, contact rail end approaches, contact rail anchor assemblies and side approaches in the reconstructed sections of track.

14. Installation of new protective cover in the reconstructed sections of track.

15. Track-to-earth resistance testing.

16. Contact rail-to-earth resistance testing.

17. Provision of non-uniformed security personnel, as required for protection of all furnished materials, and materials removed for reinstallation as well as protection of one entrance to the Charles Center Station, one emergency exit at street level, and access to the construction zone from the Charles Center Station Platform.

18. Furnishing supplies and services for Engineer’s field office, including specified equipment and supplies, maintenance and cost of regular utilities services, and provision of regular maintenance and cleaning services for this Engineer’s field office, as well as a second Engineer’s field office in an existing room in Charles Center Station. 19. Furnishing, installing, relocating, maintaining and removing track safety fences at the double crossover.

20. Furnishing, installing, relocating, maintaining and removing a temporary platform barrier on the Charles Center Station platform.

21. Furnishing all other materials, materials, equipment, and labor required for completion of the work in this Contract – as specified and indicated in the Special Provisions and Contract Drawings.

22. Furnishing manpower to support MTA testing at the conclusion of the Contractor’s installation work.

D. The work in the tunnel shall be split up into four construction phases, which are referred to as Phase 1, Phase 2, Phase 3 and Phase 4. During each phase, construction work shall progress on one of the mainline tracks and portions of the crossover tracks while revenue train operations will be operating on the other mainline track. Work in each construction phase shall include the following:

1. Phase 1 – Charles Center: a. Complete Contractor-designated pre-construction activities in preparation for single-tracking train operations on Track 1, including T-1223-1740 NTC Page 5 of 12

but not limited to construction of temporary track safety fence in the crossover construction area and temporary platform barriers on Charles Center Station passenger platform. b. Complete construction work on Track 2, the crossing diamond, and noted sections of the crossover tracks, as indicated on the Construction Staging Plans, while trains are operating on Track 1, and including all demolition work structural, track and systems reconstruction work. c. Test and cleanup all reconstruction sections of tracks. MTA will perform acceptance inspection and testing before resumption of train operations on Track 2.

2. Phase 2 – Charles Center: a. Complete Contractor-designated pre-construction activities in preparation for single-tracking train operations on Track 2, including but not limited to moving temporary track safety fence to the other side of the crossover construction area and moving the temporary platform barrier to the other side of Charles Center Station passenger platform. b. Complete construction work on Track 1 and the remaining sections of the crossover tracks, as indicated on the Construction Staging plans, while trains are operating on Track 2, and including all demolition work and structural track and systems reconstruction work. c. Test and cleanup all reconstructed sections of tracks. MTA will perform acceptance inspection and testing before resumption of full train operations on both mainline tracks and both crossover tracks.

3. Phase 3 – State Center: a. Complete Contractor-designated pre-construction activities in preparation for single-tracking train operations on Track 1, including but not limited to construction of temporary track safety fence in the crossover construction area and temporary platform barrier on State Center Station passenger platform. b. Complete construction work on Track 2, the crossing diamond, and noted sections of the crossover tracks, as indicated on the Construction Staging plans, while trains are operating on Track 1, and including all demolition work and structural, track and systems reconstruction work. c. Test and cleanup all reconstructed sections of tracks. MTA will perform acceptance inspection and testing before resumption of train operations on Track 2.

4. Phase 4 – State Center: a. Complete Contractor-designated pre-construction activities in preparation for single-tracking train operations on Track 2, including but not limited to moving temporary track safety fence to the other side of the crossover construction area and moving the temporary T-1223-1740 NTC Page 6 of 12 platform barrier to the other side of State Center Station passenger platform. b. Complete construction work on Track 1 and the remaining sections of the crossover tracks, as indicated on the Construction Staging plans, while trains are operating on Track 2, and including all demolition work and structural, track and systems reconstruction work. c. Test and cleanup all reconstructed sections of tracks. MTA will perform acceptance inspection and testing before resumption of full train operations on both mainline tracks and both crossover tracks.

D. Estimated value for this work is in the range of Maryland DOT Terms & Conditions TC-2:01 Project Classification Cost Group “F” ($5,000,001- $10,000,000).

2. DEADLINE FOR QUESTIONS

Questions regarding the work should be directed in writing to Lorraine Ziara- Denmark at the Administration Offices or via email address lziara- [email protected] . Facsimile messages will not be accepted unless accompanied by telephone notification at (410) 767-3591or (410) 454-7418. Questions directed to this office must be received no later than September 11, 2019 at 12:00 PM. No interpretations other than written shall be binding on the Administration.

The new eMaryland Marketplace Advantage (eMMa) is designed to handle the solicitation and award process electronically, however at this time, all communication about this solicitation shall be conducted as instructed above, not submitted on eMMa.

3. PRE-BID MEETING & SITE VISIT

A Pre-Bid meeting for the purpose of explaining the Project will be held on September 6, 2019, at 10:00 AM Local Time, in Room 731, at 6 St. Paul Street, Baltimore, MD, 21202. A site visit will be immediately following the pre-bid meeting.

It is strongly suggested that the person(s) responsible for the preparation of bid documents for bidders attend the Pre-Bid Meeting.

4. BID DUE DATE & TIME

Sealed Bids addressed to the Maryland Transit Administration, Procurement Division, 6 St. Paul Street, Baltimore, MD 21202-1614, and marked “Sealed Bid for Contract T-1223-1740, Metro State Center and Charles Center Double Crossovers” will be received at the above address until, but not after 1:00 PM on Thursday, September 26, 2019. Hand delivered bids will be stamped in by the Procurement Staff, who will also give a bid receipt to the courier. Do not leave the office without a bid receipt. Any bids received after 1:00 PM, local time, shall not be considered. T-1223-1740 NTC Page 7 of 12

There will be a public opening of the bids received immediately after receiving the bids, at approximately 2:10 PM in Room 742 of 6 St. Paul Street.

While eMMa is designed to accept bids electronically, do not use the system for this purpose at this time. Bids, and all required documentation to be submitted with the bids shall be delivered in hard copy to the Procurement Department.

5. ELECTRONIC VERSION OF BID DOCUMENTS

The bid documents will be available by electronic means. The Bidder acknowledges and accepts full responsibility to ensure that no changes are made to the bid documents. In the event of a conflict between the version of the bid documents in the bidder’s possession and the version maintained by the Procurement Officer, the version maintained by the Procurement Officer shall govern.

6. EMARYLAND MARKETPLACE ADVANTAGE REGULATIONS

Use of “e-Maryland Marketplace Advantage”

“e-Maryland Marketplace Advantage” is an electronic commerce system administered by the Maryland Department of General Services. Registration is free and will provide a means for your business to receive e-mail notifications of upcoming contracting opportunities in specified areas of interest and expertise. This means that all such information is immediately available to subscribers to e-Maryland Marketplace Advantage. Because of the instant access afforded by e-Maryland Marketplace Advantage, it is recommended that all Bidders interested in doing business with Maryland State agencies subscribe to e-Maryland Marketplace Advantage. For more eMMa registration information, visit the website: https://procurement.maryland.gov.

Bidders are required to acknowledge all addenda by signing a copy of each addendum cover letter and include it in their bid package.

Although the MTA endeavors to send out all addenda to this solicitation in a timely manner, it is the responsibility of the Contractors to make sure they receive all appropriate documents prior to the bid due date and time.

7. BID BOND

Each bid exceeding $100,000 must be accompanied by a Bid Bond in the amount of five percent (5%) of the Bid Price. Bid, payment, and performance security may be in the form of: (1) a bond executed by a surety company authorized to do business in the State; (2) a bond executed by an individual surety that meets certain criteria; (3) another form of security required by State or federal law; or (4) another form of security satisfactory to the unit awarding the contract. Sections 13-207, 13-216, 17-104 of the State Finance and Procurement Article, Annotated Code of Maryland. T-1223-1740 NTC Page 8 of 12

8. PAYMENT AND PERFORMANCE BONDS

Payment and Performance Bonds in the amount of the Contract Price will be required by the awardee. Upon receiving notification of contract award, the Contractor shall deliver the bond to the MTA no later than the time the Contractor executes the contract. Bid, payment, and performance security may be in the form of: (1) a bond executed by a surety company authorized to do business in the State; (2) a bond executed by an individual surety that meets certain criteria; (3) another form of security required by State or federal law; or (4) another form of security satisfactory to the unit awarding the contract. Sections 13-207, 13- 216, 17-104 of the State Finance and Procurement Article, Annotated Code of Maryland.

9. MULTIPLE OR ALTERNATE BIDS

Multiple and/or alternate Bids will not be accepted.

10. BASIS FOR AWARD

The Contract shall be awarded to the responsible Bidder submitting a responsive Bid with the most favorable Total Bid Price (as referenced in COMAR 21.05.02.13) for providing the services as specified in this IFB. Determination of the most favorable Total Bid Price (low bid) will be based upon the total amount bid for “Basis of Award” Items 1-55.

11. TIE BIDS

Tie Bids will be handled in accordance with COMAR 21.05.02.14.

12. DURATION OF BID

Bids submitted in response to this IFB are irrevocable for 120 days following the closing date of the Bids. This period may be extended at the Procurement Officer’s request only with the Bidder’s written agreement.

13. ADDENDA

Bidders are required to acknowledge all addenda with their bid package. Although the MDOT MTA endeavors to send out all addenda to this solicitation in a timely manner, it is the responsibility of the contractors to make sure they received all appropriate documents prior to the bid due date.

T-1223-1740 NTC 12 of 12

14. ELECTRONIC FUNDS TRANSFER

On every solicitation for a contract expected to exceed $200,000, the Contractor chosen for award will be required to accept payments by electronic funds transfer (EFT) unless the State Comptroller’s Office grants an exemption.

15. DISADVANTAGED BUSINESS ENTERPRISE PROGRAM

A. DISADVANTAGED BUSINESS ENTERPRISES ARE ENCOURAGED TO RESPOND TO THIS SOLICITATION NOTICE.

B. The Maryland Transit Administration hereby notifies all bidders that, in regard to any Contract entered into pursuant to this advertisement, Disadvantaged Business Enterprises will be afforded full opportunity to submit Bids in response to this Notice, and will not be subjected to discrimination on the basis of political or religious opinion or affiliation, race color, creed, sex, age or national origin in consideration for an award.

C. It is the goal of the Administration that Disadvantaged Business Enterprises participate in all Contracts. Each Contract will contain goals for Disadvantaged Business Enterprise participation on a contract-to-contract basis. A subcontracting goal of nine (9%) has been established for this procurement. All bidders must submit with their bid a fully executed copy of the Certified DBE Utilization and Fair Solicitation Affidavit (MDOT DBE FORM A) and DBE Participation Schedule (MDOT DBE FORM B). If the bidder fails to submit these completed forms with the bid as required, the procurement officer shall deem the bid non-responsive or shall determine that the offer is not reasonably susceptible of being selected for award. ALL DBE FIRMS MUST BE CERTIFIED BY THE MARYLAND DEPARTMENT OF TRANSPORTATION. NO OTHER CERTIFICATIONS WILL BE ACCEPTED.

D. New versions of Sections 13-103, 13-104 and 14-303 of the State Finance and Procurement Article of the Maryland Code, relating to increased bid/proposal documentation of DBE commitments, are effective as of October 1, 2004. The Contract under this solicitation will be awarded in accordance with these new requirements. As a result, new bid submission requirements, including certain revised DBE documents, are in effect for this solicitation. These new requirements are set forth elsewhere in this solicitation.

E. As a result of the revisions to Sections 13-103, 13-104 and 14-303, certain existing portions of the Code of Maryland Regulations (COMAR) relating to post bid/proposal submission of DBE subcontractors are inconsistent with the revised statute. To the extent the provisions of COMAR relating to post bid

T-1223-1740 NTC 12 of 12

identification of DBE subcontractors are inconsistent with the requirements of this solicitation, the requirements of this solicitation shall control the award of a Contract. Questions or concerns regarding the DBE requirements of this solicitation must be raised prior to the opening of bids or receipt of initial proposals

F. Effective on October 1, 2009, Minority Business Enterprise (MBE) firms may elect to be dually certification as woman-owned businesses and as members of an ethnic or racial category. For purposes of achieving any gender or ethnic/racial MBE participation sub-goals in a particular contract, an MBE firm that has dual certification may participate in the contract either as a woman- owned business or as a business owned by a member of a racial or ethnic minority group, but not both.

Maryland’s MBE/DBE Directory will reflect the dual certification status beginning October 1, 2009. You can access the MBE/DBE Directory at http://mbe.mdot.state.md.us. Firms with dual certification will now be listed as follows:

Example:

ABC Corporation, Inc. 123 Corporate Circle Hanover, MD 21076 Female/African American 00-000

16. AFFIRMATIVE ACTION REQUIREMENTS

Bidders on this Work will be required to comply with MTA Affirmative Action Requirements and all applicable Equal Employment Opportunity Laws and Regulations.

17. SUSPENSION AND DEBARMENT CERTIFICATION

All bidders will be required to certify that they are not on the GSA List of Parties Excluded from Procurement and the List of Contractors Suspended or Debarred from Contracting with the State of Maryland. All bidders must also be in good standing with the State Assessment & Taxation Department.

18. CONTRACTOR’S QUESTIONNAIRE

All Bidders shall submit a fully executed copy the Contractor’s Questionnaire Pre- Award Evaluation Data Form with the bid package.

T-1223-1740 NTC 12 of 12

20. INSURANCE REQUIREMENTS

The Administration has chosen to provide Workers’ Compensation, General Liability, Excess Liability, Builders Risk, Pollution Liability and Railroad Protective coverage on behalf of Contractors and subcontractors working on this project. This approach to project insurance is commonly called a wrap-up or owner-controlled insurance program (OCIP). Specific information regarding Liability Insurance Requirements is contained in the IFB.

Please note that an Insurance Cost Worksheet must be included with each bid package.

21. USE OF BIDDER’S OWN FORCES

The bidder with his own forces shall perform not less than fifty percent (50%) of the work at the project site.

22. PROTESTS/DISPUTES

Any protest or dispute related, respectively, to this solicitation or the resulting Contract shall be subject to the provisions of COMAR 21.10 (Administrative and Civil Remedies).

23. CANCELLATION OR REJECTION OF BIDS

The “Notice to Contractors” may be canceled in accordance with State Procurement Regulations. The State (Administration) reserves the right to cancel this IFB, or accept or reject any and all Bids, in whole or in part and/or waive technical defects if, in its judgment, the interests of the Administration so require.

T-1223-1740 NTC 12 of 12

STATE OF MARYLAND DEPARTMENT OF TRANSPORTATION MARYLAND TRANSIT ADMINISTRATION BID FORM FOR CONTRACT NO.: T-1223-1470

TO: MARYLAND TRANSIT ADMINISTRATION BID OPENING DATE: ATTN: PROCUREMENT DIVISION September 26, 2019 6 SAINT PAUL STREET, 7TH FLOOR BID OPENING TIME: BALTIMORE, MD 21202-1614 1:00 PM

BID OF: (Bidder’s Name)

PROJECT DESCRIPTION:

1. This bid is hereby submitted to the Maryland Transit Administration (hereinafter sometimes called the “Administration”) in response to NOTICE TO CONTRACTORS dated .

2. The UNDERSIGNED has thoroughly examined, acknowledges receipt of, and is familiar with the Contract Documents as well as the various instructions, information, and requirements covering the same, all as mentioned herein and in said NOTICE TO CONTRACTORS.

3. In compliance with said NOTICE TO CONTRACTORS the UNDERSIGNED hereby proposes to furnish all labor, equipment, and materials and perform all work described and in strict accordance with the provisions of the Contract Documents for the consideration of the amounts, lump sum and unit prices listed in the attached Unit Price Schedule, and agrees that, upon Notice of Award, within one hundred eighty(180) calendar days after the date of opening of bids, unless mutually extended, he will within ten (10) calendar days after receipt of the prescribed forms, execute the Contract and furnish a performance bond and payment bond (if such bonds are required by the Contract Documents) on forms furnished by the Administration with good and sufficient surety or sureties.

4. The UNDERSIGNED agrees and understands that the time of completion is as specified in the Special Provisions, unless the completion dates are extended as provided for in the Contract Documents.

5. The UNDERSIGNED agrees to pay liquidated damages in the amount specified in the Special Provisions for each and every calendar day after the completion date that the work remains incomplete unless an extension is granted as provided for in the Contract Documents.

6. The UNDERSIGNED hereby certifies that the (Bidder’s Name) / / is, / / is not (CHECK ONE) included on the GSA list of Parties Excluded from Procurement. AND

T-1223-1740 BF 1 of 11 The UNDERSIGNED hereby certifies that the (Bidder’s Name) / / is, / / is not (CHECK ONE) included on the List of Contractors Suspended or Debarred from Contracting with the State of Maryland.

7. The UNDERSIGNED, as the Contractor, will perform on the Site, with its own organization, percent ( %) of the total amount of work to be performed under this contract.

8. PARENT COMPANY

a, The UNDERSIGNED represents that it / / is, / / is not, (CHECK ONE) owned or controlled by a parent company. For this purpose a parent company is defined as one which either owns or controls the activities and basic business policies of the UNDERSIGNED. To own another company means the parent company must own at least a majority (more than 50 percent) of the voting rights in that company. To control another company such ownership is not required; if another company is able to formulate, determine or veto basic business policy decisions of the bidder, such other company is considered the parent of the bidder. This control may be exercised through the use of dominant minority voting rights, use of proxy voting, contractual arrangements, or otherwise.

b. If UNDERSIGNED is owned or controlled by a parent company, insert in the space below the name and main office address of the parent company

Name

Address

City, State Zip

9. ARREARAGES

By submitting a response to this solicitation, the undersigned shall be deemed to represent that it is not in arrears in the payment of any obligations due and owing the State of Maryland, including the payment of taxes and employee benefits, and that it shall not become so arrears during the term of the contract if selected for contract award.

10. CERTIFICATION OF NON-MARYLAND CORPORATION (FOREIGN CORPORATION)

a. A corporation not incorporated in the State of Maryland is considered to be a foreign corporation and, therefore, is required to be registered with the Maryland State Department of Assessment and Taxation if awarded this contract.

b. Where a foreign corporation is currently registered with the Department of Assessments and Taxation, such a bidder shall submit with his bid a copy of the

T-1223-1740 BF 2 of 11 department's certification of his registration or qualification acknowledgment.

c. If a foreign corporation is not currently registered, such a bidder shall submit with his bid his certification that, if notified of his apparent award of the contract, he will register with the Maryland State Department of Assessments and Taxation and provide a copy of the department's certification of his registration or qualification acknowledgment along with the executed contract.

11. The Contractor shall, prior to the time of execution of the contract, obtain all applicable licenses and comply with all applicable laws and regulations in the Annotated Code of Maryland.

12. All bidders must submit with their bid the following documents fully executed.

a. Bid Bond in the Amount of $ Or 5% of the bid price (if applicable). or Individual Surety Bid Bond in the Amount of $______Or 5% of the bid price (if applicable) and a executed Affidavit of Individual Surety (Attachment A) & Surety Affidavit (Attachment B).

b. Contractor’s Questionnaire Pre-Award Evaluation Data

c. Bid/Proposal Affidavit.

d. Buy America Certificate—# 12 of the Federal Clauses

e. Certification Regarding Lobbying--#13 of the Federal Clauses

f. MDOT DBE Form A, “Certified DBE Utilization and Fair Solicitation Affidavit”.

g. MDOT DBE Form B, “DBE Participation Schedule”.

h. Signed copy of the Cover Letter for each Addendum issued by MTA.

i. Completed Insurance Cost Worksheet

j. Certification Regarding Investment in Iran

k. Location of Performance Disclosure

l. Mercury Affidavit

m. Conflict of Interest Affidavit

T-1223-1740 BF 3 o f 11 CONTRACT NO. T-1223-1740 BID FORM

Estimate Item Section Description of Unit Unit Price Total Price Quantity 01 01130 Mobilization 1 LS $ 520,000.00 $ 520,000.00 02 01210 Miscellaneous Work Allowance 1 ALL $ 500,000.00 $ 500,000.00 03 01450 Quality Assurance and Quality Control 1 ALL $ 200,000.00 $ 200,000.00 04 01524 Supplies and Cleaning for Engineer’s Field Offices at Milford Mill Station, Charles Center Station and State Center Station 1 ALL $ 45,000.00 $ 45,000.00 05 01524 Access Control Services at Charles Center Station 35 CD $ $ 06 01524 Access Control Services at State Center Station 49 CD $ $ 07 02220 Removal of No. 8 Double Crossover At State Center 1 LS $ $ 08 02220 Removal of State Center Rubber Support Pads and Cellular Rubber Pads 1 LS $ $ 09 02220 Removal of State Center Track Concrete 1 LS $ $ 10 02220 Removal of State Center Continuous Grout Pads 1 LS $ $ 11 02220 Removal of Two-Block Concrete Tie Assembly at State Center 33 EA $ $ 12 02220 Removal of Crosswalks at State Center 1 LS $ $ 13 02220 Protection of Drainage Inlet Grate at State Center 6 EA $ $ 14 02221 Removal of Special Trackwork Steel and Adjacent Rails – Charles Center 1 LS $ $

BF 4 of 11 CONTRACT NO. T-1223-1740 BID FORM

Estimate Item Section Description of Unit Unit Price Total Price Quantity 15 02221 Protection of Drainage Inlet or Manhole Grate – Charles Center 10 EA $ $ 16 02221 Removal of Direct Fixation Fasteners of Various Types – Charles Center 1 LS $ $ 17 02221 Removal of Contact Rail System – Charles Center 1 LS $ $ 18 02415 Drainage Grate – State Center 4 EA $ $ 19 02821 Temporary Track Safety Fence – Phase 1 175 LF $ $ 20 02821 Temporary Track Safety Fence – Phase 2 175 LF $ $ 21 02821 Temporary Track Safety Fence – Phase 3 156 LF $ $ 22 02821 Temporary Track Safety Fence – Phase 4 156 LF $ $ 23 02821 Temporary Platform Barrier – Phase 1 480 LF $ $ 24 02821 Temporary Platform Barrier – Phase 2 480 LF $ $ 25 02821 Temporary Platform Barrier – Phase 3 450 LF $ $ 26 02821 Temporary Platform Barrier – Phase 4 450 LF $ $ 27 03300 Cast-in-Place Concrete – State Center 198 CY $ $ 28 03930 Concrete Crack Repair Type A – Charles Center 258 LF $ $ 29 03930 Concrete Spall Repair Type B – Charles Center 2 CF $ $ 30 03930 Concrete Hollow Area Repair Type C – Charles Center 81 SF $ $

BF 5 of 11 CONTRACT NO. T-1223-1740 BID FORM

Estimate Item Section Description of Unit Unit Price Total Price Quantity 31 03930 Concrete Plinth Replacement – Charles Center 8 EA $ $ 32 05655 State Center Crosswalk Materials and Installation 4 EA $ $ 33 05656 Portable Derail, Left- Hand – Charles Center 2 EA $ $ 34 05656 Portable Derail, Right- Hand – Charles Center 2 EA $ $ 35 05656 Remove, Repair and Reinstall Crosswalk – Charles Center 4 EA $ $ 36 05683 Installation of No. 8 Double Crossover, 37 Feet Track Centers, Direct Fixation – Charles Center 1 LS $ $ 37 05683 Anchor Insert Replacement at Direct Fixation Fastener – Charles Center 225 EA $ $ 38 05684 Installation of State Center No. 8 Double Crossover, 37 Feet Track Centers, High Resilience Direct Fixation 1 LS $ $ 39 05684 Installation of Two-Block Concrete Tie Assembly at State Center 33 EA $ $ 40 05692 Removal and Replacement of Contact Rail System at State Center 1100 LF $ $ 41 05693 5/8 Inch-Diameter Embedded Stud – Charles Center 72 EA $ $

BF 6 of 11 CONTRACT NO. T-1223-1740 BID FORM

Estimate Item Section Description of Unit Unit Price Total Price Quantity 42 05693 3/4 Inch-Diameter Embedded Stud – Charles Center 48 EA $ $ 43 05693 Contact Rail Support Plate Assembly – Charles Center 20 EA $ $ 44 05693 Installation of Contact Rail System – Charles Center 949 LF $ $ 45 05693 Contact Rail Grout Pad – Charles Center 36 EA $ $ 46 16126 Traction Power Running Rail and Contact Rail Cable Connections – State Center 1 LS $ $ 47 16127 Traction Power Contact Rail Cable Connections – Charles Center 1 LS $ $ 48 16647 Track-to-Earth Resistance Testing – State Center 1 LS $ $ 49 16647 Track-to-Earth Resistance Testing – Charles Center 1 LS $ $ 50 16648 Contact Rail-to-Earth Resistance Testing – State Center 1 LS $ $ 51 16648 Contact Rail-to-Earth Resistance Testing – Charles Center 1 LS $ $ 52 17016 Signal System Requirements – State Center 1 LS $ $ 53 17017 Signal System Requirements – Charles Center 1 LS $ $ 54 17018 Switch and Lock Movement Layouts – Charles Center 1 LS $ $

BF 7 of 11 CONTRACT NO. T-1223-1740 BID FORM

Estimate Item Section Description of Unit Unit Price Total Price Quantity 55 17018 Switch and Lock Movement Layouts – State Center 1 LS $ $

Basis of Award: Total amount of items 01 thru 55 $ (figure)

(words)

56 Insurance Premium (Contingency) LS LS LS $ This amount will only be added to the base bid in the event that the bidder is excluded from the wrap-up insurance program or the program is terminated mid-term. The Insurance Premium Worksheet must be attached to the bid.

Abbreviations: ALL Allowance CD Calendar Day CF Cubic Foot CY Cubic Yard EA Each LF Linear Foot LS Lump Sum SF Square Foot

BF 8 of 11 CONTRACT NO. T-1223-1740 BID FORM

A. CORPORATION BID: FEIN:

Name of Corporation

State in which Incorporated

Business Address

Telephone Number / Fax Number

ATTEST: By:

Secretary President or Vice President

Print Name Print Name

B. PARTNERSHIP BID: FEIN:

Name of Partnership

Business Address

Telephone Number / Fax Number

Names of each Partner:

Witness: By:

Signature Signature

T-1223-1740 BF 9 of 11 Print Name Print Name

C. INDIVIDUAL BID: S.S. No.:

Name

Business Address

Telephone Number / Fax Number

Witness: By:

Signature

Print Name Print Name

D. JOINT VENTURE FEIN:

Name of Corporation

State in which Incorporated

Business Address

Telephone Number / Fax Number

ATTEST By:

Secretary President or Vice President

Print Name Print Names

FEIN:

Name of Corporation

State in which Incorporated

T-1223-1740 BF 10 of 11 Business Address

Telephone Number / Fax Number

ATTEST: By:

Secretary President or Vice President

Print Name Print Name

FEIN:

Name of Corporation

State in which Incorporated

Business Address

Telephone Number / Fax Number

ATTEST: By:

Secretary President or Vice President

Print Name Print Name

A Joint Venture doing business as

* Each member of the Joint Venture must execute the Bid Form. A Corporate Officer must sign for each member of the joint venture. In the event that a Corporate Officer (President or Vice President) does not sign the Bid Form, a Power of Execution or Power of Attorney, must be submitted with the Bid Forms.

T-1223-1740 BF 11 of 11

Attachment A AFFIDAVIT OF INDIVIDUAL SURETY (See instructions on reverse) (Type or print all answers)

County: State:

Social Security Number:

I, the undersigned, being duly sworn, depose and say that I am: (1) the surety to the attached bond(s); (2) a citizen of the United States; and of full age and legally competent. I also depose and say that, concerning any stocks or bonds included in the assets listed below, that there are no restrictions on the resale of these securities pursuant to the registration provisions of Section 5 of the Securities Act of 1933. I recognize that statements contained herein concern a matter within the jurisdiction of an agency of the State of Maryland and the making of a false, fictitious or fraudulent statement may render the maker subject to prosecution under the Criminal Law Article, §9-101, Annotated Code of Maryland and the State Finance and Procurement Article, §11-205.1, Annotated Code of Maryland. This affidavit is made to induce the State of Maryland to accept me as surety on the attached bond.

Name (First, Middle, Last)

Home Address (Number, Street, City, State, Zip)

Type and Duration of Occupation

Name of Employer (if self-employed, so state)

Address of Employer

Name and Address of Individual Surety Broker Used (If any)

(Number, Street, City, State, Zip)

Telephone Number (Home) (Office)

T-1223-1740 AIS Page 1 of 5

The following is a true representation of the assets I have pledged to the State of Maryland in support of the attached Bond: (a) Real estate (Include a legal description, street address and other identifying description; the market value: attach supporting certified documents including recorded lien; evidence of title and the current tax assessment of the property. For market value approach, also provide a current appraisal.)

(b) Assets other than real estate (describe the assets, the details of the escrow account, and attach certified evidence thereof).

Identify all mortgages, liens, judgments or any other encumbrances involving subject assets including real estate taxes due and payable.

Identify all bonds, including bid guarantees for which the subject assets have been pledged within 3 years prior to the date of execution of this Affidavit.

SIGNATURE OF SURETY

BOND AND CONTRACT TO WHICH THIS AFFIDAVIT RELATES (Where appropriate):

Subscribed and sworn to before me, this day of , 20 .

Signature Printed/Typed Name

My commission expires: NOTARY PUBLIC [Seal] , 20

T-1223-1740 AIS Page 2 of 5

DOCUMENTATION OF THE PLEDGED ASSETS MUST BE ATTACHED INSTRUCTIONS Individual sureties on bonds executed in connection with State contracts must complete and submit this form with the bond. The surety must have the completed form notarized.

No corporation, partnership, or other unincorporated association or firm, as such, is acceptable as an individual surety. Likewise, members of a partnership are not acceptable as sureties on bonds that a partnership or an association, or any co- partner or member thereof, is the principal obligor. However, stockholders of corporate principals are acceptable provided their qualifications are independent of the stockholder’s financial interest therein. An individual surety will not include any financial interest in assets connected with the principal on the bond that this affidavit supports.

United State citizenship is a requirement for individual sureties for contracts and bonds.

All signatures of the affidavit submitted must be originals. Affidavits bearing reproduced signatures are not acceptable. An authorized person must sign the bond. Any person signing in a representative capacity (e.g. an attorney-in-fact) must furnish evidence of authority if that representative is not a member of a firm, partnership, or joint venture, or an officer of the corporation involved.

T-1223-1740 AIS Page 3 of 5

Attachment B SURETY AFFIDAVIT Appendix

A. AUTHORIZED REPRESENTATIVE

I HEREBY AFFIRM THAT:

I am the surety to the attached bond(s) and that I possess the legal authority to make this Affidavit.

B. AFFIRMATION REGARDING BRIBERY CONVICTIONS

I FURTHER AFFIRM THAT:

I have not been convicted of, or had probation before judgment imposed pursuant to Criminal Procedure Article, §6-220, Annotated Code of Maryland, or have pleaded nolo contendere to a charge of, bribery, attempted bribery, or conspiracy to bribe in violation of Maryland law, or of the law of any other state or federal law, except as follows (indicate the reasons why the affirmation cannot be given and list any conviction, plea, or imposition of probation before judgment with the date, court, official or administrative body, and the sentence or disposition):

C. AFFIRMATION REGARDING OTHER CONVICTIONS

I FURTHER AFFIRM THAT:

I have not:

(1) Been convicted under state or federal statute of: (a) a criminal offense incident to obtaining, attempting to obtain, or performing a public or private contract; or (b) fraud, embezzlement, theft, forgery, falsification or destruction of records, or receiving stolen property; (2) Been convicted of any criminal violation of a state or federal antitrust statute; (3) Been convicted under the provisions of Title 18 of the United States Code for violation of the Racketeer Influenced and Corrupt Organization Act, 18 U.S.C. §1961, et seq., or the Mail Fraud Act, 18 U.S.C. §1341, et seq., for acts in connection with the submission of bids or proposals for a public or private contract; (4) Been convicted of a violation of the State Minority Business Enterprise Law, §14-308 of the State Finance and Procurement Article of the Annotated Code of Maryland; (5) Been convicted of a violation of the §11-205.1 of the State Finance and Procurement Article of the Annotated Code of Maryland;

T-1223-1740 AIS Page 4 of 5

(6) Been convicted of conspiracy to commit any act or omission that would constitute grounds for conviction or liability under any law or statute described in subsection (1) through (5) above; (7) Been found civilly liable under a state or federal antitrust statute for acts or omissions in connection with the submission of bids or proposals for a public or private contract; or (8) Admitted in writing or under oath, during the course of an official investigation or other proceedings, acts or omissions that would constitute grounds for conviction or liability under any law or statute described in §B and subsections (1) through (7) above, except as follows (indicate reasons why the affirmations cannot be given, and list any conviction, plea, or imposition of probation before judgment with the date, court, official or administrative body, the sentence or disposition, the name(s) of the person(s) involved and their current positions and responsibilities with the business, and the status of any debarment):

D. AFFIRMATION REGARDING DEBARMENT

I FURTHER AFFIRM THAT:

I have not been suspended or debarred (including being issued a limited denial of participation) by any public entity, except as follows (list each debarment or suspension providing the dates of the suspension or debarment, the name of the public entity and the status of the proceedings, the grounds of the debarment or suspension, and the details of the activity that formed the grounds of the debarment or suspension):

T-1223-1740 AIS Page 5 of 5

STATE OF MARYLAND DEPARTMENT OF TRANSPORTATION MARYLAND TRANSIT ADMINISTRATION CONTRACTORS QUESTIONNAIRE PRE-AWARD EVALUATION DATA

IMPORTANT

This questionnaire is intended as a basis of establishing the qualifications of contractors for undertaking Construction, Maintenance and Repair Work under the jurisdiction of the Maryland Transit Administration.

THIS QUESTIONNAIRE FORM IS A PART OF THE CONTRACTOR’S BID AND FAILURE TO SUBMIT IT MAY BE THE BASIS FOR REJECTION OF A BID. ANSWERS TO THE QUESTIONNAIRE WILL BE VERIFIED BY THE MARYLAND TRANSIT ADMINISTRATION AND IF FALSE STATEMENTS ARE MADE, THE MARYLAND TRANSIT ADMINISTRATION RESERVES THE RIGHT TO DISQUALIFY THE CONTRACTOR.

I. General

(a) Legal Title and Address of Organization ______

(b) Contractor’s Local Representative’s Name, Title and Address ______

(d) Date your Firm was organized or started:

(e) Federal I.D. No. ______

(f) If a Corporation, state: Capital Paid in Cash: $______Date of Incorporation: ______State in which Incorporated: ______

(g) Other than persons listed above, number of full-time office employees: ______

(h) Number of full-time permanent field employees:______

(i) Subsidiary of another company? Yes _____ No _____

Contract No. T-1223-1740 CQ 1 OF 6 1. Parent Company Name and Federal I.D. No.: 2. Sister Company in related business? Yes _____ No _____ 3. Sister Company Name and Federal I.D. No.:

(j) In what States, if any, are you licensed to do business?

1. License Number in each State in which you are licensed to do business:

(k) Names of officers, owners, partners and principals. Identify relationship of each to firm, extent of activity in firm and projected involvement of each on this contract:

II. If yes to any of the following questions, please attach a brief explanation and include the names, addresses and phone numbers of the person who may be contacted for additional information.

(a) Are there any claims, judgments, arbitration proceedings or suits pending against your organization? Yes___ No___

(b) Within the last five years, has your organization ever filed any law suit or requested arbitration related to a construction contract? Yes___ No___

(d) Has your organization ever been adjudged a bankruptcy or filed a petition in bankruptcy? Yes___ No___

(e) In the last five years has your organization been assessed liquidated damages for failure to complete a project by the contracted date? Yes___ No__

(f) Have any Performance or Payment Bond claims ever been paid by any surety on behalf of your organization? Yes___ No___

(g) Does your organization have a Quality Control Program? Yes ___No___

(h) Is a copy of this program available upon request? Yes ____ No___ (i) Has your organization ever been barred from performing work for any Federal, State or other governmental agency? Yes ____ No ___

(j) Is any member of your organization employed by the State of Maryland, a member of any State institutional board, management board or board of trustees, or in any way officially connected with the government of the State of Maryland? Yes ____ No ____

Contract No. T-1223-1740 CQ 2 OF 6 (k) Has your organization or any of its directors, officers, partners or supervisory personnel ever been indicated and/or found guilty for criminal action relating in any way to the conduct of your organization’s business? Yes ____ No ____

III. Financial

(a) Enclose your most recent audited financial statement. If, and only if, you do not have an audited financial statement, enclose your most recent Federal tax return and unaudited financial statement.

(b) Who is your bonding Company?

(d) Has your bonding company changed in the past three years? If yes, why?

(e) What is the total bonding capacity of your firm?

(f) What is your current bond amount in use?

(g) What is the maximum you have bonded on any single project?

(h) What is your policy on bonding subcontractors?

(i) Do you have any outstanding claims from any subcontractors?

(j) Within the past five years, has any bonding company refused to write you a bond on any construction work? If yes, explain.

IV. Experience

(a) Indicate type of Contracting undertaken by your organization and years of experience:

General ______years Sub______years Type______years Type ______years

(b) State construction experience of principal members of your organization: Enclose resumes of all key personnel who may staff this project.

Contract No. T-1223-1740 CQ 3 OF 6 Construction Experience

Name and Title Construction Type of Work In what capacity? (Vice Pres., Mgr., etc.) Experience (Such as Hospitals, Apts, Etc.) (Foreman, Supt., etc.) (Years)

(c) List at least four (4) references of projects completed by your organization that are similar in size and scope to the work of this solicitation:

Provide a contact to verify each reference. This name and information must be current and available for contact from the MDOT MTA.

Name:______Title:______Company Name:______Project:______Size and description of Project:______Amount of work completed by your company:______Date that of the project:______

Contract No. T-1223-1740 CQ 4 OF 6

Name:______Title:______Company Name:______Project:______Size and description of Project:______Amount of work completed by your company:______Date that of the project:______

(d) If you are a General Contractor, list some sub contractors in various fields who have worked under you:______

(e) If you are a Sub-Contractor, list some General Contractors for whom you have worked: ______

Contract No. T-1223-1740 CQ 5 OF 6 V. Safety

(a) Does your organization have a written Safety program? Yes ___ No ___

(b) Is a copy of this program available upon request? Yes ___ No ___

(c) Within the past ten years, has your organization received any order for violations from the United States Occupational Safety and Health Administration (OSHA) or the Maryland Occupation Safety and Health Administration? Yes ___ No ___ If yes, explain. ______

The above statements are certified to be true and accurate.

Dated at ______this ______day of ______, 20__.

By: ______

______(Title of Person signing)

______(Name of Organization)

State of ______

County (City) of______:

On this ______day of ______, 20____, before me, ______, the undersigned officer, personally appeared and acknowledged that he (she) executed the foregoing Contractor’s Questionnaire in the capacity therein stated and for the purpose therein contained.

In witness whereof, I hereunto set my hand and official seal.

______Notary Public (SEAL)

My commission expires: ______

Contract No. T-1223-1740 CQ 6 OF 6

Bid/Proposal Affidavit

A. AUTHORITY I hereby affirm that I, (name of affiant) am the

(title) and duly authorized representative of (name of business entity) and that I possess the legal authority to make this affidavit on behalf of the business for which I am acting. B. CERTIFICATION REGARDING COMMERCIAL NONDISCRIMINATION The undersigned Bidder/Offeror hereby certifies and agrees that the following information is correct: In preparing its Bid/proposal on this project, the Bidder/Offeror has considered all Bid/proposals submitted from qualified, potential subcontractors and suppliers, and has not engaged in “discrimination” as defined in § 19-103 of the State Finance and Procurement Article of the Annotated Code of Maryland. “Discrimination” means any disadvantage, difference, distinction, or preference in the solicitation, selection, hiring, or commercial treatment of a vendor, subcontractor, or commercial customer on the basis of race, color, religion, ancestry, or national origin, sex, age, marital status, sexual orientation, sexual identity, genetic information or an individual’s refusal to submit to a genetic test or make available the results of a genetic test, disability, or any otherwise unlawful use of characteristics regarding the vendor’s, supplier’s, or commercial customer’s employees or owners. “Discrimination” also includes retaliating against any person or other entity for reporting any incident of “discrimination”. Without limiting any other provision of the solicitation on this project, it is understood that, if the certification is false, such false certification constitutes grounds for the State to reject the Bid/proposal submitted by the Bidder/Offeror on this project, and terminate any contract awarded based on the Bid/proposal. As part of its Bid/proposal, the Bidder/Offeror herewith submits a list of all instances within the past four (4) years where there has been a final adjudicated determination in a legal or administrative proceeding in the State of Maryland that the Bidder/Offeror discriminated against subcontractors, vendors, suppliers, or commercial customers, and a description of the status or resolution of that determination, including any remedial action taken. Bidder/Offeror agrees to comply in all respects with the State’s Commercial Nondiscrimination Policy as described under Title 19 of the State Finance and Procurement Article of the Annotated Code of Maryland. B-1. CERTIFICATION REGARDING MINORITY BUSINESS ENTERPRISES. The undersigned Bidder/Offeror hereby certifies and agrees that it has fully complied with the State Minority Business Enterprise Law, State Finance and Procurement Article, § 14-308(a)(2), Annotated Code of Maryland, which provides that, except as otherwise provided by law, a contractor may not identify a certified minority business enterprise in a Bid/proposal and: (1) Fail to request, receive, or otherwise obtain authorization from the certified minority business enterprise to identify the certified minority bid/proposal; (2) Fail to notify the certified minority business enterprise before execution of the contract of its inclusion in the Bid/proposal; (3) Fail to use the certified minority business enterprise in the performance of the contract; or (4) Pay the certified minority business enterprise solely for the use of its name in the Bid/proposal. Without limiting any other provision of the solicitation on this project, it is understood that if the certification is false, such false certification constitutes grounds for the State to reject the T-1223-1740 Bid Affidavit Page 1 of 7

Bid/proposal submitted by the Bidder/Offeror on this project, and terminate any contract awarded based on the Bid/proposal. B-2. CERTIFICATION REGARDING VETERAN-OWNED SMALL BUSINESS ENTERPRISES. The undersigned Bidder/Offeror hereby certifies and agrees that it has fully complied with the State veteran-owned small business enterprise law, State Finance and Procurement Article, § 14-605, Annotated Code of Maryland, which provides that a person may not: (1) Knowingly and with intent to defraud, fraudulently obtain, attempt to obtain, or aid another person in fraudulently obtaining or attempting to obtain public money, procurement contracts, or funds expended under a procurement contract to which the person is not entitled under this title; (2) Knowingly and with intent to defraud, fraudulently represent participation of a veteran-owned small business enterprise in order to obtain or retain a Bid/proposal preference or a procurement contract; (3) Willfully and knowingly make or subscribe to any statement, declaration, or other document that is fraudulent or false as to any material matter, whether or not that falsity or fraud is committed with the knowledge or consent of the person authorized or required to present the declaration, statement, or document; (4) Willfully and knowingly aid, assist in, procure, counsel, or advise the preparation or presentation of a declaration, statement, or other document that is fraudulent or false as to any material matter, regardless of whether that falsity or fraud is committed with the knowledge or consent of the person authorized or required to present the declaration, statement, or document; (5) Willfully and knowingly fail to file any declaration or notice with the unit that is required by COMAR 21.11.13; or (6) Establish, knowingly aid in the establishment of, or exercise control over a business found to have violated a provision of § B-2(1) -(5) of this regulation. C. AFFIRMATION REGARDING BRIBERY CONVICTIONS I FURTHER AFFIRM THAT: Neither I, nor to the best of my knowledge, information, and belief, the above business (as is defined in Section 16-101(b) of the State Finance and Procurement Article of the Annotated Code of Maryland), or any of its officers, directors, partners, controlling stockholders, or any of its employees directly involved in the business’s contracting activities including obtaining or performing contracts with public bodies has been convicted of, or has had probation before judgment imposed pursuant to Criminal Procedure Article, § 6-220, Annotated Code of Maryland, or has pleaded nolo contendere to a charge of, bribery, attempted bribery, or conspiracy to bribe in violation of Maryland law, or of the law of any other state or federal law, except as follows (indicate the reasons why the affirmation cannot be given and list any conviction, plea, or imposition of probation before judgment with the date, court, official or administrative body, the sentence or disposition, the name(s) of person(s) involved, and their current positions and responsibilities with the business):

T-1223-1740 Bid Affidavit Page 2 of 7

D. AFFIRMATION REGARDING OTHER CONVICTIONS I FURTHER AFFIRM THAT: Neither I, nor to the best of my knowledge, information, and belief, the above business, or any of its officers, directors, partners, controlling stockholders, or any of its employees directly involved in the business’s contracting activities including obtaining or performing contracts with public bodies, has: (1) Been convicted under state or federal statute of: (a) A criminal offense incident to obtaining, attempting to obtain, or performing a public or private contract; or (b) Fraud, embezzlement, theft, forgery, falsification or destruction of records or receiving stolen property; (2) Been convicted of any criminal violation of a state or federal antitrust statute; (3) Been convicted under the provisions of Title 18 of the United States Code for violation of the Racketeer Influenced and Corrupt Organization Act, 18 U.S.C. § 1961 et seq., or the Mail Fraud Act, 18 U.S.C. § 1341 et seq., for acts in connection with the submission of Bids/Proposals for a public or private contract; (4) Been convicted of a violation of the State Minority Business Enterprise Law, § 14-308 of the State Finance and Procurement Article of the Annotated Code of Maryland; (5) Been convicted of a violation of § 11-205.1 of the State Finance and Procurement Article of the Annotated Code of Maryland; (6) Been convicted of conspiracy to commit any act or omission that would constitute grounds for conviction or liability under any law or statute described in subsections (1)— (5) above; (7) Been found civilly liable under a state or federal antitrust statute for acts or omissions in connection with the submission of Bids/Proposals for a public or private contract; (8) Been found in a final adjudicated decision to have violated the Commercial Nondiscrimination Policy under Title 19 of the State Finance and Procurement Article of the Annotated Code of Maryland with regard to a public or private contract; (9) Been convicted of a violation of one or more of the following provisions of the Internal Revenue Code: (a) §7201, Attempt to Evade or Defeat Tax; (b) §7203, Willful Failure to File Return, Supply Information, or Pay Tax, (c) §7205, Fraudulent Withholding Exemption Certificate or Failure to Supply Information; (d) §7206, Fraud and False Statements, or (e) §7207 Fraudulent Returns, Statements, or Other Documents; (10) Been convicted of a violation of 18 U.S.C. §286 Conspiracy to Defraud the Government with Respect to Claims, 18 U.S.C. §287, False, Fictitious, or Fraudulent Claims, or 18 U.S.C. §371, Conspiracy to Defraud the United States; (11) Been convicted of a violation of the Tax-General Article, Title 13, Subtitle 7 or Subtitle 10, Annotated Code of Maryland; (12) Been found to have willfully or knowingly violated State Prevailing Wage Laws as provided in the State Finance and Procurement Article, Title 17, Subtitle 2, Annotated Code of Maryland, if:

T-1223-1740 Bid Affidavit Page 3 of 7

(a) A court: (i) Made the finding; and (ii) Decision became final; or (b) The finding was: (i) Made in a contested case under the Maryland Administrative Procedure act; and (ii) Not overturned on judicial review; (13) Been found to have willfully or knowingly violated State Living Wage Laws as provided in the State Finance and Procurement Article, Title 18, Annotated Code of Maryland, if: (a) A court: (i) Made the finding; and (ii) Decision became final; or (b) The finding was: (i) Made in a contested case under the Maryland Administrative Procedure act; and (ii) Not overturned on judicial review; (14) Been found to have willfully or knowingly violated the Labor and Employment Article, Title 3, Subtitles 3, 4, or 5, or Title 5, Annotated Code of Maryland, if: (a) A court: (i) Made the finding; and (ii) Decision became final; or (b) The finding was: (i) Made in a contested case under the Maryland Administrative Procedure act; and (ii) Not overturned on judicial review; or (15) Admitted in writing or under oath, during the course of an official investigation or other proceedings, acts or omissions that would constitute grounds for conviction or liability under any law or statute described in §§ B and C and subsections D(1)—(14) above, except as follows (indicate reasons why the affirmations cannot be given, and list any conviction, plea, or imposition of probation before judgment with the date, court, official or administrative body, the sentence or disposition, the name(s) of the person(s) involved and their current positions and responsibilities with the business, and the status of any debarment):

E. AFFIRMATION REGARDING DEBARMENT I FURTHER AFFIRM THAT: Neither I, nor to the best of my knowledge, information, and belief, the above business, or any of its officers, directors, partners, controlling stockholders, or any of its employees directly involved in the business’s contracting activities, including obtaining or performing contracts with public bodies, has ever been suspended or debarred (including being issued a limited denial of participation) by any public entity, except as follows (list each debarment or suspension providing the dates of the suspension or debarment, the name of the public entity and the status of the proceedings, the

T-1223-1740 Bid Affidavit Page 4 of 7

name(s) of the person(s) involved and their current positions and responsibilities with the business, the grounds of the debarment or suspension, and the details of each person’s involvement in any activity that formed the grounds of the debarment or suspension).

F. AFFIRMATION REGARDING DEBARMENT OF RELATED ENTITIES I FURTHER AFFIRM THAT: (1) The business was not established and does not operate in a manner designed to evade the application of or defeat the purpose of debarment pursuant to Sections 16-101, et seq., of the State Finance and Procurement Article of the Annotated Code of Maryland; and (2) The business is not a successor, assignee, subsidiary, or affiliate of a suspended or debarred business, except as follows (you must indicate the reasons why the affirmations cannot be given without qualification):

G. SUBCONTRACT AFFIRMATION I FURTHER AFFIRM THAT: Neither I, nor to the best of my knowledge, information, and belief, the above business, has knowingly entered into a contract with a public body under which a person debarred or suspended under Title 16 of the State Finance and Procurement Article of the Annotated Code of Maryland will provide, directly or indirectly, supplies, services, architectural services, construction related services, leases of real property, or construction. H. AFFIRMATION REGARDING COLLUSION I FURTHER AFFIRM THAT: Neither I, nor to the best of my knowledge, information, and belief, the above business has: (1) Agreed, conspired, connived, or colluded to produce a deceptive show of competition in the compilation of the accompanying Bid/proposal that is being submitted; or (2) In any manner, directly or indirectly, entered into any agreement of any kind to fix the Bid/proposal price of the Bidder/Offeror or of any competitor, or otherwise taken any action in restraint of free competitive bidding in connection with the contract for which the accompanying Bid/proposal is submitted. I. CERTIFICATION OF TAX PAYMENT I FURTHER AFFIRM THAT: Except as validly contested, the business has paid, or has arranged for payment of, all taxes due the State of Maryland and has filed all required returns and reports with the Comptroller of the Treasury, State Department of Assessments and Taxation, and Department of Labor, Licensing, and Regulation, as applicable, and will have paid all withholding taxes due the State of Maryland prior to final settlement. J. CONTINGENT FEES I FURTHER AFFIRM THAT:

T-1223-1740 Bid Affidavit Page 5 of 7

The business has not employed or retained any person, partnership, corporation, or other entity, other than a bona fide employee, bona fide agent, bona fide salesperson, or commercial selling agency working for the business, to solicit or secure the Contract, and that the business has not paid or agreed to pay any person, partnership, corporation, or other entity, other than a bona fide employee, bona fide agent, bona fide salesperson, or commercial selling agency, any fee or any other consideration contingent on the making of the Contract. K. CERTIFICATION REGARDING INVESTMENTS IN IRAN (1) The undersigned certifies that, in accordance with State Finance and Procurement Article, §17- 705, Annotated Code of Maryland: (a) It is not identified on the list created by the Board of Public Works as a person engaging in investment activities in Iran as described in State Finance and Procurement Article, §17-702, Annotated Code of Maryland; and (b) It is not engaging in investment activities in Iran as described in State Finance and Procurement Article, §17-702, Annotated Code of Maryland. (2) The undersigned is unable to make the above certification regarding its investment activities in Iran due to the following activities:

L. CONFLICT MINERALS ORIGINATED IN THE DEMOCRATIC REPUBLIC OF CONGO (FOR SUPPLIES AND SERVICES CONTRACTS) I FURTHER AFFIRM THAT: The business has complied with the provisions of State Finance and Procurement Article, §14-413, Annotated Code of Maryland governing proper disclosure of certain information regarding conflict minerals originating in the Democratic Republic of Congo or its neighboring countries as required by federal law. M. PROHIBITING DISCRIMINATORY BOYCOTTS OF ISRAEL I FURTHER AFFIRM THAT: In preparing its bid/proposal on this project, the Bidder/Offeror has considered all bid/proposals submitted from qualified, potential subcontractors and suppliers, and has not, in the solicitation, selection, or commercial treatment of any subcontractor, vendor, or supplier, refused to transact or terminated business activities, or taken other actions intended to limit commercial relations, with a person or entity on the basis of Israeli national origin, or residence or incorporation in Israel and its territories. The Bidder/Offeror also has not retaliated against any person or other entity for reporting such refusal, termination, or commercially limiting actions. Without limiting any other provision of the solicitation for bid/proposals for this project, it is understood and agreed that, if this certification is false, such false certification will constitute grounds for the State to reject the bid/proposal submitted by the Bidder/Offeror on this project, and terminate any contract awarded based on the bid/proposal. N. I FURTHER AFFIRM THAT: Any claims of environmental attributes made relating to a product or service included in the bid or bid/proposal are consistent with the Federal Trade Commission’s Guides for the Use of Environmental Marketing Claims as provided in 16 C.F.R. §260, that apply to claims about the environmental attributes of a product, package or service in connection with the marketing, offering for sale, or sale of such item or service.

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O. ACKNOWLEDGEMENT I ACKNOWLEDGE THAT this Affidavit is to be furnished to the Procurement Officer and may be distributed to units of: (1) the State of Maryland; (2) counties or other subdivisions of the State of Maryland; (3) other states; and (4) the federal government. I further acknowledge that this Affidavit is subject to applicable laws of the United States and the State of Maryland, both criminal and civil, and that nothing in this Affidavit or any contract resulting from the submission of this Bid/proposal shall be construed to supersede, amend, modify or waive, on behalf of the State of Maryland, or any unit of the State of Maryland having jurisdiction, the exercise of any statutory right or remedy conferred by the Constitution and the laws of Maryland with respect to any misrepresentation made or any violation of the obligations, terms and covenants undertaken by the above business with respect to (1) this Affidavit, (2) the contract, and (3) other Affidavits comprising part of the contract. I DO SOLEMNLY DECLARE AND AFFIRM UNDER THE PENALTIES OF PERJURY THAT THE CONTENTS OF THIS AFFIDAVIT ARE TRUE AND CORRECT TO THE BEST OF MY KNOWLEDGE, INFORMATION, AND BELIEF.

By:

Signature of Authorized Representative and Affiant Printed Name:

Printed Name of Authorized Representative and Affiant Title:

Title Date:

Date

T-1223-1740 Bid Affidavit Page 7 of 7

DISADVANTAGED BUSINESS ENTERPRISE FORMS

MDOT DBE FORM A FEDERALLY-FUNDED CONTRACTS CERTIFIED DBE UTILIZATION AND FAIR SOLICITATION AFFIDAVIT PAGE 1 OF 2

This affidavit must be included with the bid/ proposal. If the bidder/offeror fails to accurately complete and submit this affidavit as required, the bid shall be deemed not responsive or the proposal shall be deemed not susceptible of being selected for award.

In connection with the bid/proposal submitted in response to Solicitation No.T-1223-1740, I affirm the following:

1. DBE Participation (PLEASE CHECK ONLY ONE)

I have met the overall certified Disadvantaged Business Enterprise (DBE) participation goal of percent ( %). I agree that this percentage of the total dollar amount of the Contract for the DBE goal will be performed by certified DBE firms as set forth in the DBE Participation Schedule - Part 2 of the MDOT DBE Form B (Federally-Funded Contracts).

I conclude that I am unable to achieve the DBE participation goal. I hereby request a waiver, in whole or in part, of the goal. Within 10 business days of receiving notice that our firm is the apparent awardee or as requested by the Procurement Officer, I will submit a written waiver request and all required documentation in accordance with COMAR 21.11.03.11. For a partial waiver request, I agree that certified DBE firms will be used to accomplish the percentages of the total dollar amount of the Contract as set forth in the DBE Participation Schedule - Part 2 of the MDOT DBE Form B (Federally-Funded Contracts).

2. Additional DBE Documentation

I understand that if I am notified that I am the apparent awardee or as requested by the Procurement Officer, I must submit the following documentation within 10 business days of receiving such notice:

(a) Outreach Efforts Compliance Statement (MDOT DBE Form C – Federally-Funded Contracts); (b) Subcontractor Project Participation Statement (MDOT DBE Form D - Federally-Funded Contracts); (c) DBE Waiver Request documentation per COMAR 21.11.03.11 (if waiver was requested); and (d) Any other documentation required by the Procurement Officer to ascertain bidder’s responsibility/ offeror’s susceptibility of being selected for award in connection with the certified DBE participation goal.

I acknowledge that if I fail to return each completed document (in 2 (a) through (d)) within the required time, the Procurement Officer may determine that I am not responsible and therefore not eligible for contract award or not susceptible of being selected for award.

MDOT DBE FORM A FEDERALLY-FUNDED CONTRACTS CERTIFIED DBE UTILIZATION AND FAIR SOLICITATION AFFIDAVIT PAGE 2 OF 2

3. Information Provided to DBE firms

In the solicitation of subcontract quotations or offers, DBE firms were provided not less than the same information and amount of time to respond as were non-DBE firms.

4. Products and Services Provided by DBE firms

I hereby affirm that the DBEs are only providing those products and services for which they are MDOT certified.

I solemnly affirm under the penalties of perjury that the information in this affidavit is true to the best of my knowledge, information and belief.

Company Name Signature of Representative

Address Printed Name and Title

City, State and Zip Code Date

MDOT DBE FORM B FEDERALLY-FUNDED CONTRACTS DBE PARTICIPATION SCHEDULE

PART 1 – INSTRUCTIONS FOR DBE PARTICIPATION SCHEDULE

PARTS 2 AND 3 MUST BE INCLUDED WITH THE BID/PROPOSAL. IF THE BIDDER/OFFEROR FAILS TO ACCURATELY COMPLETE AND SUBMIT PART 2 WITH THE BID/PROPOSAL AS REQUIRED, THE BID SHALL BE DEEMED NOT RESPONSIVE OR THE PROPOSAL SHALL BE DEEMED NOT SUSCEPTIBLE OF BEING SELECTED FOR AWARD. PAGE 1 OF 2 *** STOP *** FORM INSTRUCTIONS PLEASE READ BEFORE COMPLETING THIS FORM

1. Please refer to the Maryland Department of Transportation (MDOT) DBE Directory at www.mdot.state.md.us to determine if a firm is certified for the appropriate North American Industry Classification System (“NAICS”) Code and the product/services description (specific product that a firm is certified to provide or specific areas of work that a firm is certified to perform). For more general information about NAICS, please visit www.naics.com. Only those specific products and/or services for which a firm is certified in the MDOT Directory can be used for purposes of achieving the DBE participation goal.

2. In order to be counted for purposes of achieving the DBE participation goal, the firm `must be certified for that specific NAICS (“DBE” for Federally-funded projects designation after NAICS Code). WARNING: If the firm’s NAICS Code is in graduated status, such services/products will not be counted for purposes of achieving the DBE participation goals. Graduated status is clearly identified in the MDOT Directory (such graduated codes are designated with the word graduated after the appropriate NAICS Code).

3. Examining the NAICS Code is the first step in determining whether a DBE firm is certified and eligible to receive DBE participation credit for the specific products/services to be supplied or performed under the contract. The second step is to determine whether a firm’s Products/Services Description in the DBE Directory includes the products to be supplied and/or services to be performed that are being used to achieve the DBE participation goal.

4. If you have any questions as to whether a firm is MDOT DBE certified, or if it is certified to perform specific services or provide specific products, please call MDOT’s Office of Minority Business Enterprise at 1-800-544-6056 or send an email to [email protected].

5. The Contractor’s subcontractors are considered second-tier subcontractors. Third-tier contracting used to meet a DBE goal is to be considered the exception and not the rule. The following two conditions must be met before MDOT, its Modal Administrations and the Maryland Transportation Authority may approve a third-tier contracting agreement: (a) the bidder/offeror must request in writing approval of each third-tier contract arrangement, and (b) the request must contain specifics as to why a third-tier contracting arrangement should be approved. These documents must be submitted with the bid/proposal in Part 2 of this DBE Participation Schedule.

6. For each DBE firm that is being used as supplier/wholesaler/regular dealer/broker/manufacturer, please follow these instructions for calculating the amount of the subcontract for purposes of achieving the DBE participation goal:

A. Is the firm certified as a broker of the products/supplies? If the answer is YES, please continue to Item C. If the answer is NO, please continue to Item B.

B. Is the firm certified as a supplier, wholesaler, regular dealer, or manufacturer of such products/supplies? If the answer is YES, continue to Item D. If the answer is NO, continue to Item C only if the DBE firm is certified to perform trucking/hauling services under NAICS Codes 484110, 484121, 484122, 484210, 484220 and 484230. If the answer is NO and the firm is not certified under these NAICS Codes, then no DBE participation credit will be given for the supply of these products.

C. For purposes of achieving the DBE participation goal, you may count only the amount of any reasonable fee that the DBE firm will receive for the provision of such products/supplies - not the total subcontract amount or the value (or a percentage thereof) of such products and/or supplies. For Column 3 of the DBE Participation Schedule, please divide the amount of any reasonable fee that the DBE firm will receive for the provision of such products/services by the total Contract value and insert the percentage in Line 3.1.

MDOT DBE FORM B FEDERALLY-FUNDED CONTRACTS DBE PARTICIPATION SCHEDULE

PART 1 – INSTRUCTIONS FOR DBE PARTICIPATION SCHEDULE PAGE 2 OF 2

D. Is the firm certified as a manufacturer (refer to the firm’s NAICS Code and specific description of products/services) of the products/supplies to be provided? If the answer is NO, please continue to Item E. If the answer is YES, for purposes of achieving the DBE participation goal, you may count the total amount of the subcontract. For Column 3 of the DBE Participation Schedule, please divide the total amount of the subcontract by the total Contract value and insert the percentage in Line 3.1.

E. Is the firm certified as a supplier, wholesaler and/or regular dealer? If the answer is YES and the DBE firm is furnishing and installing the materials and is certified to perform these services, please divide the total subcontract amount (including full value of supplies) by the total Contract value and insert the percentage in Line 3.1. If the answer is YES and the DBE firm is only being used as a supplier, wholesaler and/or regular dealer or is not certified to install the supplies/materials, for purposes of achieving the DBE participation goal, you may only count sixty percent (60%) of the value of the subcontract for these supplies/products (60% Rule). To apply the 60% Rule, first divide the amount of the subcontract for these supplies/products only (not installation) by the total Contract value. Then, multiply the result by sixty percent (60%) and insert the percentage in Line 3.2.

7. For each DBE firm that is not being used as a supplier/wholesaler/regular dealer/broker/manufacturer, to calculate the amount of the subcontract for purposes of achieving the DBE participation goal, divide the total amount of the subcontract by the total Contract value and insert the percentage in Line 3.1.

Example: $ 2,500 (Total Subcontract Amount)  $10,000 (Total Contract Value) x 100 = 25%

8. Please note that for USDOT-funded projects, a DBE prime may count towards its DBE participation goal work performed by its own forces. Include information about the DBE prime in Part 2.

9. WARNING: The percentage of DBE participation, computed using the dollar amounts in Column 3 for all of the DBE firms listed in Part 2, MUST at least equal the DBE participation goal as set forth in MDOT DBE Form A – Federally- Funded Contracts for this solicitation. If the bidder/offeror is unable to achieve the DBE participation goals, then the bidder/offeror must request a waiver in Form A or the bid will be deemed not responsive, or the proposal not susceptible of being selected for award. You may wish to use the Goal Worksheet shown below to assist you in calculating the percentage and confirming that you have met the applicable DBE participation goal.

GOAL WORKSHEET

Total DBE Firm Participation (Add percentages in Column 3 for all DBE firms listed in DBE Participation Schedule) (A) ______%

The percentage amount in Box A above should be equal to the percentage amount in Box E below.

Add Countable Subcontract Amounts (see 6 through 8 of

Instructions) for all DBE firms listed in DBE Participation (B) $______Schedule, and insert in Box B

Insert the Total Contract Amount in Box C (C) $______

Divide Box B by Box C and Insert in Box D (D) =______

Multiply Box D by 100 and insert in Box E (E) =______%

MDOT DBE FORM B FEDERALLY-FUNDED CONTRACTS DBE PARTICIPATION SCHEDULE PART 2 – DBE PARTICIPATION SCHEDULE

PAGE __ OF ___

Prime Contractor Project Description Solicitation Number

LIST INFORMATION FOR EACH CERTIFIED DBE SUBCONTRACTOR YOU AGREE TO USE TO ACHIEVE THE DBE PARTICIPATION GOAL. COLUMN 1 COLUMN 2 COLUMN 3 Unless the bidder/offeror requested a waiver in MDOT DBE Form A – Federally Funded Contracts for this solicitation, the cumulative DBE participation for all DBE firms listed herein must equal at least the DBE participation goal set forth in Form A.

NAME OF DBE CERTIFICATION NO. AND FOR PURPOSES OF ACHIEVING THE DBE PARTICIPATION GOAL, refer SUBCONTRACTOR DBE CLASSIFICATION to sections 6, 7 and 8 in Part 1 - Instructions. State the percentage amount of the AND TIER products/services in Line 3.1, except for those products or services where the DBE firm is being used as a wholesaler, supplier, or regular dealer. For items of work where the DBE firm is being used as a supplier, wholesaler and/or regular dealer, complete Line 3.2 using the 60% Rule.

Certification Number: 3.1. TOTAL PERCENTAGE TO BE PAID TO THE SUBCONTRACTOR

(STATE THIS PERCENTAGE AS A PERCENTAGE OF THE TOTAL CONTRACT VALUE- EXCLUDING PRODUCTS/SERVICES FROM (If dually certified, check only one box.) SUPPLIERS, WHOLESALERS OR REGULAR DEALERS).

Please check if DBE firm is African American-Owned ______% (Percentage for purposes of a third-tier contractor (if Hispanic American- Owned applicable). calculating achievement of DBE Participation Please submit written Asian American-Owned goal) documents in accordance with Women-Owned Section 5 of Part 1 - Instructions 3.2 TOTAL PERCENTAGE TO BE PAID TO THE SUBCONTRACTOR Other DBE Classification FOR ITEMS OF WORK WHERE THE DBE FIRM IS BEING USED AS A ______SUPPLIER, WHOLESALER AND/OR REGULAR DEALER) (STATE THE PERCENTAGE AS A PERCENTAGE OF THE TOTAL CONTRACT VALUE AND THEN APPLY THE 60% RULE PER SECTION 6(E) IN PART 1 - INSTRUCTIONS).

______% Total percentage of Supplies/Products

x ______60% (60% Rule)

______% (Percentage for purposes of calculating achievement of DBE Participation goal)

Please check if Continuation Sheets are attached.

MDOT DBE FORM B FEDERALLY-FUNDED CONTRACTS DBE PARTICIPATION SCHEDULE CONTINUATION SHEET

PAGE __ OF ___

Prime Contractor Project Description Solicitation Number

LIST INFORMATION FOR EACH CERTIFIED DBE SUBCONTRACTOR YOU AGREE TO USE TO ACHIEVE THE DBE PARTICIPATION GOAL.

COLUMN 1 COLUMN 2 COLUMN 3 Unless the bidder/offeror requested a waiver in MDOT DBE Form A – Federally Funded Contracts for this solicitation, the cumulative DBE participation for all DBE firms listed herein must equal at least the DBE participation goal set forth in Form A.

NAME OF DBE CERTIFICATION NO. AND FOR PURPOSES OF ACHIEVING THE DBE PARTICIPATION GOAL, SUBCONTRACTOR DBE CLASSIFICATION refer to sections 6, 7 and 8 in Part 1 - Instructions. State the percentage AND TIER amount of the products/services in Line 3.1, except for those products or services where the DBE firm is being used as a wholesaler, supplier, or regular dealer. For items of work where the DBE firm is being used as a supplier, wholesaler and/or regular dealer, complete Line 3.2 using the 60% Rule.

Certification Number: 3.1. TOTAL PERCENTAGE TO BE PAID TO THE SUBCONTRACTOR (STATE THIS PERCENTAGE AS A

(If dually certified, check only PERCENTAGE OF THE TOTAL CONTRACT VALUE- EXCLUDING PRODUCTS/SERVICES FROM SUPPLIERS, WHOLESALERS OR one box.) REGULAR DEALERS). Please check if DBE firm African American-Owned is a third-tier contractor (if Hispanic American- Owned ______% (Percentage for purposes of applicable). Please submit written Asian American-Owned calculating achievement of DBE Participation documents in accordance Women-Owned goal) with Section 5 of Part 1 - Instructions Other DBE Classification 3.2 TOTAL PERCENTAGE TO BE PAID TO THE ______SUBCONTRACTOR FOR ITEMS OF WORK WHERE THE DBE FIRM IS BEING USED AS A SUPPLIER, WHOLESALER AND/OR REGULAR DEALER) (STATE THE PERCENTAGE AS A PERCENTAGE OF THE TOTAL CONTRACT VALUE AND THEN APPLY THE 60% RULE PER SECTION 6(E) IN PART 1 - INSTRUCTIONS).

______% Total percentage of Supplies/Products

x ______60% (60% Rule)

______% (Percentage for purposes of calculating achievement of DBE Participation goal)

Please check if Continuation Sheets are attached.

MDOT DBE FORM B FEDERALLY-FUNDED CONTRACTS DBE PARTICIPATION SCHEDULE PART 3 – CERTIFICATION FOR DBE PARTICIPATION SCHEDULE

PARTS 2 AND 3 MUST BE INCLUDED WITH THE BID/PROPOSAL AS DIRECTED IN THE SOLICITATION.

I hereby affirm that I have reviewed the Products and Services Description (specific product that a firm is certified to provide or areas of work that a firm is certified to perform) set forth in the MDOT DBE Directory for each of the DBE firms listed in Part 2 of this DBE Form B for purposes of achieving the DBE participation goal that was identified in the DBE Form A that I submitted with this solicitation, and that the DBE firms listed are only performing those products/services/areas of work for which they are certified. I also hereby affirm that I have read and understand the form instructions set forth in Part 1 of this DBE Form B.

The undersigned Prime Contractor hereby certifies and agrees that it has fully complied with the State Minority Business Enterprise law, State Finance and Procurement Article §14-308(a)(2), Annotated Code of Maryland which provides that, except as otherwise provided by law, a contractor may not identify a certified minority business enterprise in a bid or proposal and:

(1) fail to request, receive, or otherwise obtain authorization from the certified minority business enterprise to identify the certified minority business enterprise in its bid or proposal;

(2) fail to notify the certified minority business enterprise before execution of the contract of its inclusion of the bid or proposal;

(3) fail to use the certified minority business enterprise in the performance of the contract; or

(4) pay the certified minority business enterprise solely for the use of its name in the bid or proposal.

I solemnly affirm under the penalties of perjury that the contents of Parts 2 and 3 of MDOT DBE Form B are true to the best of my knowledge, information and belief.

Company Name Signature of Representative

Address Printed Name and Title

City, State and Zip Code Date

MDOT DBE FORM C FEDERALLY-FUNDED CONTRACTS OUTREACH EFFORTS COMPLIANCE STATEMENT

In conjunction with the offer/proposal submitted in response to Solicitation No.T-0177- 1940, I state the following:

1. Bidder/Offeror took the following efforts to identify subcontracting opportunities in these specific work categories:

2. Attached to this form are copies of written solicitations (with bidding/proposal instructions) used to solicit certified DBE firms for these subcontract opportunities.

3. Bidder/Offeror made the following attempts to personally contact the solicited DBE firms:

4. Please Check One:

□ This project does not involve bonding requirements. □ Bidder/Offeror assisted DBE firms to fulfill or seek waiver of bonding requirements. (DESCRIBE EFFORTS)

5. Please Check One:

□ Bidder/Offeror did attend the pre-bid/pre-proposal meeting/conference. □ No pre-bid/pre-proposal meeting/conference was held. □ Bidder/Offeror did not attend the pre-bid/pre-proposal meeting/conference.

Company Name Signature of Representative

Address Printed Name and Title

City, State and Zip Code Date

MDOT DBE FORM D FEDERALLY-FUNDED CONTRACTS DBE SUBCONTRACTOR PROJECT PARTICIPATION AFFIDAVIT

IF THE BIDDER/OFFEROR FAILS TO RETURN THIS AFFIDAVIT WITHIN THE REQUIRED TIME, THE PROCUREMENT OFFICER MAY DETERMINE THAT THE BIDDER/OFFEROR IS NOT RESPONSIBLE AND THEREFORE NOT ELIGIBLE FOR CONTRACT AWARD OR THAT THE PROPOSAL IS NOT SUSCEPTIBLE OF BEING SELECTED FOR AWARD. SUBMIT ONE FORM FOR EACH CERTIFIED DBE FIRM LISTED IN THE DBE PARTICIPATION SCHEDULE. BIDDERS/OFFERORS ARE HIGHLY ENCOURAGED TO SUBMIT FORM D PRIOR TO THE TEN (10) DAY DEADLINE.

Provided that ______(Prime Contractor’s Name) is awarded the State contract in conjunction with Solicitation No. ______, such Prime Contractor will enter into a subcontract with ______(Subcontractor’s Name) committing to participation by the DBE firm ______(DBE Name) with MDOT Certification Number ______(if subcontractor previously listed is also the DBE firm, please restate name and provide DBE Certification Number) which will receive at least $______or ___% (Total Subcontract Amount/ Percentage) for performing the following products/services for the Contract:

NAICS CODE WORK ITEM, SPECIFICATION NUMBER, DESCRIPTION OF SPECIFIC PRODUCTS AND/OR LINE ITEMS OR WORK CATEGORIES (IF SERVICES APPLICABLE)

I solemnly affirm under the penalties of perjury that the information provided in this DBE Subcontractor Project Participation Affidavit is true to the best of my knowledge, information and belief. I acknowledge that, for purposes of determining the accuracy of the information provided herein, the Procurement Officer may request additional information, including, without limitation, copies of the subcontract agreements and quotes.

PRIME CONTRACTOR SUBCONTRACTOR (SECOND-TIER) SUBCONTRACTOR (THIRD-TIER)

Signature of Representative: Signature of Representative: Signature of Representative:

______

Printed Name and Title:______Printed Name and Title:______Printed Name and Title:______

______

Firm’s Name: ______Firm’s Name: ______Firm’s Name: ______

Federal Identification Number: ______Federal Identification Number: ______Federal Identification Number: ______

Address: ______Address: ______Address: ______

______

Telephone: ______Telephone: ______Telephone: ______

Date: ______Date: ______Date: ______IF DBE FIRM IS A THIRD-TIER SUBCONTRACTOR, THIS FORM MUST ALSO BE EXECUTED BY THE SECOND-TIER SUBCONTRACTOR THAT HAS THE SUBCONTRACT AGREEMENT WITH THE DBE FIRM.

MDOT MBE/DBE FORM E GOOD FAITH EFFORTS GUIDANCE AND DOCUMENTATION

PART 2 – CERTIFICATION REGARDING GOOD FAITH EFFORTS DOCUMENTATION

PAGE __ OF ___

Prime Contractor Project Description Solicitation Number

PARTS 3, 4, AND 5 MUST BE INCLUDED WITH THIS CERTIFICATE ALONG WITH ALL DOCUMENTS SUPPORTING YOUR WAIVER REQUEST.

I hereby request a waiver of (1) the Minority Business Enterprise (MBE) participation goal and/or sub-goal(s), (2) the Disadvantaged Business Enterprise (DBE) participation goal, or (3) a portion of the pertinent MBE/DBE participation goal and/or MBE sub-goal(s) for this procurement.1 I affirm that I have reviewed the Good Faith Efforts Guidance MBE/DBE Form E. I further affirm under penalties of perjury that the contents of Parts 3, 4, and 5 of MDOT MBE/DBE Form E are true to the best of my knowledge, information and belief.

______Company Name Signature of Representative

______Address Printed Name and Title

______City, State and Zip Code Date

1 MBE participation goals and sub-goals apply to State-funded procurements. DBE participation goals apply to federally-funded procurements. Federally-funded contracts do not have sub-goals.

MDOT MBE/DBE FORM E GOOD FAITH EFFORTS GUIDANCE AND DOCUMENTATION PART 3 – IDENTIFIED ITEMS OF WORK BIDDER/OFFEROR MADE AVAILABLE TO MBE/DBE FIRMS PAGE __ OF ___

Prime Contractor Project Description Solicitation Number

Identify those items of work that the bidder/offeror made available to MBE/DBE Firms. This includes, where appropriate, those items the bidder/offeror identified and determined to subdivide into economically feasible units to facilitate the MBE/DBE participation. For each item listed, show the anticipated percentage of the total contract amount. It is the bidder’s/offeror’s responsibility to demonstrate that sufficient work to meet the goal was made available to MBE/DBE Firms, and the total percentage of the items of work identified for MBE/DBE participation equals or exceeds the percentage MBE/DBE goal set for the procurement. Note: If the procurement includes a list of bid items identified during the goal setting process as possible items of work for performance by MBE/DBE Firms, the bidder/offeror should make all of those items of work available to MBE/DBE Firms or explain why that item was not made available. If the bidder/offeror selects additional items of work to make available to MBE/DBE Firms, those additional items should also be included below.

Does Was this work made Was this work bidder/offeror available to MBE/DBE Identified Items of Work listed in the normally Firms? procurement? self-perform If no, explain why? this work? □ Yes □ No □ Yes □ No □ Yes □ No

□ Yes □ No □ Yes □ No □ Yes □ No

□ Yes □ No □ Yes □ No □ Yes □ No □ Yes □ No □ Yes □ No □ Yes □ No □ Yes □ No □ Yes □ No □ Yes □ No □ Yes □ No □ Yes □ No □ Yes □ No □ Yes □ No □ Yes □ No □ Yes □ No □ Yes □ No □ Yes □ No □ Yes □ No □ Yes □ No □ Yes □ No □ Yes □ No

Please check if Additional Sheets are attached.

MDOT MBE/DBE FORM E GOOD FAITH EFFORTS GUIDANCE AND DOCUMENTATION PART 4 – IDENTIFIED MBE/DBE FIRMS AND RECORD OF SOLICITATIONS PAGE __ OF ___

Prime Contractor Project Description Solicitation Number

Identify the MBE/DBE Firms solicited to provide quotes for the Identified Items of Work made available for MBE/DBE participation. Include the name of the MBE/DBE Firm solicited, items of work for which bids/quotes were solicited, date and manner of initial and follow-up solicitations, whether the MBE/DBE provided a quote, and whether the MBE/DBE is being used to meet the MBE/DBE participation goal. MBE/DBE Firms used to meet the participation goal must be included on the MBE/DBE Participation Schedule, Form B. Note: If the procurement includes a list of the MBE/DBE Firms identified during the goal setting process as potentially available to perform the items of work, the bidder/offeror should solicit all of those MBE/DBE Firms or explain why a specific MBE/DBE was not solicited. If the bidder/offeror identifies additional MBE/DBE Firms who may be available to perform Identified Items of Work, those additional MBE/DBE Firms should also be included below. Copies of all written solicitations and documentation of follow-up calls to MBE/DBE Firms must be attached to this form. If the bidder/offeror used a Non-MBE/DBE or is self-performing the identified items of work, Part 4 must be completed.

Name of Describe Item of Initial Follow-up Details for Quot Quot Reason Identified MBE/DBE Work Solicited Solicitation Solicitation Follow-up e e Quote Firm & MBE Date & Date & Calls Rec’ Used Rejected Classification Method Method d Firm Name: Date: Date: Time of Call: □ □ □ Used Other Yes Yes MBE/DBE □ Mail □ Phone Spoke With: □ No □ No □ Used Non- MBE Classification □ Facsimile □ Mail MBE/DBE (Check only if □ Email □ Facsimile □ Left requesting waiver □ Email Message □ Self- of MBE sub-goal.) performing African American-Owned Hispanic American- Owned Asian American- Owned Women-Owned Other MBE Classification ______

Firm Name: Date: Date: Time of Call: □ □ □ Used Other Yes Yes MBE/DBE □ Mail □ Phone Spoke With: □ No □ No □ Used Non- MBE Classification □ Facsimile □ Mail MBE/DBE (Check only if □ Email □ Facsimile □ Left requesting waiver □ Email Message □ Self- of MBE sub-goal.) performing African American-Owned Hispanic American- Owned Asian American- Owned Women-Owned Other MBE Classification ______

MDOT MBE/DBE FORM E GOOD FAITH EFFORTS GUIDANCE AND DOCUMENTATION PART 5 – ADDITIONAL INFORMATION REGARDING REJECTED MBE/DBE QUOTES

PAGE __ OF ___

Prime Contractor Project Description Solicitation Number

This form must be completed if Part 3 indicates that a MBE/DBE quote was rejected because the bidder/offeror is using a Non-MBE/DBE or is self-performing the Identified Items of Work. Provide the Identified Items Work, indicate whether the work will be self-performed or performed by a Non-MBE/DBE, and if applicable, state the name of the Non-MBE/DBE. Also include the names of all MBE/DBE and Non- MBE/DBE Firms that provided a quote and the amount of each quote.

Describe Identified Self-performing or Amount Name of Other Firms Amount Indicate Reason Why Items of Work Not Using Non- of who Provided Quoted MBE/DBE Quote Rejected & Being Performed by MBE/DBE (Provide Non- Quotes & Briefly Explain MBE/DBE name) MBE/DBE Whether MBE/DBE (Include Quote or Non-MBE/DBE spec/section number from bid) □ Self-performing □ Price $______$______□ Capabilities □ Using Non- ______□ Other MBE/DBE _ □ MBE/DBE ______□ Non-MBE/DBE □ Self-performing □ Price $______$______□ Capabilities □ Using Non- ______□ Other MBE/DBE _ □ MBE/DBE ______□ Non- MBE/DBE □ Self-performing □ Price $______$______□ Capabilities □ Using Non- ______□ Other MBE/DBE _ □ MBE/DBE ______□ Non- MBE/DBE □ Self-performing □ Price $______$______□ Capabilities □ Using Non- ______□ Other MBE/DBE _ □ MBE/DBE ______□ Non- MBE/DBE □ Self-performing □ Price $______$______□ Capabilities □ Using Non- ______□ Other MBE/DBE _ □ MBE/DBE ______□ Non- MBE/DBE □ Self-performing □ Price $______$______□ Capabilities □ Using Non- ______□ Other MBE/DBE _ □ MBE/DBE ______□ Non- MBE/DBE Please check if Additional Sheets are attached.

INSURANCE REQUIREMENTS

In lieu of General Provision GP-7.14, Liability Insurance, the following shall prevail:

A. The Contractor shall forward to the Maryland Transit Administration prior to the execution of the Contract, a certificate of insurance issued by the insurer(s) and/or broker(s), including special endorsements. If requested by the Engineer, the Contractor shall provide a certified copy of the actual policies and endorsements in addition to certificates. The contractor shall procure and pay for insurance specified herein issued by companies licensed and authorized to do business in the State of Maryland and who have a minimum acceptable Best and/or S&P rating.

The Contractor shall furnish policies satisfactory to the Administration (hereinafter "Administration" refers to Maryland Transit Administration, Maryland Department of Transportation and the State of Maryland inclusively) as to contents and carrier, such insurance will contain the following provisions:

I . Thirty (30) days prior notice to the Administration of cancellation.

2. Inclusion of the Administration, Engineer and their directors, officers, representatives, agents and employees as additional Insured as respects work or operations in connection with the Contract.

3. Endorsement providing that such insurance is primary insurance and no insurance of the Administration will be called in to contribute to a loss.

4. The Certificate of Insurance shall include the Contract Name and Number for identification purposes.

5. The Contractor agrees to indemnify, defend, and hold harmless the Administration from and against all loss or expense (including costs and attorney's fees) by reason of liability imposed by law upon the Administration for damages because of bodily injury, including death, at any time arising there from, sustained by any person or persons or on account of damage to property, including loss of use thereof arising out of or in consequence of the performance of this contract, whether such injuries to person(s) or damage to property are due or claimed to be due to the negligence of the Contractor, the Administration, their agents and employees, except only such injury or damage as shall have been occasioned by the sole negligence of the Administration. The above provisions are to be included in all subcontracts as specified herein under Paragraph D below.

B. If at any time above-required insurance policies should be canceled, terminated, or modified so that the insurance is not full force and effect as required herein, the Administration may terminate this Contract for default or obtain insurance coverage equal to the required herein, the cost of which shall be charged to the Contractor and deducted from any payments to the Contractor.

T-1223-1740 IR 1 of 4

INSURANCE REQUIREMENTS

C. Insurance Coverage: The coverage of insurance under such policy or policies shall be at policy limits not less than as specified herein.

1. Worker's Compensation and Employers' Liability (Coverage B): Providing statutory coverage in the State of Maryland, to include all States endorsement, United States Longshoremen and Harbor-Workers' Compensation Act, and employer's Liability (Coverage B), with a minimum limit of $500,000.00.

2. An occurrence form Comprehensive General Liability: To include Contractual Liability, Broad Form Property damage, Explosion, Collapse, and Underground Coverage, and Products/Completed Operations Coverage. The Completed Operations Coverage shall remain in effect until two (2) years after the work has been accepted by the Administration. The Comprehensive General Liability Insurance shall have a mm1mum combined single limit of $2,000,000.00 and shall at no time have a aggregate limit of less than $2,000,000.00.

3. Owners Protective Liability: Provide and maintain during the life of this Contract an Owners Protective Liability policy, insuring the Administration, their agents, servants, and employees from loss and liability to a combined single limit of $2,000,000.00 for Personal Injury and Property Damage and shall at not time have an aggregate limit of less than $2,000,000.00.

4. All Builder's Risk Insurance: To include fire, extended coverage, vandalism, and malicious mischief, flood, and earthquake. This policy is to be written to completed value plus ten (I0) percent of the contract price. The policy shall included the Administration as a name insured as their interest may appear.

5. Comprehensive Business Automobile Liability: The policy or policies shall cover all automobiles defined as motor vehicles, whether owned, non• owned leased, or hired, to a minimum combined single limit for Bodily Injury and Property Damage of $2,000,000.00 and shall include, by endorsement, a waiver of subrogation with respect to the Administration.

Pollution liability coverage at least as broad as that provided under the ISO pollution liability - broadened coverage for covered autos endorsement (CA 99 48) shall be provided, and the Motor Carrier Act endorsement (MCS90) shall be attached.

T-1223-1740 IR 2 of 4

INSURANCE REQUIREMENTS

Loading and unloading of any motor vehicle must be covered by endorsement to the automobile liability policy or policies.

6. Excess and/or Umbrella Liability insurance containing coverage no less restrictive than that required in the underlying policies specified above. The required primary insurance shall be listed as underlying coverage in the first layer umbrella policy. The umbrella policies shall contain a minimum total occurrence and aggregate limit of: $5,000,000.

7. A. Contractor shall maintain in force for the full period of this contract insurance covering losses caused by pollution conditions that arise from the operations of the contractor described under the scope of services of this contract. Insurance shall apply to bodily injury; property damage, including loss of use of damaged property or of property that has not been physically injured; cleanup costs; and defense, including costs and expenses incurred in the investigation, defense, or settlement of claims. The policy of insurance affording these required coverage's shall be written in an amount of at least $5,000,000 per loss, with an annual aggregate of at least $5,000,000.

B. The policy of insurance shall be endorsed to include as insured the MTA, its officers, and employees.

C. The policy of insurance as required in paragraph 1 shall be written by an insurer acceptable to the MTA.

D. If coverage is written on a claims-made basis, the Contractor warrants that any retroactive date applicable to coverage under the policy precedes the effective date of this contract; and that continuous coverage will be maintained or an extended discovery period will be exercised for a period of five years beginning from the time that work under this contract is completed.

E. The existence of coverage must be documented on the certificate of insurance signed by a person authorized by the insurer to bind on its behalf coverage as described in the certificate. Such certificate shall be delivered to MTA before work under this contract commences.

8. lf the scope of services as defined in this contract includes the disposal of any hazardous or non-hazardous materials from the job site, the Contractor must furnish to the MTA evidence of pollution legal liability insurance maintained by the disposal site operator for losses arising from the insured facility accepting waste under this contract. Coverage certified to the MTA under this paragraph must be maintained in minimum amounts of $5,000,000 per loss, with an annual aggregate of at least $5,000,000.

T-1223-1740 IR 3 of 4

INSURANCE REQUIREMENTS

9 RAILROAD PROTECTIVE LIABILITY INSURANCE MAY BE REQUIRED PER TASK ORDER IF THE WORK IS DONE WITHIN FIFTY (50) FEET OF THE TRACK.

Maryland Transit Administration (MTA) will utilize an Owner Controlled Insurance Program (OCIP) for the Railroad Protective Liability Insurance only on this construction project. The amount should not be included in your base bid. This amount will only be added to the base bid in the event that the bidder is excluded from the wrap-up insurance program or the progran1is terminated mid-term.

Railroad Protective Insurance written on occurrence for CG00351093 for construction work performed on, over, or under a railroad right of way or within Fifty (50) feet of railroad property. The coverage limits are $5,000,000 per Occurrence and $10,000,000 aggregate.

MTA's Insurance Representative must be notified prior to any contractor or subcontractor beginning work within fifty (50) feet of the track.

T-1223-1740 IR 4 of 4

Maryland Transit Administration

Owner Controlled Insurance Program (OCIP)

OCIP INSURANCE MANUAL

Maryland Transit Administration 1515 Washington Boulevard Baltimore, MD 21230

This Manual is a contract document

Maryland Transit Administration 1-3-19 TABLE OF CO NTENTS

OCIP OVERVIEW ...... 2 ABOUT THIS MANUAL ...... 2 What This Manual Does ...... 2 What this Manual Does NOT Do ...... 2 OCIP PROJECT DIRECTORY ...... 3 PROJECT DEFINITIONS ...... 4 OCIP INSURANCE COVERAGE ...... 6 EXCLUDED PARTIES ...... 6 OCIP EVIDENCE OF COVERAGE ...... 6 DESCRIPTION OF OCIP COVERAGES ...... 6 CONTRACTOR REQUIRED COVERAGE ...... 9 VERIFICATION OF REQUIRED COVERAGES ...... 9 CONTRACTOR MAINTAINED COVERAGES ...... 9 HOW TO UPLOAD A DOCUMENT (CERTIFICATE OF INSURANCE) ...... 12 CONTRACTOR RESPONSIBILITIES ...... 13 CONTRACTOR BIDS ...... 14 IDENTIFYING CONTRACTOR INSURANCE COSTS ...... 14 ENROLLMENT...... 14 HOW TO ACCESS THE AONWRAP APPLICATION ...... 14 HOW TO LOGIN ...... 14 NOTICE OF AWARD – NOTIFICATION OF CONTRACTOR TO AON ...... 14 ASSIGNMENT OF PREMIUMS ...... 15 PAYROLL REPORTS ...... 15 CHANGE ORDER PROCEDURES ...... 16 INSURANCE COMPANY PAYROLL AUDIT ...... 16 CLOSEOUT AND AUDIT PROCEDURES ...... 16 OCIP TERMINATION OR MODIFICATION...... 16 NEED ASSISTANCE WITH AONWRAP OR OCIP FORMS COMPLETION? ...... 17 ON-SITE CLAIM PROCEDURES ...... 18 GENERAL PROCEDURES ...... 18 INVESTIGATION ASSISTANCE ...... 18 RETURN TO WORK PROGRAM – TEMPORARY ALTERNATIVE POSITION ...... 23 SAMPLE OFFER OF TEMPORARY ALTERNATIVE POSITION LETTER ...... 24 LIABILITY CLAIMS ...... 24 BUILDER’S RISK CLAIMS ...... 28 AUTOMOBILE CLAIMS ...... 30 POLLUTION CLAIMS ...... 30 LOSS RUNS ...... 30 OCIP FORMS ...... 31 BIDDING CHECKLIST ...... 31 FORM 3 ...... 32

Maryland Transit Administration 1-3-19 1 OCIP OVERVIEW

OCIP Overview Welcome to the Maryland Transit Administration Owner Controlled Insurance Program (OCIP) Each Contractor of any tier is required to bid per the instructions outlined in Contractor Responsibilities section of this manual. Maryland Transit Administration may modify this bidding and insurance cost identification as necessary based on the specific contract requirements. You should notify your insurer(s) to endorse your coverage to be excess and contingent over the OCIP coverage provided under this Program for onsite activities and the related costs.

NOTE: Insurance coverages and limits provided under the OCIP are limited in scope and are specific to work performed after the inception date of your enrollment into this program. Your insurance representative should review this information. Any additional coverage you may wish to purchase will be at your option and expense. About This Manual Maryland Transit Administration and Aon Risk Services (Aon) prepared the Insurance Manual. Maryland Transit Administration is the Sponsor for this OCIP. Aon is the OCIP Administrator for this OCIP. The manual is designed to identify, define and assign responsibilities for the administration of the OCIP for this project. What This Manual Does This Manual: ▪ Generally describes the structure of the OCIP ▪ Identifies responsibilities of the various parties involved in the Project ▪ Provides a basic description of OCIP coverage ▪ Describes audit and administrative procedures ▪ Provides answers to basic questions about the OCIP What this Manual Does NOT Do This Manual does not: ▪ Provide coverage interpretations ▪ Provide complete information about coverages and exclusions ▪ Provide answers to specific claims questions Refer questions concerning the OCIP, its administration or coverages to the appropriate party identified in the Project Directory, in Section 2.

DISCLAIMER:

The information in this manual is intended to outline the OCIP insurance coverages and Contractor responsibilities. In the event any provision of the Insurance Manual or the Contract Documents conflicts with the OCIP insurance policies, the provisions of the actual OCIP insurance policies shall govern.

Maryland Transit Administration 1-3-19 2 OCIP PROJECT DIRECTORY

OCIP Project Directory OCIP Program Administrator – Aon, Construction Services Group 1120 20th St., NW, Suite 600 Washington, DC 20036

Works with Subcontractors Michelle Testa, Wrap-Up Specialist Wrap-Up Hotline: 800-364-0495, option 5 Wrap-Up Fax Number: 800-363-6695 Wrap-Up Email: [email protected] #570000032077/Maryland Transit Administration/Project Number/Project Name Program Manager Telephone: 202-862-5306 Ellen Rowan Cell: 301-928-1933 E-mail: [email protected] Program Administrator Telephone: 215-255-1834 Rebecca Nester Cell: 610-329-0099 E-mail: [email protected] Senior Risk Consultant Cell: 202-650-7018 Dennis Jones Fax:312-381-6219 E-mail: [email protected] MFL Safety Consultant Cell: 202-309-5666 William Higgins E-mail: [email protected]

MFL Safety Consultant Telephone TBD Cell Fax E-mail Claims Manager Telephone: 617-457-7654 Todd MacDermott Cell: 781-962-8241 E-mail: [email protected] Maryland Transit Administration 1515 Washington Boulevard Baltimore, MD 21230

MTA – OCIP Administrator Telephone:410-454-764 Risk Manager Fax: 410-244-1388 Gail Allen E-mail: [email protected]

Safety Engineer Telephone:410-454-7295 Doy Miller Fax: 410-856-4305 AECOM E-mail: [email protected]

Maryland Transit Administration 1-3-19 3 OCIP PROJECT DEFINITIONS Project Definitions TERM DEFINITION AONWRAP Aon’s RMIS system that manages all information for the Maryland Transit Administration OCIP for administrative NCCI purposes. All Contractors are required to enter their payroll reports and notices of work completion and monitor their subcontractors via the AonWrap web at https://www.aonwrap.aon.com

Please contact the Aon Program Administrator to obtain a secured user ID.

AONWRAP WEBSITE https://www.aonwrap.aon.com

OCIP INSURER: The insurance company(ies) named on a policy or certificate of insurance providing coverage for the OCIP.

OCIP PROGRAM 1120 20th St., NW, Suite 600 ADMINISTRATOR: Washington, DC 20036

OCIP SPONSOR: Maryland Transit Administration 1515 Washington Boulevard Baltimore, MD 21230

OCIP: A “OCIP" or Owner Controlled Insurance Program is a coordinated insurance program providing certain coverages, as defined herein, for Maryland Transit Administration and eligible Enrolled Parties performing Work at the Project Site.

CERTIFICATE OF INSURANCE: A document providing evidence of existing coverage for a particular insurance policy or policies.

ELIGIBLE PARTIES/ELIGIBLE Parties performing labor or services at the Project Site who are eligible CONTRACTORS OF ANY TIER to enroll in the OCIP unless an Excluded Party.

ENROLLED PARTIES/ENROLLED Those Eligible Contractors of any tier who have submitted all necessary CONTRACTORS enrollment information and evidenced by a Welcome Letter and Certificate of Insurance from the OCIP Administrator.

EXCLUDED PARTIES/EXCLUDED At the discretion of Maryland Transit Administration, or subject to State CONTRACTORS OF ANY TIER: Regulations or policy conditions, the following parties will be excluded from the OCIP. Excluded parties will receive confirmation from the OCIP Administrator confirming their status prior to starting work on the project site.

(1) Hazardous materials remediation, removal and/or transport companies and their consultants; (2) Any Contractor performing Structural Demolition via blasting or wrecking ball; (3) Architects, engineers, and soil testing engineers and their consultants; (4) Vendors, suppliers, fabricators, material dealers, truckers, haulers, drivers and others who merely transport, pickup,

Maryland Transit Administration 1-3-19 4 OCIP PROJECT DEFINITIONS

TERM DEFINITION deliver, or carry materials, personnel, parts or equipment or any other items or persons to or from the Project Site; (5) Contractors, and any of their respective Subcontractors, who do not come to the Project Site; (6) Any parties or entities specifically designated by Maryland Transit Administration at its sole discretion, may be enrolled or excluded, even if otherwise eligible.

PROFESSIONAL A professional employer organization (PEO) is a firm that provides a EMPLOYER ORGANIZATION service under which an employer can outsource employee management (AKA “PEO”; EMPLOYEE tasks, such as employee benefits, payroll and workers' compensation, LEASING COMPANY; recruiting, risk/safety management, and training and development. OUTSOURCED EMPLOYEE MANAGEMENT COMPANY; EMPLOYEE LEASING FIRM) PROJECT SITE: Generally defined as the “project location” (more fully identified in the Contract/Subcontract) and adjacent or nearby areas where incidental operations are performed excluding permanent locations of any insured party.

SUBCONTRACT: A written or oral agreement between the Maryland Transit Administration / Contractor and Subcontractors of any tier.

CONTRACTOR: Includes only those persons, firms, joint venture entities, corporations, or other parties that enter into a Contract with Maryland Transit Administration or its Contractor or Subcontractors of any tier to perform Work at the Project Site. Generically referred to as “Contractor”.

WELCOME LETTER: A document issued by the OCIP Administrator, which confirms enrollment of the applicant into the OCIP.

WORK: Operations, as fully described in the Subcontract, performed at the Project Site.

Maryland Transit Administration 1-3-19 5 OCIP INSURANCE COVERAGE OCIP Insurance Coverage Excluded Parties Excluded Parties are not granted any insurance coverage under the OCIP. Excluded Parties must meet the insurance requirements established in the subcontract and provide evidence of coverage to OCIP Administrator. OCIP Evidence of Coverage Each Enrolled Party will be issued an individual workers’ compensation policy provided by the OCIP primary insurer. The OCIP Administrator will provide a Certificate of Insurance evidencing workers’ compensation, general liability, and excess liability to each Enrolled Party, each of who will be added as an Additional Named Insured to the OCIP General Liability insurance policy. The Insurance Carrier will furnish other documents including claim forms, posting notices, etc., to each Enrolled Party. Copies of the General Liability policy will be available for review at Maryland Transit Administration’s offices upon written request. Description of OCIP Coverages The following descriptions on these pages provide a summary of coverages ONLY. Contractors should refer to the policies for actual terms, conditions, exclusions and limitations.

Maryland Transit Administration will furnish the following coverages for the benefit of all Enrolled Parties performing Work at the Project Site. Workers’ Compensation and Employer’s Liability Coverage: Statutory limits required by the Workers’ Compensation laws of the applicable jurisdiction, excluding monopolistic states, with Employer’s Liability. A separate worker’ compensation policy will be issued to each enrolled Party.

Part One - Workers’ Compensation: Statutory Limit Part Two - Employer’s Liability: Annual Limits Per Enrolled Party Bodily Injury by Accident, each accident $ 2,000,000 Bodily Injury by Disease, each employee $ 2,000,000 Bodily Injury by Disease, policy limit $ 2,000,000

▪ This policy does not cover offsite operations. Commercial General Liability

Coverage: Third Party Bodily Injury and Property Damage Liability. A single general liability policy will be issued for all Enrolled Parties with all Enrolled Parties Named as Insureds

Limits of Liability Shared by All Enrolled Parties General Aggregate (Annual Limit During Premises Period) $ 2,000,000 Products/Completed Operations Aggregate $ 4,000,000 Personal/Advertising Injury Each Occurrence $ 4,000,000 Each Occurrence Limit (Annual Limit During Premises Period) $ 2,000,000 Damage to Premises Rented to You $ 1,000,000 Medical Expense – Any One Person $ 10,000

▪ Limitation of Coverage to Designated Premises or Project ▪ Ten (10) Year Products/Completed Operations Extension (single, non-reinstated aggregate limit applies to extension period) ▪ Waiver of Transfer of Rights to Recover against Others where required by an “Insured Contract” and as evidenced by a Certificate of Insurance on file with the CIP Administrator

Maryland Transit Administration 1-3-19 6 OCIP INSURANCE COVERAGE

Excess Liability Coverage: Excess over primary Third Party Bodily Injury and Property Damage General Liability. A single excess liability policy will be issued for all Enrolled Parties.

Limits of Liability Shared by All Enrolled Parties Each Occurrence Limit $ 50,000,000 Aggregate Limit (Annual Limit during Premises Period) $ 50,000,000

▪ Excess Coverage is over Commercial General Liability (IF APPLICABLE: Employers Liability, Auto Liability) ▪ A master Excess Liability policy will be issued for all Enrolled Parties as named Insureds and is available for review upon request. ▪ The Excess Liability policy will follow terms, conditions and exclusions of the underlying General Liability unless defined differently in the Excess Policy. Builder’s Risk Coverage pays for direct losses to buildings or other property during construction (repair or replacement of property) and limited indirect losses arising out of a covered loss. The policy applies to: ▪ All work at the Job Site including labor and materials to be o incorporated into the work. ▪ Materials adequately protected and stored at the Job Site that will be incorporated into the work.

A blanket policy limit provides "All Risks" of direct physical loss or damage, subject to policy exclusions, on each occurrence. The policy limits and sublimits are as listed below. Limits of Liability are shared by All Enrolled Parties. This coverage provides, but is not limited to: ▪ $75,000,000 Loss Limit (Total limit of coverage), subject to sub-limits of: o $75,000,000 annual aggregate for earthquake and a $75,000,000 annual aggregate for flood (depending on flood zones). o $2,500,000 Building Ordinance or Law (Coverage A, B & C combined) o $2,500,000 Debris Removal per Occurrence o TBD Delay in Completion/Soft Costs o $100,000 Loss Adjustment Expenses o $1,000,000 Expediting Expenses per Occurrence o $50,000 Fire Department Services Charges per Occurrence o $500,000 Inland Transit o $1,000,000 Offsite Temporary Storage per Occurrence o $75,000,000 Physical Damage per Occurrence o $500,000 Valuable Papers and Records o $100,000 Pollution Clean Up o $100,000 Trees, Shrubs, Plants and Landscaping per Occurrence (Named Perils Only)

Enrolled Parties (to the extent required by contract or subcontract) are Additional Named Insureds. ▪ Includes coverage for the insured’s property under construction, including materials, supplies, machinery, fixtures and equipment which will become a permanent part of the project. Coverage provides protection against risk of direct physical loss or damage subject to policy conditions and exclusions. Property of Contractor and Subcontractors Contractors of any tier are advised to arrange their own insurance for rented, owned, leased or borrowed equipment and materials not intended for inclusion in the Project. The Maryland Transit Administration OCIP will not cover Contractor’s or Subcontractor’s property.

Maryland Transit Administration 1-3-19 7 OCIP INSURANCE COVERAGE

Contractor’s Pollution Liability This policy applies to all enrolled Contractors working at the Job Site. Maryland Transit Administration notifies the carrier by providing the insurance company with a list and description of each construction project along with the total project budget. Limits of Liability Shared by All Enrolled Parties Each Occurrence Limit $ 5,000,000 Annual General Aggregate Limit $ 10,000,000

Coverage: policy provides coverage for on-site cleanups, as well as off-site cleanups related to on-site remediation in the event the enrolled Contractor is negligent and exacerbates the existing pollution condition. This policy also provides coverage for third-party claims alleging bodily injury, property damage, or cleanup costs arising from the construction activities associated with the designated projects. ▪ Ten (10) years Completed operations coverage for all Enrolled Parties. Railroad Protective Liability This policy applies to all enrolled Contractors working at the Job Site. Maryland Transit Administration notifies the carrier by providing the insurance company with a list and description of each construction project along with the total project budget.

Limits of Liability Shared by All Enrolled Parties Each Occurrence Limit $ 5,000,000 Policy Term Aggregate Limit $ 10,000,000

Coverage: This policy provides coverage for bodily injury, property damage, or physical damage to property or any combination of all three for all enrolled contractors within fifty (50) feet of railroad arising from the construction activities associated with the designated projects. ▪ Physical damage to property means direct and accidental loss of or damage to all property owned by any named insured and all property in any named insured’s care, custody and control. ▪ The policy contains exclusions. Silica, Absolute Asbestos, Nuclear Energy Liability

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Contractor Required Coverage Contractors and all Subcontractors are required to maintain coverage to protect against losses that occur away from the Project Site or that are otherwise not covered under the OCIP. All Certificates of Insurance must be submitted to the OCIP Administrator prior to Mobilization. Contractors of any tier are required to maintain insurance coverage for the duration of the Subcontract that protects Maryland Transit Administration from liabilities and provide Maryland Transit Administration with evidence of such coverage via a copy of a Certificate of Insurance. Please refer to your contract for details.

These liabilities may arise from the Contractor’s or Subcontractors’ operations performed away from the Project Site, from coverages not provided by the OCIP, or from operations performed by Excluded Parties. The OCIP places all Contractors into one of two main categories: Enrolled Parties or Excluded Parties.

Enrolled Parties are to provide evidence of Workers’ Compensation, General Liability and Excess/Umbrella Liability insurance for offsite activities and Automobile Liability and any other insurance as per the insurance specifications for both onsite and offsite activities in the Subcontract.

Excluded Parties must provide evidence of Workers’ Compensation, General Liability, Excess/Umbrella Liability, Automobile Liability, and any other insurance as per the insurance specifications in the subcontract for all activities including both onsite and offsite activities as per the insurance specifications in the Subcontract. Verification of Required Coverages Contractors shall provide verification of insurance to the USI OCIP Administrator prior to mobilization and within five (5) days of any renewal, change or replacement of coverage. A sample of an acceptable certificate of insurance is provided in Section 8 (Forms). Please note that Contractors required insurance coverages must include waivers of subrogation and additional insured statuses as noted here and in the contract. Note the contractual requirement that the Contractor must provide the Maryland Transit Administration advance written notice of at least sixty (60) days in case of cancellation, material change in policy terms or coverage non-renewal.

The limits of liability shown for the insurance required of the Contractors are minimum limits only and are not intended to restrict the liability imposed on the Contractors for work performed under their Contract.

If a Contractor is terminated under the OCIP for the portion of the project put to its intended use, or where a temporary or permanent certificate of occupancy is issued, but remains on-site for non-OCIP site work, the Contractor will be considered “Excluded” and must provide the tiered coverage enumerated herein for Excluded Contractors. Any exceptions will be at the sole discretion of the MTA Risk Management Department. Contractor Maintained Coverages Workers’ Compensation and Employer’s Liability (Enrolled & Excluded) Part One – Statutory Limit for the State of Maryland

Part Two – Annual Limits Employer’s Liability Limits Bodily Injury by Accident, each Accident: $ 500,000 Bodily Injury by Disease, each employee: $ 500,000 Bodily Injury by Disease, policy limit: $ 500,000

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Commercial General Liability (Enrolled & Excluded) Limits of Liability General Aggregate $ 2,000,000 Products/Completed Operations Aggregate $ 2,000,000 Personal/Advertising Injury Aggregate $ 1,000,000 Each Occurrence Limit $ 2,000,000 • Coverage must be on an Occurrence form and applies to bodily injury and property damage for operations (including explosion, collapse and underground coverage), independent contractors, products and completed operations.

Excess/Umbrella Liability (Enrolled & Excluded) Limits of Liability Each Occurrence Limit $ 5,000,000

Automobile Liability (Enrolled & Excluded) Limits of Liability Combined Single Limit $ 1,000,000 Bodily Injury and Property Damage • Commercial Business Auto Policy covering all owned, hired and non-owned automobiles, trucks and trailers. • Coverage will apply both at and away from the Job Site.

Property Insurance (Enrolled & Excluded) Contractors and subcontractors must provide their own insurance for owned, leased, rented and borrowed equipment, whether such equipment is located at a Job Site or “in transit.” Contractors and subcontractors are solely responsible for any loss or damage to their personal property including, without limitation, property or materials created or provided under the Contract until installed at the Job Site, Contractor tools and equipment, scaffolding and temporary structures.

Watercraft and Aircraft Liability (Enrolled & Excluded) The operator of any watercraft or aircraft of any kind used in the Work must maintain liability insurance naming the Maryland Transit Administration and the respective Contractor and/or subcontractor as an additional insured with primary and non-contributory wording. In addition, the limit of liability must be satisfactory to MTA. Such insurance requirements will be determined as the need arises.

Pollution Liability (Enrolled & Excluded) Contractors and subcontractors with Work involved in the removal or treatment of hazardous materials will provide and maintain Contractors’ Pollution Liability insurance. Such coverage will specifically schedule the type of work defined in the Contract.

Limits of liability for Contractor’s Pollution Liability Insurance for Parties involved in abatement work: Limits of Liability Combined Single Limit per Occurrence $2,000,000 General Annual Aggregate $2,000,000

If transporting hazardous waste/materials to/from the Job Site, appropriate MCS-90 Endorsement must be attached and supplied by Contractor on a primary basis with a $5,000,000 limit of liability.

Professional Liability (Enrolled & Excluded) If required by the contract, for architects, engineers, surveyors, planners, consultants and other related professionals. The policy must provide $1,000,000 limit per claim and $3,000,000 annual aggregate.

Insurance Certificates (For enrolled Contractors and those excluded from the OCIP) All Contractors shall provide a valid and properly executed certificate of insurance citing the coverage required for Enrolled Contractors and Excluded Contractors to the Aon OCIP Administrator before performing any work. Applicable policies must be written through an insurance company possessing a rating not less than A-VII or

Maryland Transit Administration 1-3-19 10 SUBCONTRACTOR RESPONSIBILITIES higher established by the A.M. Best Company. Note the contractual requirement that the Contractor must provide the Maryland Transit Administration advance written notice of at least sixty (60) days in case of cancellation, material change in policy terms or coverage non-renewal.

Note: Contractor’s Automobile Liability, General Liability and Excess/Umbrella Liability Policies must name the Maryland Transit Administration, its officials, employees and agents and any wholly owned subsidiaries as additional insureds and must state that coverage is afforded on a primary and non-contributory basis.

The Resident Engineers and Area Managers of MTA have the right to stop work or prevent any non-enrolled Contractor or subcontractor of any tier from entering the Job Site until the Contractor's certificate has been filed. Denial of site access for this reason will not be accepted as the basis for a delay claim.

Waivers of Subrogation All Contractors and subcontractors of any tier agree to waive all rights of subrogation against each other and the Maryland Transit Administration, its officers, agents, employees and any of its insurers regarding any insured loss, whether the insurance is provided by the OCIP or purchased by the Contractor for the project.

Contractors and subcontractors of any tier must agree that this waiver applies to its insurers, including any insurance policies covering physical loss or damage to owned, non-owned, or leased machinery, watercraft, vehicles, tools, or equipment.

The Maryland Transit Administration shall waive all rights of subrogation against the Contractors and subcontractors of any tier as respects any insured loss covered under the OCIP for those enrolled Contractors and subcontractors.

Note: Contractor’s Workers’ Compensation & Employer’s Liability, General Liability, Automobile Liability, Excess/Umbrella Liability and Property insurers shall provide Waiver of Subrogation in favor of Maryland Transit Administration.

Additional Insured Wording: Maryland Transit Administration, its officials, employees and agents and any other wholly owned subsidiaries as Additional Insureds on Commercial General Liability, Auto Liability, Umbrella or Excess Liability as respects claims or liabilities arising from, or connected with Contractor’s work, operations, and completed operations. Coverage is primary and non-contributory. Waiver of Subrogation applies in favor of Additional Insureds on all policies.

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Sample COI – EXAMPLE

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How to Upload a Document (Certificate of Insurance) 1. Navigate to the contract and Click Upload Document 2. You can upload any of the following document “types” FILE TYPE EXTENSION Text Files .txt Worksheets .xls,.xlsx,.wrk,.wls Web .htm,.html Images .jpg,.gif,.bmp,.tif,.png Compressed Files .zip,.rar PDF Files .pdf Word Files .doc,.docx Presentations .ppt,.pptx 1. Your document NAME cannot contain any of the following characters # ~ % & { } 2. Select the Document Type and add a description – then click on Save & Close Contractors are responsible for monitoring their Subcontractor’s Certificates of Insurance. Maryland Transit Administration reserves the right to disapprove the use of Subcontractors unable to meet the insurance requirements or who do not meet other Maryland Transit Administration policy requirements.

The limits of liability shown for the insurance required of the Contractors of any tier are minimum limits only and are not intended to restrict the liability imposed on the Contractor’s or Subcontractors for work performed under their subcontract. Please refer to your subcontract for details. Contractor Responsibilities The Contractor and its Subcontractors are required to cooperate with Maryland Transit Administration and the OCIP Administrator in all aspects of OCIP operation and administration. Throughout the course of the OCIP, all parties will be responsible for reporting and maintaining certain records as outlined in this section. The responsibilities include, but are not limited to: • Complying with the provisions of the OCIP Manual and cooperating in the administration and operation of the OCIP • Identifying and removing from your bid the cost of OCIP-provided insurance • Providing each subcontractor with a copy of the OCIP Insurance Manual and the Maryland Transit Administration Construction Safety Manual • Enrolling in the OCIP and assuring all subcontractors promptly enroll in the OCIP prior to the start of any work • Including OCIP provisions in all subcontracts as appropriate • Providing timely evidence of insurance to the OCIP Administrator • Notifying the OCIP Administrator of all subcontracts awarded • Maintaining and reporting monthly payroll records • Cooperating with the OCIP Administrator’s requests for information • Complying with insurance, claim and safety procedures • Reporting claims promptly and cooperating with all follow-up requests • Notifying the OCIP Administrator immediately of any insurance cancellation or non-renewal of Contractor-required insurance • Posting the “Workers’ Compensation Law Compliance Notification” and an “In Case of Work Related Accident” notice in the work area or construction trailer • Complying with the Maryland Transit Administration’s Construction Safety Manual and all other contractual safety and loss control requirements

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Contractor Bids Maryland Transit Administration provides Workers’ Compensation, General Liability and Excess Liability insurance for all Enrolled Parties under the OCIP for Work performed at the Project Site. The section below, “Identifying Contractor and Subcontractor Insurance Costs” describes the procedures for bidding. Identifying Contractor Insurance Costs The Maryland Transit Administration provides insurance for all Eligible and Enrolled Parties under the OCIP for Work performed at the Job Site. Each Contractor and subcontractor of any tier is required to exclude the cost of OCIP-provided insurance in its bid price for the proposed scope of work. Change orders will be similarly priced for Enrolled Parties to exclude the cost of OCIP-provided insurance coverages. Contractors are solely responsible for ensuring that their subcontractors of all tiers also deduct the cost of OCIP-provided insurance coverages from their bids and any requests for payment. Enrollment Each Contractor and subcontractor of any tier shall provide details about its Sub-subcontractors as necessary for OCIP enrollment. All of the information requested on the Enrollment Application form (Aon Form 3) in Section 8 is required for enrollment. This form must be completed and submitted to the OCIP Administrator prior to mobilization to obtain coverage under the OCIP via AonWrap. How to Access the AonWrap Application You can access AonWrap by entering https://www.aonwrap.aon.com in your Internet Browser.

How to Login Once at the AonWrap home page: • Enter your unique User ID and enter your Password • Click on the LOGIN button to gain access to the secure AonWrap application • Please note that the first time you log on you will be requested to change your password • Contact the OCIP Administrator to obtain a User ID Notice of Award – Notification of Contractor to Aon • From the Welcome Page use the browse program option. • Click New NOA (Notice of Award) and complete the information on your subcontractor

Once enrollment is complete, the OCIP Administrator will issue to each Enrolled Party a Welcome Letter and a OCIP Certificate of Insurance acknowledging acceptance of the applicant into the OCIP. The insurance carrier will issue a separate Workers’ Compensation policy to each Enrolled Party.

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Please Note: Enrollment is not automatic! Enrollment into the OCIP is required, but not automatic. Access to the Project Site will not be permitted until enrollment is complete. Eligible Contractors and subcontractors MUST complete the enrollment forms and submit to the OCIP Administrator who will confirm complete enrollment into the OCIP. If a Contractor or subcontractor obtains access to the site, with or without Maryland Transit Administration’s knowledge, OCIP coverage will not be provided if sub is not enrolled. Un-enrolled/excluded subs do not have any insurance coverage under the OCIP.

Assignment of Premiums Maryland Transit Administration pays the cost of the OCIP insurance coverage. All Enrolled Parties will assign, to Maryland Transit Administration, all adjustments, refunds, premium discounts, dividends, deductible payments, costs or any other monies due from or to the OCIP insurer(s). Contractors will assure that Subcontractor has executed such an assignment. Payroll Reports In order to administer the workers’ compensation policy, by the 10th of each month every Enrolled Party must submit to the OCIP Administrator an Onsite Payroll Report via the AonWrap website identifying man- hours and payroll for all work performed at the Project Site. This report shall classify the labor expended at each Project Site according to the Standard Workers' Compensation Insurance Classification and included in the Contractor’s Enrollment Form (Aon Form 3). Payroll should be reported via AonWrap website at https://www.aonwrap.aon.com/default.asp Please contact the Aon Administrator for a user id and password.

NOTE: The Monthly Payroll Report should include the “straight-time” payroll and the “straight-time” portion of any “overtime” payroll for all OCIP qualified employees, including onsite supervisors and onsite clerical personnel.

A monthly payroll report must be submitted for each month, including “zero (0) payroll” for those months were no onsite labor was expended, until completion of the work under each Subcontract. For those Contractors performing Work under multiple subcontracts, a separate Onsite Payroll Report is required for each Subcontract.

How to Report Payroll 1. From your contract, click on the Forms ribbon “Payroll” Button and select “New Payroll Report” 2. Enter information on your onsite activity for the reporting period

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3. Enter your signature information- Fields with “*” are required 4. When you have completed the entry of all your information, click on “Save and Submit” on your Payroll Detail Ribbon at the top of the form

Please Note: Failure to submit any OCIP insurance Forms as required may result in the withholding of payments until required documentation is received or a penalty for failure to comply.

Change Order Procedures Contractors will price Change Orders to exclude their Insurance Cost and must provide an estimated payroll, including Contractors estimated payroll, amounts for work performed under the Change Order, unless otherwise directed by Maryland Transit Administration. Insurance Company Payroll Audit Each Enrolled Party is required to maintain payroll records for each Subcontract. Such records will allocate the payroll by Workers’ Compensation classification(s) and exclude the excess or premium paid for overtime (i.e., except for projects in the state of Pennsylvania and Delaware, only the straight time rate will apply to overtime hours worked). Furthermore, such records will limit the payroll for Executive Officers and Partners/Sole Proprietors to the limitations as stated in the State manual rules.

It is important that you properly classify payrolls, as these are reported to the rating bureau for promulgation of future Experience Modifiers for your firm. All Enrolled Parties shall make available their books, vouchers, contracts, documents, and records, of any and all kinds, to the auditors of the OCIP insurance carrier(s) or Maryland Transit Administration’s representatives. Availability of records must be for a reasonable time during the policy period, any extension, or during a final audit period as required by the insurance policies. Closeout and Audit Procedures An enrolled Contractor or Subcontractor must submit the Notice of Work Completion when a Contractor and/or Subcontractor have completed its Work at the Project Site and no longer has onsite workers. The Notice of Work Completion will initiate the final payroll report and audit of payroll and man-hours by the OCIP Insurer. Notice of Work Completion should be reported via AonWrap website at https://www.aonwrap.aon.com/default.asp Please contact the Aon Administrator for a user id and password.

Should the Contractor or Subcontractor return to the Project Site, for any reason, they will do so under their own insurance program and must provide Maryland Transit Administration with a Certificate of Insurance showing their own coverage as detailed in the Subcontract.

Maryland Transit Administration will not release final retention payment until all necessary forms have been submitted and accepted by the OCIP Administrator as well as all requirements of their Subcontract Agreement. OCIP Termination or Modification Maryland Transit Administration may, for any reason, modify the coverage provided by the OCIP insurance policies, discontinue the OCIP or any part thereof, or request that a Contractor or any of its Enrolled Subcontractors of any tier withdraw from the OCIP upon written notice. Upon such notice Contractor and/or one or more of its Enrolled Subcontractors, as specified by Maryland Transit Administration in such notice, shall obtain and thereafter maintain during the performance of the Work, all (or a portion thereof as specified by Maryland Transit Administration) replacements of the OCIP Coverages. The cost of the replacement insurance shall be at Maryland Transit Administration’s expense, but only to the extent of the applicable costs of the OCIP insurance policies and equal to, or the applicable proportion of, the Contractor’s alternative for insurance coverages as verified by the OCIP Administrator.

Maryland Transit Administration 1-3-19 16 SUBCONTRACTOR RESPONSIBILITIES

Need Assistance with AonWrap or OCIP Forms Completion? 1. Click on Help

2. Click on AonWrap Help 3. Search for your topic

Maryland Transit Administration 1-3-19 17 ON- SITE CLAIM PROCEDURES On-Site Claim Procedures General Procedures It is the responsibility of the Contractor and subcontractors to report all incidents, injuries, occupational-related illnesses or property damage to the MTA Resident Engineer and Risk Manager within twenty (20) minutes. All Contractors and subcontractors of all tiers will instruct their employees and other personnel of this requirement.

Failure to report incidents, injuries, occupational-related illnesses or property damage timely will be considered a violation of the project safety rules and regulations. Note: Any notification of claims or incidents to any parties other than the MTA Resident Engineer and Risk Manager does not constitute proper notification.

Investigation Assistance All Contractors and subcontractors must assist in the investigation, defense of any accident, occurrence or insured loss. This may include securing and giving evidence and obtaining the participation and attendance of witnesses required for the investigation and defense of any claim or lawsuit. Any questions concerning a loss should be directed to the MTA Risk Manager. Any inquiries or correspondence received regarding an incident occurrence or insurance loss shall be forwarded to the MTA Risk Manager and Project Resident Engineer.

The insurance carrier will investigate and negotiate resolution of a loss that is insured under the OCIP. Enrolled Contractors WILL NOT attempt to adjust or settle any claims unless it is determined by the MTA Risk Manager, USI Insurance Services National Inc. (Broker), and the Claims Consultant (CMS) that a loss is not covered under the Owner Controlled Insurance Program policies.

If an enrolled Contractor or subcontractor is served with a summons, subpoena, notice of deposition, or suit papers related to an OCIP claim or coverage provided under the OCIP, the Contractor should: 1. IMMEDIATELY NOTIFY your Project Resident Engineer, and the MTA Risk Manager of the document. Failure to do so may result in denial of a covered claim. 2. SEND a copy of the document as soon as possible to the MTA Risk Manager by fax or email at: Gail Allen Office of Safety, Quality Assurance and Risk Management Maryland Transit Administration 1515 Washington, Boulevard, Suite 2200B Baltimore, MD 21230 FAX: 410.244.1388 EMAIL: [email protected] 3. Be sure to note (and send with the document): a. the date the document was served (received); b. how the document was served (hand delivery, mail, fax, etc.); and c. the person on whom the document was served.

1. The employee must report all injuries or illnesses to his/her supervisor or department designee immediately and the MTA Project Resident Engineer (no exceptions). 2. Insure the injured worker receives immediate medical attention. 3. Contact designated first aid/medical personnel, transport the injured party to the on-site first aid or medical facility, as necessary. Provide the medical provider with a completed Site Treatment Authorization form which is located on the last page of this manual. 4. Report all injuries or occupational-related illnesses immediately to the injured worker’s employer, project supervisor, MTA Project Resident Engineer and Risk Manager. 5. Use the Workers Compensation claim form: MD First Report of Injury (example follows)

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6. MTA will report any claims on behalf of Contractors and subcontractors to the insurance carrier. Please make several copies of the blank worker’s compensation claim form and retain for your records. In the event of a claim, complete the form for the injured worker and make two copies of the completed form. One copy accompanies the injured worker to the treatment facility and one should be faxed or scanned/emailed to: Gail Allen Office of Safety, Quality Assurance and Risk Management Maryland Transit Administration 1515 Washington, Boulevard, Suite 2200B Baltimore, MD 21230 FAX: 410.244.1388 EMAIL: [email protected] 7. The MTA Risk Manager will report the loss to the insurance carrier for appropriate handling.

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Maryland Transit Administration 1-3-19 20 ON- SITE CLAIM PROCEDURES

Maryland Transit Administration 1-3-19 21 ON- SITE CLAIM PROCEDURES

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Return to Work Program – Temporary Alternative Position Purpose: Maryland Transit Administration is committed to providing a safe work place for both its employees and the Contractor and Subcontractors’ employees; facilitating prompt quality medical care in the event of a work-related injury; and pursuing modified alternate duty to minimize the risks and financial burdens to its workforce.

Maryland Transit Administration has a “Return to Work” (RTW) program, which will be implemented by each Contractor of every tier. Each Contractor of every tier will provide a Modified Alternate Duty Program for an employee who has sustained a work related injury or illness and is medically unable to perform all or any part of his / her normal duties during all or any part of the normal workday or shift.

This applies to all Contractors of all tiers on the project.

The program must include, but not be limited to: ▪ Immediate reporting of all work-related injuries to Maryland Transit Administration ▪ All injured employees will be provided with an approved medical treatment facility listing where appropriate, or a recommended panel listing. If there is any doubt as to where to go for treatment, the injured employee must contact Maryland Transit Administration ▪ Contractors need to communicate to the injured employee and physician Maryland Transit Administration’s Return to Work Program and facilitate Modified Alternate Duty with physicians and the employee. ▪ The injured employee must provide the Maryland Transit Administration Safety Manager, Project Managers, Supervisors and Foreman copies of all medical notes, to include a statement on work capacity. ▪ Modified Alternate Duty assignments must comply with all medical limitations as outlined by a physician. The positions can be on this job or at any location of the employer. Please communicate with Maryland Transit Administration’s Site Safety Manager the location of the injured worker. ▪ Maryland Transit Administration’s Safety Manager, Project Managers, Supervisors and Foreman all must be informed of the modified alternate duty assignment, anticipated length of alternate duty, and the restrictions. ▪ The injured employee is not to assume normal work activities unless there is medical documentation releasing them to their normal duties and presented to Maryland Transit Administration’s Safety Manager.

Maryland Transit Administration 1-3-19 23 ON- SITE CLAIM PROCEDURES

Sample Offer of Temporary Alternative Position Letter (To be used for out-of-work employee who has now been released for work with restrictions)

Dear Employee:

Maryland Transit Administration is extending an offer of temporary transitional employment.

We are aware that you are medically cleared for work with restrictions. The task requirements of the offered position are within the scope of your current physical limitations.

You are being offered a position as a ______. This temporary transitional employment is subject to the limitations described on the attached medical report from ______. The wages you will be paid are $______per hour. The work hours are ______.

You are expected to return to work in the transitional position as described above on ______(date) at ______am/pm. Please report directly to ______at the ______project/site located at ______.

Any questions regarding this temporary position offer should be directed to ______immediately.

YOUR FAILURE TO REPORT TO WORK AS OUTLINED ABOVE MAY RESULT IN THE TERMINATION OF YOUR WORKER’S COMPENSATION BENEFITS.

Sincerely, Liability Claims Contractors and subcontractors must immediately report all accidents at the Job Site involving death, injury, or damage to property of nonemployee personnel (the public, tenants, and visitors) to the Project Resident Engineer, MTA Risk Manager and OCIP Consultant.

Provide notification to the Project Resident Engineer, MTA Risk Manager and OCIP Consultant by completing the following General Liability Notice of Occurrence/Claim form (example follows).

If a General Liability Claim is submitted against a MTA Construction Management Division (CMD) Project, both the Resident Engineer and the MTA Risk Manager should be notified as early as possible. The responsibility for claims investigation lies with the MTA Risk Manager.

The Resident Engineer’s role is one of support. The CMD Resident Engineer will provide, at the MTA Risk Manager’s request, any backup documentation, that would include stage of construction, photos, and recent construction reports, relevant to the claim. The Resident Engineer should remain engaged with the MTA Risk Manager’s claims process and review and comment on any findings prior to the Claims Investigator producing his/her final report.

Fax or scan/email claim form to: Gail Allen Office of Safety, Quality Assurance and Risk Management Maryland Transit Administration 1515 Washington, Boulevard, Suite 2200B Baltimore, MD 21230 FAX: 410.244.1388 EMAIL: [email protected]

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MARYLAND TRANSIT ADMINISTRATION Owner Controlled Insurance Program (OCIP) General Liability Claim Notification

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Maryland Transit Administration 1-3-19 26 ON- SITE CLAIM PROCEDURES

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As soon as the on-site personnel become aware of the accident or occurrence, they must: 1. Take appropriate emergency measures to prevent additional injury or damage, including contacting police and fire authorities as required by law. 2. Complete and submit a general liability loss notice to the Project Resident Engineer, MTA Risk Manager and OCIP Consultant within twenty (20) minutes of the incident. 3. Immediately send all subsequent inquires or correspondence about an insured loss or claim, including a summons or other legal documents, to the MTA Risk Manager and OCIP Consultant. If served with a summons or other legal document relating to a covered claim under the OCIP, notify the MTA Risk Manager and OCIP Consultant immediately.

Do not voluntarily admit liability and cooperate with Maryland Transit Administration and the OCIP insurer representatives in the accident investigation.

Builder’s Risk Claims Provide notification to the Project Resident Engineer, MTA Risk Manager and OCIP Consultant by completing the following Builder’s Risk Claim form (example follows).

The Contractor will submit a complete inventory of the property damage with a detailed cost estimate to the MTA Risk Manager within 15 days from the date of the accident, unless an extension is granted in writing. Failure to promptly provide this documentation will jeopardize payment of the claim. The Contractor is responsible to provide status updates every 30 days until the claim is closed and final payment has been made.

If a Builders’ Risk Claim is submitted against a MTA Construction Management Division (CMD) Project, both the Resident Engineer and the MTA Risk Manager should be notified as early as possible. The responsibility for claims investigation lies with the MTA Risk Manager.

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MARYLAND TRANSIT ADMINISTRATION Owner Controlled Insurance Program (OCIP) Builder’s Risk Claim Notification

Maryland Transit Administration 1-3-19 29 ON- SITE CLAIM PROCEDURES

Automobile Claims No coverage is provided for automobile accidents under the OCIP. It is the sole responsibility of each Party to report accidents/claims involving their automobiles to their own insurers.

However, all accidents occurring in or around the Project site must be reported to Maryland Transit Administration’s Site Safety Manager. Accident investigations will occur and focus on liability arising out of the Project construction activities that could result in future claims (i.e. due to the conditions of the roads, etc.). Each Party shall cooperate in the investigation of all automobile accidents. Pollution Claims Report claims by immediately notifying the Project Risk Engineer, MTA Risk Manager and OCIP Consultant of any known or suspected pollution incidents. Loss Runs An enrolled Contractor may obtain loss runs for their own onsite experience by requesting, in writing on their company letterhead, directed to the Insurance Administrator.

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OCIP Forms

This section contains the forms needed for the OCIP. 1. Aon Form 3 this can also be completed online via www.AonWrap.Aon.com

Note: For assistance in completing these forms, please contact the OCIP Wrap-Up Specialists.

BIDDING CHECKLIST

ALL DOCUMENTS AND INFORMATION NEEDED FOR BIDDING

Did you notify your insurance agent you are a participant in the Maryland Transit Administration OCIP program?

Did you attach a copy of your current Certificate of Insurance that matches the subcontract requirements?

Do you have SUBCONTRACTORS? ▪ Notify Aon as soon as the subcontractor is identified via AonWrap Notice of Award PRIOR to the subcontractor starting work on site. ▪ Provide a copy of the Maryland Transit Administration OCIP manual and contract language to all your subcontractors, and require that they do the same for any of their subcontractors

If you or your insurance agents have any questions regarding the Maryland Transit Administration OCIP, please contact OCIP Program Administrator:

Wrap-Up Specialist: Michelle Testa, Wrap-Up Wrap-Up Hotline: 866Specialist-222-4438 Wrap-Up Fax Number: 800-363-6695 Wrap: -Up Email: [email protected]

Maryland Transit Administration 1-3-19 31

OCIP FORMS

Form 3 Maryland Transit Administration OCIP Form-3 Numbers reference attached instructions Page 1 of 3

Examine your current Workers’ Compensation and General Liability Policies or contact your Insurance Agent to assist you with completing this form. *** NOTICE *** Enrollment is not automatic and requires the satisfactory completion of the Aon Form-3. In addition, submit a Certificate of Insurance providing evidence of your offsite coverage. Please refer to the Insurance Manual for coverage requirements. 1 A. Contractor Information: Federal ID # or Soc. Sec. #:  Business Information (headquarters)  Contact Information Company Name & dba: 2 3 Contact Name & Title: Address: City, MA Zip Code: Telephone: Fax: Email Address: Indicate your Organization’s 4  Corporation  Partnership  S-Corporation Structure:  Joint Venture  Sole Proprietor  Other ______B. CONTRACT INFORMATION: Contract No.: 1 Date Contract Awarded: 2 Description of Work: 3 4 Are you Submitting a bid to Maryland Transit 6 Proposed Contract Price $: Yes No Administration: Amount of Self Performed Work 5 If No, identify to whom: 7 7  Actual 8  Actual Start Date:  Estimated Completion Date:  Estimated C. Contacts: (Complete if Applicable) Position 1 Name & Title 2 Phone 3 Fax 4 email address Project Mngr: Res. Engineer: Insurance: Contract Admin: Payroll: Claims: Safety Rep: Provide Location of payroll records if 5 Phone different than Corporate address: : City, MA, Zip Code: Fax: D. Workers’ Compensation Insurance Information for Work Described Above: (attach a separate sheet if necessary) a b c d e State Class Code Description Man-hours Payroll

Totals 2 3

E. Provide your current Offsite Workers’ Compensation Information: (for each state you will perform work in) Applicable State Risk ID Number Rating Bureau Anniversary Rating Date 1 2 3 4

Your WC Insurance Carrier: 5 Policy #: 6 Effective Date: 7 Expiration Date: 8

Maryland Transit Administration 1-2-2019 32

OCIP FORMS Form 3 Maryland Transit Administration OCIP Form-3 Numbers reference attached instructions Page 2 of 3

F. Subcontract Information: List all subcontractors that will be working for you on this project (complete the information in the following table). Use additional paper if necessary:

5 1 2 3 4 6 Phone Number Subcontractor Subcontract $ Contact Person Address Estimated Start Date Email Address

G. Enrollment Questions: Answer each question. Use additional paper if necessary.

1 Will you have any offsite location(s) 100% dedicated to this project? Yes No If yes, please provide address:

2 Please check if: Any aircraft used on this project Any watercraft used on this project 3 Please indicate if labor from the following sources will be used: Employee Leasing Firm PEO 4 PEO Name 5 PEO Address 6 What is your current experience modification? 7

H. WARRANTY APPLICABLE T O P R O G R A M INSURANCE COVERAGE

Premiums for this Program are the responsibility of Maryland Transit Administration and I agree any and all return of premium, dividends, discounts, or other adjustments to any Program policy(ies) is assigned, transferred and set over absolutely to Maryland Transit 1 Administration. This assignment applies to the Program policy(ies) as now written or as subsequently modified, rewritten or replaced. Rights of Cancellation for all Program insurance policy(ies) arranged by Maryland Transit Administration are assigned to Maryland Transit Administration.

2 I will pay the cost of premium(s) for non-Program insurance coverage, specified in the Contract Documents.

3 I authorized the release of all claim and audit information for all insurance policies under this Program.

4 It is my responsibility to notify my insurance carrier(s) that I am enrolling in this Program.

5 I have omitted from my bid the insurance costs for the coverage provided by Maryland Transit Administration Construction. I further agree to the Aon Verified Insurance Cost Rate as described in the Insurance Manual.

6 The statements in this insurance application are true to the best of my knowledge. I. Signature Block : I verify the information presented above and attachments are correct: Name: Date: (please print) Title: Signatur e: Note: Information can be submitted on-line at www.aonwrap.aon.com. Please contact your Administration Staff to obtain a user ID and Password.

Fax or Mail to: #570000032077/Maryland Transit Administration/Project Phone: 866-222-4438 Number/Project Name c/o Aon Construction Wrap-Up Team Fax: 800-363-6695 4 Overlook Point Lincolnshire, IL 60069 Or Email to: [email protected]

Maryland Transit Administration 1-2-2019 33

OCIP FORMS

Form 3 Maryland Transit Administration OCIP Form-3 Instruction Page 3 of 3 This form must be completed and submitted by each successful Contractor and subcontractor of any tier prior to Site mobilization for each contract awarded. The Contractor and subcontractor will submit the completed form to Aon Risk Services. Upon receipt of this form, Aon will issue to the Contractor or subcontractor a Certificate of Insurance evidencing coverage in the Controlled Insurance Program. The completed Certificate of Insurance and Workers’ Compensation insurance policy will be mailed to the Enrolled party. A. Contractor Information 1 Enter your company’s Federal ID number. This number can be found on filings made to the federal government such as your tax return. 2 Enter your company’s name, mailing address and phone/fax number for your company’s primary office location. 3 Enter the name of the person Aon should contact if questions arise. Include mailing address, phone/fax and email address, if different than A2. 4 Identify your company’s legal structure by checking the box that applies. If the correct legal structure is not specifically listed, please check the “Other” box and specify in the space provided. B. Contract Information 1 Enter the Contract Number or Purchase Order Number that was included in Maryland Transit Administration Construction’s originating documentation. 2 Supply the Date this Contract was awarded to your organization. 3 Provide a brief description of the work you will be performing at the project site. 4 Identify the total amount of your contract. 5 Identify the amount of work that you anticipate will be self-performed. 6 Check the appropriate box that identifies if you contract directly with Maryland Transit Administration or are a subcontractor. 7 If you are a subcontractor, identify the entity with whom you are under contract. 8 Enter the Date you anticipate starting work and then mark whether the date provided is actual or estimated. 9 Enter the Date you anticipate completing the described work and then mark whether the date provided is actual or estimated. C. Contacts (Requested Contact information is for specific functions. It is possible to have a single person fulfill multiple responsibilities.) 1 Identify the name of the person and their title for each function. These individuals should be located, if at all possible, onsite. 2 Provide the phone number for each person identified above. 3 Provide the fax number for each person identified above. 4 Provide the email address for each person identified above, if applicable. 5 Identify the physical location where your payroll records are retained. Provide the Address, City, MA, Zip Code, Telephone, Fax Number and Email Address of the person responsible for maintaining the payroll information. D. Workers’ Compensation Information (Duplicate or attach additional sheets if necessary. You may create an electronic version of this document if all requested information is included.): 1 a Enter the two letter abbreviation for the state in which the work will be performed. b Enter each Workers’ Compensation class code that applies to the work identified in B2. (Most states use a 4 digit Number) c Enter the Workers’ Compensation class code description that applies to the work identified in D1b. d Enter the estimated Man-hours required to complete the described work by Workers’ Compensation class code. e Enter the estimated Payroll required to complete the described work for each Workers’ Compensation class code. Use only unburdened payroll and exclude the premium portions of any overtime pay. 2 Total all estimated Man-hours for each class code. Be sure to include information from additional pages if used. 3 Total all estimated Payroll for each class code. Be sure to include information from additional pages if used. E. Current Offsite Workers’ Compensation Information (Information relates to your corporation’s existing coverage; identify each modification factor that applies.) 1 Enter the State that the Modification Information applies to. 2 Enter your Bureau File Number also referred to as your Risk Identification Number. This number can also be found on your Modification worksheets. 3 Enter the Bureau Rating Agency. In most states this is NCCI. 4 Provide your Company’s Anniversary Rating Date. Information can be located on your bureau’s WC Experience Modification worksheets. 5 Identify your insurance carrier for Workers’ Compensation Coverage. 6 Provide your Workers’ Compensation Policy Number. 7 Provide the effective date of your Workers’ Compensation policy. 8 Provide the expiration date of your Workers’ Compensation policy. F. subcontractor Information (Provide the following information for each subcontractor that will be performing work at the project site. Use additional sheets, if necessary.) 1 Identify the name of the Subcontracting firm. 2 Provide the estimated value of the subcontracted activity. 3 Provide a contact name, preferably the project manager, for the subcontractor. 4 Provide the mailing address for the subcontractor. 5 Provide the phone number for the subcontractor. 6 Provide the date the subcontractor is scheduled to begin work. G. Enrollment Questions 1 Determine if you will have any locations, offsite, that will be 100% dedicated to this project. Include material/supply storage as a possible location. Mark the appropriate box (yes/no). If you answer yes – provide the address of each location you identified as 100% dedicated. 2 Mark the box or boxes that apply. Contemplate only work performed under this contract. 3 Mark the box or boxes that apply. Employee Leasing Firm are those firms that supply the labor force for your company (You direct the activities of the Leasing Company’s employees). Temporary Labor Firms supplement your labor force. H. Warranty Statements: 1-6 Read each Warranty statement thoroughly. If you have questions regarding any of these statements, contact the Aon administrator identified on page 2. I. Signature Block: This form must be signed by a representative of your company knowledgeable of its accuracy. Forward the completed Enrollment Application to the Aon administrator identified at the bottom of page 2 of this form. The administrator prior to the start of your work onsite must receive this form.

Maryland Transit Administration 1-2-2019 34

SUBCONTACTOR UTILIZATION FORM

The attached form is for informational purposes only. It will only have to be completed by the successful bidder on the project. A copy of the form will be sent to the successful bidder along with the contract and Notice of Intent and should be returned to MTA with the other required paperwork within ten (10) days of receipt of the letter.

T-1223-1740 SUI 1 OF 2

Maryland Department of Transportation Sub-Contractor Utilization Information Form

Prime Contractor (Name of Firm): Telephone: Fax: E-Mail:

Prime Contractor: (Address-Number, Street, City, State, Zip)

FEIN Number: Contract Number: Contract Amount: (Dollars)

Sub -Contractor (Name of Firm): Telephone: Fax: E-Mail:

Sub - Contractor: (Address-Number, Street, City, State, Zip)

FEIN Number: MDOT-DBE Certified (y/n): Annual Gross Income: If yes, give MDOT Cert.#

List Years in Business: List Description of Service You Provide:

Sub -Contractor (Name of Firm): Telephone: Fax: E-Mail:

Sub - Contractor: (Address-Number, Street, City, State, Zip)

FEIN Number: MDOT-DBE Certified (y/n): Annual Gross Income: If yes, give MDOT Cert.#

List Years in Business: List Description of Service You Provide:

Sub -Contractor (Name of Firm): Telephone: Fax: E-Mail:

Sub - Contractor: (Address-Number, Street, City, State, Zip)

FEIN Number: MDOT-DBE Certified (y/n): Annual Gross Income: If yes, give MDOT Cert.#

List Years in Business: List Description of Service You Provide:

NOTE: Please copy this sheet if additional sub-contractors are used.

T-1223-1740 SUI 2 OF 2

PAYMENTS TO CONTRACTORS BY ELECTRONIC FUNDS TRANSFER

Every solicitation for a contract expected to exceed $200,000 is required to contain the following provision: The Bidder agrees to accept payments by electronic funds transfer unless the State Comptrollers Office grants an exemption. The selected Bidder shall register using the attached form COT/GAD X-10 Vendor Electronic Funds (EFT) Registration Request Form. Any request for an exemption must be submitted to the State Comptroller’s Office for approval at the address specified on the COT/GAD X-10 form and must include the business identification information as stated on the form and include the reason for the exemption. Once a contractor registers to receive payments electronically, all State payments to the contractor (including payments under other State contracts regardless of value) will be disbursed via electronic funds transfer.

T-1223-1740 EFT 1 of 3

Vendor Electronic Funds Transfer (EFT) Registration Request Form

Date of request Business identification information (Address to be used in case of default to check): Business name Address line1 Address line 2 City State

Zip code Business taxpayer identification number:

Federal Employer Identification Number:

(or) Social Security Number:

Business contact name, title, and phone number including area code. (And address if different from above).

Financial institution information: Name and address

Contact name and phone number (include area code)

ABA number

Account number

Account type Checking Money Market A voided check from the bank account must be attached. Transaction requested: 1. Initiate all disbursements via EFT to the above account. 2. Discontinue disbursements via EFT, effective . 3. Change the bank account to above information—a copy of the approved Registration Form for the previous bank account must be attached. (OVER)

T-1223-1740 EFT 2 of 3

I am authorized by * (hereinafter Company) to make the representations contained in this paragraph. Company authorizes the Comptroller and the Treasurer of Maryland to register it for electronic transfer (EFT) using the information contained in this registration form. Company agrees to receive all funds from the State of Maryland by electronic funds transfer according to the terms of the EFT program. Company agrees to return to the State of Maryland any EFT payment incorrectly disbursed by the State of Maryland to the Company’s account. Company agrees to hold harmless the State of Maryland and its agencies and departments for any delays or errors caused by inaccurate or outdated registration information or by the financial institution listed above. *Name of registering business entity

Signature of company treasurer, controller, or chief financial officer and date

Completed by GAD/STO Date Received GAD registration information verified Date to STO STO registration information verified Date to GAD

R*STARS Vendor No. and Mail Code Assigned:

/ /

State Treasure’s Office approval date General Accounting Division approval date

To Requestor:

Please retain a copy of this form for your records. Please allow approximately 30 days from the date of your request for the Comptroller’s and Treasurer’s Offices to process your request. Failure to maintain current information with this office could result in errors in payment processing. If you have any questions, please call the EFT registration desk at 410-260-7375.

Please submit form to: EFT Registration, General Accounting Division Room 205, P.O. Box 746 Annapolis, Maryland 21404-0746 COT/GAD X-10

T-1223-1740 EFT 3 of 3 STATE OF MARYLAND

DEPARTMENT OF TRANSPORTATION

MARYLAND TRANSIT ADMINISTRATION

CONTRACT AGREEMENT

FOR

METRO STATE CENTER AND CHARLES CENTER DOOUBLE CROSSOVERS

CONTRACTOR: CONTRACT NO.: T-1223-1740

DATE: To Be Filled in by the Administration

THIS CONTRACT, made and entered into as of the above date by and between the MARYLAND TRANSIT ADMINISTRATION (“MTA”), a modal agency of the Maryland Department Of Transportation acting for and on behalf of the State of Maryland, and ______a ______company (hereinafter called “Contractor”)

In the event of any discrepancy or dispute, the following is the order of precedence: (1) The Contract, (2) Specifications, (3) Drawings, (4) Supplementary General Provisions, and (5) General Provisions.

The Contractor, sub recipient, or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in performance of this Contract. The Contractor shall carry out applicable requirements of 49 CFR, Part 26 in the award and administration of DOT-assisted contracts. Failure by the Contractor to carry out these requirements is a material breach of this Contract, which may result in the termination of this Contract or such other remedy, as MTA deems appropriate.

Contractor covenants and agrees to perform all obligations of Contractor set forth in this Contract and in the documents listed below, which documents are incorporated herein by reference and which documents together with this Contract are hereinafter called "Contract Documents".

* Exhibit A Contract Specification Book which includes the MDOT General Provisions, the MTA Supplementary General Provisions, and the Special Provisions * Exhibit B Contract Drawings * Exhibit C Addendum No. to * Exhibit D Contract Affidavit

PERIOD OF PERFORMANCE: 310 Calendar Days from NTP

Contract No. T-1223-1740 C Page 1 of 3

LIQUIDATED DAMAGES:

Phase 1 21 Days $500.00 per hour Phase 2 15 Days $500.00 per hour Phase 3 24 Days $500.00 per hour Phase 4 18 Days $500.00 per hour

Completion of all Contract Work: 310 Days $2,870.00 Per Calendar Day

Pursuant to General Provisions Articles GP-8.02 and GP-8.03, the Contractor shall commence work on or before the date specified in the Notice to Proceed (NTP) and complete the contract within a total of 91 construction days during a 310 Day calendar period.

In the event that the Contractor fails to complete the specified work within the specified number of days after NTP, with the exception of extensions granted by change order, liquidated damages in the amount of $2,870.00 per calendar day will be assessed pursuant to General Provisions Article GP-8.09 for each calendar day the completion of the specified work is delayed. The Administration may deduct the sum of liquidated damages from any monies due or that may become due the Contractor under the Contract, or if such monies are insufficient, the Contractor or sureties thereof shall pay to the Administration any deficiency within 30 calendar days.

COMPENSATION: In consideration of the faithful performance of all of Contractor obligations hereunder, the Administration shall pay to Contractor the compensation specified in Exhibit "A" Bid Form.

Aggregate Contract Amount:

ADDRESSES:

Contractor: Administration:

Department of Transportation Maryland Transit Administration 6 St. Paul Street Baltimore, Maryland 21202-1614

Contract No. T-1223-1740 C Page 2 of 3

IN WITNESS WHEREOF, the parties hereto have executed this Contract as of the date first above written.

WITNESS:

(Signature)

(Federal Tax ID Number) (Printed Name)

(Title)

WITNESS: MARYLAND TRANSIT ADMINISTRATION

(Printed Name)

(Title)

Approved as to Form and Legal Sufficiency: APPROVED BY BOARD OF PUBLIC WORKS

Date: Item No.:

Assistant Attorney General

Contract No. T-1223-1740 C Page 3 of 3

CONTRACT AFFIDAVIT

A. AUTHORITY

I HEREBY AFFIRM THAT: I, ______(print name), possess the legal authority to make this Affidavit.

B. CERTIFICATION OF REGISTRATION OR QUALIFICATION WITH THE STATE DEPARTMENT OF ASSESSMENTS AND TAXATION

I FURTHER AFFIRM THAT:

The business named above is a (check applicable box):

(1) Corporation —  domestic or  foreign; (2) Limited Liability Company —  domestic or  foreign; (3) Partnership —  domestic or  foreign; (4) Statutory Trust —  domestic or  foreign; (5)  Sole Proprietorship.

and is registered or qualified as required under Maryland Law. I further affirm that the above business is in good standing both in Maryland and (IF APPLICABLE) in the jurisdiction where it is presently organized, and has filed all of its annual reports, together with filing fees, with the Maryland State Department of Assessments and Taxation. The name and address of its resident agent (IF APPLICABLE) filed with the State Department of Assessments and Taxation is: Name and Department ID Number:______Address:______

and that if it does business under a trade name, it has filed a certificate with the State Department of Assessments and Taxation that correctly identifies that true name and address of the principal or owner as:

Name and Department ID Number: ______Address:______.

T-1223-1740 CA 1 of 4

C. FINANCIAL DISCLOSURE AFFIRMATION

I FURTHER AFFIRM THAT:

I am aware of, and the above business will comply with, the provisions of State Finance and Procurement Article, §13-221, Annotated Code of Maryland, which require that every business that enters into contracts, leases, or other agreements with the State of Maryland or its agencies during a calendar year under which the business is to receive in the aggregate $100,000 or more shall, within 30 days of the time when the aggregate value of the contracts, leases, or other agreements reaches $100,000, file with the Secretary of State of Maryland certain specified information to include disclosure of beneficial ownership of the business.

D. POLITICAL CONTRIBUTION DISCLOSURE AFFIRMATION

I FURTHER AFFIRM THAT:

I am aware of, and the above business will comply with, Election Law Article, Title 14, Annotated Code of Maryland, which requires that every person that enters into a procurement contract with the State, a county, a municipal corporation, or other political subdivision of the State, during a calendar year in which the person receives a contract with a governmental entity in the amount of $200,000 or more shall file with the State Board of Elections a statement disclosing: (a) any contributions made during the reporting period to a candidate for elective office in any primary or general election; and (b) the name of each candidate to whom one or more contributions in an cumulative amount of $500 or more were made during the reporting period. The statement shall be filed with the State Board of Elections: (a) before execution of a contract by the State, a county, a municipal corporation, or other political subdivision of the State, and shall cover the 24 months prior to when a contract was awarded; and (b) if the contribution is made after the execution of a contract, then twice a year, throughout the contract term, on (i) May 31, to cover the six (6) month period ending April 30; and (ii) November 30, to cover the six (6) month period ending October 31.

E. DRUG AND ALCOHOL-FREE WORKPLACE

(Applicable to all contracts unless the contract is for a law enforcement agency and the agency head or the agency head’s designee has determined that application of COMAR 21.11.08 and this certification would be inappropriate in connection with the law enforcement agency’s undercover operations.)

I CERTIFY THAT:

(1) Terms defined in COMAR 21.11.08 shall have the same meanings when used in this certification.

(2) By submission of its bid or offer, the business, if other than an individual, certifies and agrees that, with respect to its employees to be employed under a contract resulting from this solicitation, the business shall:

(a) Maintain a workplace free of drug and alcohol abuse during the term of the contract;

(b) Publish a statement notifying its employees that the unlawful manufacture, distribution, dispensing, possession, or use of drugs, and the abuse of drugs or alcohol is prohibited in the business'

T-1223-1740 CA 2 of 4

workplace and specifying the actions that will be taken against employees for violation of these prohibitions;

(d) Not hire or assign to work on the contract anyone who the business knows, or in the exercise of due diligence should know, currently abuses drugs or alcohol and is not actively engaged in a bona fide drug or alcohol abuse assistance or rehabilitation program;

(e) Promptly inform the appropriate law enforcement agency of every drug-related crime that occurs in its workplace if the business has observed the violation or otherwise has reliable information that a violation has occurred;

(f) Establish drug and alcohol abuse awareness programs to inform its employees about:

(i) The dangers of drug and alcohol abuse in the workplace; (ii) The business's policy of maintaining a drug and alcohol-free workplace; (iii) Any available drug and alcohol counseling, rehabilitation, and employee assistance programs; and (iv) The penalties that may be imposed upon employees who abuse drugs and alcohol in the workplace;

(g) Provide all employees engaged in the performance of the contract with a copy of the statement required by §E(2)(b), above;

(h) Notify its employees in the statement required by §E(2)(b), above, that as a condition of continued employment on the contract, the employee shall:

(i) Abide by the terms of the statement; and (ii) Notify the employer of any criminal drug or alcohol abuse conviction for an offense occurring in the workplace not later than 5 days after a conviction;

(i) Notify the procurement officer within 10 days after receiving notice under §E(2)(h)(ii), above, or otherwise receiving actual notice of a conviction;

(j) Within 30 days after receiving notice under §E(2)(h)(ii), above, or otherwise receiving actual notice of a conviction, impose either of the following sanctions or remedial measures on any employee who is convicted of a drug or alcohol abuse offense occurring in the workplace:

(i) Take appropriate personnel action against an employee, up to and including termination; or (ii) Require an employee to satisfactorily participate in a bona fide drug or alcohol abuse assistance or rehabilitation program; and

(k) Make a good faith effort to maintain a drug and alcohol-free workplace through implementation of §E(2)(a)—(j), above.

T-1223-1740 CA 3 of 4

(3) If the business is an individual, the individual shall certify and agree as set forth in §E(4), below, that the individual shall not engage in the unlawful manufacture, distribution, dispensing, possession, or use of drugs or the abuse of drugs or alcohol in the performance of the contract.

(4) I acknowledge and agree that:

(a) The award of the contract is conditional upon compliance with COMAR 21.11.08 and this certification; (b) The violation of the provisions of COMAR 21.11.08 or this certification shall be cause to suspend payments under, or terminate the contract for default under COMAR 21.07.01.11 or 21.07.03.15, as applicable; and

(c) The violation of the provisions of COMAR 21.11.08 or this certification in connection with the contract may, in the exercise of the discretion of the Board of Public Works, result in suspension and debarment of the business under COMAR 21.08.03.

F. CERTAIN AFFIRMATIONS VALID

I FURTHER AFFIRM THAT:

To the best of my knowledge, information, and belief, each of the affirmations, certifications, or acknowledgements contained in that certain Bid/Proposal Affidavit dated ______, 20___ , and executed by me for the purpose of obtaining the contract to which this Exhibit is attached remains true and correct in all respects as if made as of the date of this Contract Affidavit and as if fully set forth herein.

I DO SOLEMNLY DECLARE AND AFFIRM UNDER THE PENALTIES OF PERJURY THAT THE CONTENTS OF THIS AFFIDAVIT ARE TRUE AND CORRECT TO THE BEST OF MY KNOWLEDGE, INFORMATION, AND BELIEF.

Date: ______

By: ______(printed name of Authorized Representative and Affiant)

______(signature of Authorized Representative and Affiant)

T-1223-1740 CA 4 of 4

Surety Bond Assistance Program

Small businesses may qualify for assistance in obtaining bid, performance and payment bonds through the Maryland Small Business Development Financing Authority (MSBDFA). MSBDFA can directly issue bid, performance or payment bonds up to $5 million. MSBDFA may also guarantee up to 90% of a surety’s losses resulting from a contractor’s breach of a bid, performance or payment bond or $1,350,000, whichever is less. Bonds issued directly by the MSBDFA Surety Bond Program (Program) will remain in effect for the term of the contract. Bond guarantees will remain in effect for the term of the bond.

To be eligible for bonding assistance, an applicant must:

1. Have its principal place of business in Maryland or be a Maryland resident; 2. First be denied bonding by at least one surety in both the standard and specialty markets within 90 days of submitting a bonding application to MSBDFA; 3. Employ fewer than 500 full-time employees or have gross sales of less than $50 million annually; 4. Not subcontract more than 75 percent of the work; 5. Have good moral character and a history of financial responsibility; 6. Demonstrate that the contract will have a substantial economic impact; and 7. Never have defaulted on any loan or financial assistance made or guaranteed by MSBDFA.

Applicants are encouraged to apply for assistance under the Program through their respective bonding agents. Questions regarding the bonding assistance program should be referred to:

Maryland Small Business Development Financing Authority c/o Meridian Management Group, Inc. 826 East Baltimore Street Baltimore, Maryland 21202 Phone 410-333-2548 Fax: 410-333-2552 Email: [email protected]

T-1223-1740 SBAP – 1 of 1

STATE OF MARYLAND MARYLAND DEPARTMENT OF TRANSPORTATION

PAYMENT BOND

Principal Business Address of Principal

Name of Surety: A corporation of the State of ______and authorized to do business in the State of Maryland PENAL SUM OF THIS PAYMENT BOND DESCRIPTION OF CONTRACT (express in words and figures) Contract Number: T-1223-1740 Contract Name or Description: Metro State Center and Charles Center Double Crossovers

DATE OF BOND DATE OF CONTRACT (Shall be no later than date on Contract) (To be filled in by the Adm.)

OBLIGEE State of Maryland by and through the following Administration acting for the Maryland Department of Transportation:

MARYLAND TRANSIT ADMINISTRATION

KNOW ALL MEN BY THESE PRESENTS, That we, the Principal named above and Surety named above, being authorized to do business in Maryland, and having business address as shown above, are held and firmly bound unto the Obligee named above, for the use and benefit of claimants as hereinafter defined, in the Penal Sum of this Payment Bond stated above, for the payment of which Penal Sum we bind ourselves, our heirs, executors, administrators, personal representatives, successors, and assigns, jointly and severally, firmly by these co-sureties, bind ourselves, our successors and assigns, in such Penal Sum jointly and severally as well as severally only for the purpose of allowing a joint action or actions against any or all of us, and for all other purposes each co- surety binds itself, jointly and severally with the Principal, for the payment of such sum as appears above its name below, but if no limit of liability is indicated, the limit of such liability shall be the full amount of the Penal Sum.

WHEREAS, Principal has entered into or will enter into a contract with the State, by and through the Administration named above acting for the State of Maryland, which contract is described and dated as shown above, and incorporated herein by reference. The contract and all items incorporated into the contract, together with any and all changes, extensions of time, alterations, modifications, or additions to the contract or to the work to be performed thereunder or to the Plans, Specifications, and Special Provisions, or any of them, or to any other items incorporated into the contract shall hereinafter be referred to as the "Contract". WHEREAS, it is one of the conditions precedent to the final award of the Contract that these presents be executed.

Contract No. T-1223-1470 Rev. 1/07 PA 1 of 3 NOW THEREFORE, the condition of this obligation is such that if the Principal shall promptly make payment to all claimants as hereinafter defined, for all labor and materials furnished, supplied and reasonably required for use in the performance of the Contract, then this obligation shall be null and void; otherwise it shall remain in full force and effect, subject to the following conditions:

1. A claimant is defined to be any and all of those persons supplying labor and materials (including lessors of the equipment to the extent of the fair market value thereof) to the Principal or its subcontractors and subcontractors in the prosecution of the work provided for in the Contract, entitled to the protection provided by Section 9-113 of the Real Property Article of the Annotated Code of Maryland, as from time to time amended.

2. The above named Principal and Surety hereby jointly and severally agree with the Obligee that every claimant as herein defined, who has not been in full may, pursuant to and when in compliance with the provisions of the aforesaid Section 9-113, sue on this Bond for the use of such claimant, prosecute the suit to final judgment for such sum or sums as may be justly due claimant and have execution thereon. The Obligee shall not be liable for the payment of any costs or expenses of any such suit.

The Surety hereby stipulates and agrees that no change, extension of time, alteration or addition to the terms of the Contract or to the work to be performed thereunder or the Specifications accompanying the same shall in any way affect its obligation on this Payment Bond, and it does hereby waive notice of any such change, extension of time, alteration or addition to the terms of the Contract or to the work or to the Specifications.

This Payment Bond shall be governed by and construed in accordance with the laws of the State of Maryland and any reference herein to Principal or Surety in the singular shall include all entities in the plural who or which are signatories under the Principal or Surety heading below.

IN WITNESS WHEREOF, Principal and Surety have set their hands and seals to this Payment Bond. If any individual is a signatory under the Principal heading below, then each such individual has signed below on his or her own behalf, has set forth below the name of the firm, if any, in whose name he or she is doing business, and has set forth below his or her title as a sole proprietor. If any partnership or joint venture is a signatory under the Principal heading below, then all members of each such partnership or joint venture have signed below, each member has set forth below the name of the partnership or joint venture, and each member has set forth below his or her title as a general partner, limited partner, or member of joint venture, whichever is applicable. If any corporation is a signatory under the Principal or Surety heading below, then each such corporation has caused the following: the corporation's name to be set forth below, a duly authorized representative of the corporation to affix below the corporation's seal and to attach hereto a notarized corporate resolution of power of attorney authorizing such action, and each such duly authorized representative to sign below and set forth below his or her title as a representative of the corporation. If any individual acts as a witness to any signature below, then each such individual has signed below and has set forth below his or her title as a witness. All of the above has been done as of the Date of Bond shown above.

Contract No. T-1223-1470 Rev. 1/07 PA 2 of 3

In Presence of: Individual Principal Witness: ______as to ______(SEAL)

In Presence of: Co-Partnership Principal Witness: ______(SEAL) (Name of Co-Partnership)

By:______(SEAL) ______as to ______as to ______(SEAL) ______as to ______(SEAL)

Corporate Principal ______Attest: (Name of Corporation) AFFIX ______By: ______CORPORATE Corporate Secretary President SEAL

______(Surety) AFFIX Attest: (SEAL) By: ______CORPORATE SEAL ______Title ______Signature Bonding Agent's Name: ______(Business Address of Surety) Agent's Address ______

Approved as to legal form and sufficiency this ______day of ______20 ______Asst. Attorney General

Contract No. T-1223-1470 Rev. 1/07 PA 3 of 3

STATE OF MARYLAND MARYLAND DEPARTMENT OF TRANSPORTATION

PERFORMANCE BOND

Principal Business Address of Principal

Name of Surety A corporation of the State of ______and authorized to do business in the State of Maryland PENAL SUM OF THIS PERFORMANCE BOND DESCRIPTION OF CONTRACT (express in words and figures) Contract Number: T-1223-0470 Contract Name or Description: Metro State Center and Charles Center Double Crossovers DATE OF BOND DATE OF CONTRACT (Shall be no later than Date on Contract) (To be filled in by the Adm.)

OBLIGEE STATE OF MARYLAND By and through the following Administration acting for the Maryland Department of Transportation:

MARYLAND TRANSIT ADMINISTRATION

KNOW ALL MEN BY THESE PRESENTS, That we, the Principal named above and Surety named above, being authorized to do business in Maryland, and having business addresses as shown above are held and firmly bound unto the Obligee named above in the Penal Sum of this Performance Bond stated above, for the payment of which Penal Sum we bind ourselves, our heirs, executors, administrators, personal representatives, successors, and assigns, jointly and severally, firmly by these presents. However, where Surety is composed of corporations acting as co-sureties, bind ourselves, our successors and assigns, in such Penal Sum jointly and severally as well as severally only for the purpose of allowing a joint action or actions against any or all of us, and for all other purposes each co-surety binds itself, jointly and severally with the Principal, for the payment of such sum as appears above its name below, but if no limit of liability is indicated, the limit of such liability shall be the full amount of the Penal Sum.

WHEREAS, Principal has entered into or will enter into a contract with the State of Maryland, by and through the Administration named above acting for the State of Maryland, which contract is described and dated as shown above, and incorporated herein by reference. The contract and all items incorporated into the contract, together with any and all changes, extensions of time, alterations, modifications, or additions to the contract or to the work to be performed thereunder or to the Plans, Specifications, and Special Provisions, or any of them, or to any other items incorporated into the contract shall hereinafter be referred as "the Contract."

Contract No. T-1223-1740 Rev. 1/07 PE 1 of 3 WHEREAS, it is one of the conditions precedent to the final award of the Contract that these presents be executed.

NOW, THEREFORE, during the original term of said Contract, during any extensions thereto that may be granted by the Administration, and during the guarantee and warranty period, if any, required under the Contract, unless otherwise stated therein, this Performance Bond shall remain in full force and effect unless and until the following terms and conditions are met:

1. Principal shall well and truly perform the Contract; and

2. Principal and Surety shall comply with the terms and conditions in this Performance Bond.

Whenever Principal shall be declared by the Administration to be in default under the Contract, the Surety may, within 15 days after notice of default from the Administration, notify the Administration of its election to either promptly proceed to remedy the default or promptly proceed to complete the contract in accordance with and subject to its terms and conditions. In the event the Surety does not elect to exercise either of the above stated options, then the Administration thereupon shall have the remaining contract work completed, Surety to remain liable hereunder for all expenses of completion up to but not exceeding the penal sum stated above.

The Surety hereby stipulates and agrees that no change, extension of time, alteration or addition to the terms of the Contract or to the work to be performed thereunder or the Specifications accompanying the same shall in any way affect its obligation on this Performance Bond, and it does hereby waive notice of any such change, extension of time, alteration or addition to the terms of the Contract or to the work or to the Specifications.

This Performance Bond shall be governed by and construed in accordance with the laws of the State of Maryland and any reference herein to Principal or Surety in the singular shall include all entities in the plural who or which are signatories under the Principal or Surety heading below.

IN WITNESS WHEREOF, Principal and Surety have set their hands and seals to this Performance Bond. If any individual is a signatory under the Principal heading below, then each such individual has signed below on his or her own behalf, has set forth below the name of the firm, if any, in whose name he or she is doing business, and has set forth below his or her title as a sole proprietor. If any partnership or joint venture is a signatory under the Principal heading below, then all members of each such partnership or joint venture, and each member has set forth below his or her title as a general partner, limited partner, or member of joint venture, whichever is applicable. If any corporation is a signatory under the Principal or Surety heading below, then each such corporation has caused the following: the corporation's name to be set forth below, a duly authorized representative of the corporation to affix below the corporation's seal and to attach

Contract No. T-1223-1740 Rev. 1/07 PE 2 of 3 hereto a notarized corporate resolution of power of attorney authorizing such action, and each such duly authorized representative to sign below and set forth below his or her title as a representative of the corporation. If any individual acts as a witness to any signature below, then each such individual has signed below and has set forth below his or her title as a witness. All of the above has been done as of the Date of Bond shown above.

In Presence of: Individual Principal

Witness: ______as to ______(SEAL)

In Presence of: Co-Partnership Principal

Witness: ______(SEAL) (Name of Co-Partnership)

______as to By:______(SEAL)

______as to ______(SEAL)

Corporate Principal ______Attest: (Name of Corporation) AFFIX ______as to By: ______CORPORATE Corporate Secretary President SEAL

______(Surety) AFFIX Attest: By: ______CORPORATE (SEAL) SEAL

______Title ______Signature Bonding Agent's Name: ______

(Business Address of Surety) ______

Agent’s Address

Approved as to legal form and sufficiency this

______day of ______20 __

______Asst. Attorney General

Contract No. T-1223-1740 Rev. 1/07 PE 3 of 3

BID PROTESTS

All protests relating to this solicitation, the selections and/or award must be filed in writing with the Administration's Procurement Officer, and within the time limitation set forth in the Code of Maryland Regulations (COMAR) 21.10.02. Bid protests shall be filed not later than seven (7) days after the basis for protest is known, or should have been known, whichever is earlier. Oral protests will not be considered.

The specific details of the protest procedures to be followed by aggrieved actual or prospective bidders, or offerors is contained in COMAR 21.10.

T-1223-1740 BP 1 OF 1

Investment Activities in Iran Act

State Finance & Procurement, §§17-701 – 17-707, Annotated Code of Maryland [Chapter 447, Laws of 2012].

A company listed on the Investment Activities in Iran list is ineligible to bid on, submit a proposal for, or renew a contract for goods and services with a State agency or any public body of the State. Also ineligible are any parent, successor, subunit, direct or indirect subsidiary of, or any entity under common ownership or control of, any listed company. . Agencies must obtain a certification regarding investments in Iran from each bidder or offeror for new contracts and from each contractor seeking to renew an existing contract. Specifically, bidders, offerors, and renewing contractors have to certify that at the time the bid/proposal is submitted or the contract renewed that the company is neither identified on the Investment Activities in Iran list nor engaging in investment activities in Iran.

A company that cannot make the certification must supply the agency, under penalty of perjury, with a detailed written description of its investment activities in Iran.

False Certifications: If an agency, using credible information, determines that a company has submitted a false certification regarding its investments in Iran, the agency must notify the company and provide the company 90 days to demonstrate in writing that it is not engaged in investment activities in Iran. If the company fails to demonstrate that it is not engaged in investment activities in Iran in that time, the agency shall report the company to the Attorney General and to the Board of Public Works.

T-1223-1470 1

MARYLAND TRANSIT ADMNISTRATION

CERTIFICATION REGARDING INVESTMENTS IN IRAN

1. The undersigned certified that , in accordance with State Finance & Procurement Article, §17-705:

(i) it is not identified on the list created by the Board of Public Works as a person engaging in investment activities in Iran as described in §17-702 of State Finance & Procurement; and,

(ii) it is not engaging in investment activities in Iran as described in State Finance & Procurement Article, §17-702.

2. The undersigned is unable to make the above certification regarding its investment activities in Iran due to the following activities:

______

I do solemnly declare and affirm under the penalties of perjury that the contents of this affidavit are true and correct.

Date: ______

Bidder/Offeror Name: ______

By: ______

Name: ______

Title: ______

T-1223-1740 2

LOCATION OF THE PERFORMANCE OF SERVICES DISCLOSURE This document must be included with the bid or offer.

Pursuant to Md. Ann. Code, State Finance and Procurement Article, § 12-111, and in conjunction with the bid or offer submitted in response to Solicitation No. T-1452-0740, the following disclosures are hereby made:

1. At the time of bid or proposal submission, the bidder/offeror and/or its proposed subcontractors: ___ have plans

___ have no plans to perform any services required under the resulting Contract outside of the United States.

2. If services required under the contract are anticipated to be performed outside the United States by either the bidder/offeror or its proposed subcontractors, the bidder/offeror shall answer the following (attach additional pages if necessary):

a. Location(s) services will be performed: ______

b. Reasons why it is necessary or advantageous to perform services outside the United States:______

The undersigned, being an authorized representative of the bidder/offeror, hereby affirms that the contents of this disclosure are true to the best of my knowledge, information, and belief.

Date: ______

Bidder/Offeror Name: ______

By: ______

Name: ______

Title: ______

Please be advised that the Department may contract for services provided outside of the United States if: the services are not available in the United States; the price of services in the United States exceeds by an unreasonable amount the price of services provided outside the United States; or the quality of services in the United States is substantially less than the quality of comparably priced services provided outside the United States.

T-1223-1740 LPSD 1

MERCURY AFFIDAVIT

AUTHORIZED REPRESENTATIVE THEREBY AFFIRM THAT:

I am the ______(Title) and the duly authorized representative of ______(Business). I possess the legal authority to make this affidavit on behalf of myself and the business for which I am acting.

MERCURY CONTENT INFORMATION:

[] The product(s) offered do not contain mercury.

[] The product(s) offered do contain mercury.

(1) Describe the product or product component that contains mercury.

(2) Provide the amount of mercury that is contained in the product or product component. Indicate the unit of measure being used.

I ACKNOWLEDGE THAT this affidavit is to be furnished to the procurement officer and may be distributed to units of (1) the State of Maryland; (2) counties or other subdivisions of the State of Maryland; (3) other states; and (4) the federal government. I further acknowledge that this Affidavit is subject to applicable laws of the United States and the State of Maryland, both criminal and civil, and that nothing in this affidavit or any contract resulting from the submission of this bid or proposal shall be construed to supersede, amend, modify, or waive, on behalf of the State of Maryland, or any unit of the State of Maryland having jurisdiction, the exercise of any statutory right or remedy conferred by the Constitution and the laws of Maryland with respect to any misrepresentation made or any violation of the obligations, terms and covenants undertaken by the above business with respect to (1) this affidavit, (2) the contract, and (3) other affidavits comprising part of the contract.

I DO SOLEMNLY DECLARE AND AFFIRM UNDER THE PENALTIES OF PERJURY THAT THE CONTENTS OF THIS AFFIDAVIT ARE TRUE AND CORRECT TO THE BEST OF MY KNOWLEDGE, INFORMATION, AND BELIEF.

______By ______Date Signature

Print Name: ______Authorized Representative and Affiant

T-1223-1740 MA 1

CONFLICT OF INTEREST AFFIDAVIT AND DISCLOSURE

A. "Conflict of interest" means that because of other activities or relationships with other persons, a person is unable or potentially unable to render impartial assistance or advice to the State, or the person's objectivity in performing the contract work is or might be otherwise impaired, or a person has an unfair competitive advantage.

B. "Person" has the meaning stated in COMAR 21.01.02.01.B (64) and includes a bidder, offeror, contractor, consultant, or subcontractor or sub-consultant at any tier, and also includes an employee or agent of any of them if the employee or agent has or will have the authority to control or supervise all or a portion of the work for which a bid or offer is made.

C. The bidder or offeror warrants that, except as disclosed in §D, below, there are no relevant facts or circumstances now giving rise or which could, in the future, give rise to a conflict of interest.

D. The following facts or circumstances give rise or could in the future give rise to a conflict of interest (explain in detail—attach additional sheets if necessary):

E. The bidder or offeror agrees that if an actual or potential conflict of interest arises after the date of this affidavit, the bidder or offeror shall immediately make a full disclosure in writing to the procurement officer of all relevant facts and circumstances. This disclosure shall include a description of actions which the bidder or offeror has taken and proposes to take to avoid, mitigate, or neutralize the actual or potential conflict of interest. If the contract has been awarded and performance of the contract has begun, the contractor shall continue performance until notified by the procurement officer of any contrary action to be taken.

I DO SOLEMNLY DECLARE AND AFFIRM UNDER THE PENALTIES OF PERJURY THAT THE CONTENTS OF THIS AFFIDAVIT ARE TRUE AND CORRECT TO THE BEST OF MY KNOWLEDGE, INFORMATION, AND BELIEF.

Date:______By:______(Authorized Representative and Affiant)

T-1223-1740 Page CI 1 Federal Funding Clauses

This Contract uses federal funds. The conditions that apply to all federal funds awarded by the MTA are as follows:-Note that Clauses 10. “Buy America” and 13. “Lobbying” must be completed by the Bidder and returned in the Bid Package. 1. No Federal Government Obligations to Third Parties

The MTA and the Contractor acknowledge and agree that, notwithstanding any concurrence by the Federal Government in or approval of the Solicitation or award of the underlying Contract, absent the express written consent by the Federal Government, the Federal Government is not a party to this Contract and shall not be subject to any obligations or liabilities to the MTA, Contractor, or any other party (whether or not a party to that Contract) pertaining to any matter resulting from the underlying Contract. The Contractor agrees to include the above clause in each subcontract financed in whole or in part with Federal assistance provided by FTA. It is further agreed that the clause shall not be modified, except to identify the Subcontractor who will be subject to its provisions. 2. False Statements or Claims, Civil and Criminal Fraud

The Contractor acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, as amended, 31 USC §§ 3801 et seq. and U.S. DOT regulations, “Program Fraud Civil Remedies,” 49 CFR Part 31, apply to its actions pertaining to this Project. Upon execution of the underlying Contract, the Contractor certifies or affirms the truthfulness and accuracy of any statement it has made, it makes, it may make, or causes to be made, pertaining to the underlying Contract or the FTA assisted project for which this Contract Work is being performed. In addition to other penalties that may be applicable, the Contractor further acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification, the Federal Government reserves the right to impose the penalties of the Program Fraud Civil Remedies Act of 1986 on the Contractor to the extent the Federal Government deems appropriate. The Contractor also acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification to the Federal Government under a Contract connected with a project that is financed in whole or in part with Federal assistance originally awarded by FTA under the authority of 49 USC § 5307, the Government reserves the right to impose the penalties of 18 USC § 1001 and 49 USC § 5307(n)(1) on the Contractor, to the extent the Federal Government deems appropriate. The Contractor agrees to include the above two clauses in each subcontract financed in whole or in part with Federal assistance provided by FTA. It is further agreed that the clauses shall not be modified, except to identify the Subcontractor who will be subject to the provisions. 3. Access to Third Party Contract Records

For State contracts: In accordance with 49 C.F.R. 633.17, the Contractor agrees to provide the MTA, the FTA Administrator or his authorized representatives, including any Project Management Oversight (PMO) Contractor, access to the Contractor's records and construction sites pertaining to a major T-1223-1740 Federal Funding 1 of 23 capital project which is receiving federal financial assistance through the programs described at 49 U.S.C. 5307, 5309 or 5311. By definition, a major capital project excludes contracts of less than the simplified acquisition threshold currently set at $100,000.

For contracts for capital projects or improvements through other than competitive bidding: The Contractor shall make available records related to the contract to the MTA, the Secretary of Transportation and the Comptroller General or any authorized officer or employee of any of them for the purposes of conducting an audit and inspection.

Requirements for all contracts: The Contractor agrees to permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed. The Contractor agrees to maintain all books, records, accounts and reports required under this contract for a period of not less than three years after the date of termination or expiration of this contract, except in the event of litigation or settlement of claims arising from the performance of this contract, in which case Contractor agrees to maintain same until the MTA, the FTA Administrator, the Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto. Reference 49 CFR 18.39(i)(11). 4. Changes to Federal Requirements

The preceding provisions include, in part, certain standard terms and conditions required by the Department of Transportation, whether or not expressly set forth in the preceding Contract provisions. All contractual provisions required by DOT, as set forth in FTA Circular 4220.1F or its successors are hereby incorporated by reference. Anything to the contrary herein notwithstanding, all FTA mandated terms shall be deemed to control in the event of a conflict with other provisions contained in this agreement. The Contractor shall not perform any act, fail to perform any act or refuse to comply with any MTA requests that would cause the MTA to be in violation of the FTA terms and conditions. The Contractor shall at all times comply with all applicable FTA regulations, policies, procedures and directives, including without limitation those listed directly or by reference in the Master Agreement between the MTA and the FTA, as they may be amended or promulgated from time to time during the term of this Contract. Contractor’s failure to so comply shall constitute a material breach of this Contract.

5. Termination a. Termination for Convenience (General Provision) The MTA may terminate this contract, in whole or in part, at any time by written notice to the Contractor when it is in the Government's best interest. The Contractor shall be paid its costs, including contract close-out costs, and profit on work performed up to the time of termination. The Contractor shall promptly submit its termination claim to the MTA to be paid the Contractor. If the Contractor has any property in its possession belonging to the MTA the Contractor will account for the same, and dispose of it in the manner the MTA directs.

T-1223-1740 Federal Funding 2 of 23 b. Termination for Default (Construction) If the Contractor refuses or fails to prosecute the work or any separable part, with the diligence that will insure its completion within the time specified in this contract or any extension or fails to complete the work within this time, or if the Contractor fails to comply with any other provisions of this contract, the MTA may terminate this contract for default. The MTA shall terminate by delivering to the Contractor a Notice of Termination specifying the nature of the default. In this event, the MTA may take over the work and compete it by contract or otherwise, and may take possession of and use any materials, appliances, and plant on the work site necessary for completing the work. The Contractor and its sureties shall be liable for any damage to the MTA resulting from the Contractor's refusal or failure to complete the work within specified time, whether or not the Contractor's right to proceed with the work is terminated. This liability includes any increased costs incurred by the MTA in completing the work. The Contractor's right to proceed shall not be terminated nor the Contractor charged with damages under this clause if:

1. The delay in completing the work arises from unforeseeable causes beyond the control and without the fault or negligence of the Contractor. Examples of such causes include: acts of God, acts of the MTA, acts of another Contractor in the performance of a contract with the MTA, epidemics, quarantine restrictions, strikes, freight embargoes; and

2. The Contractor, within [10] days from the beginning of any delay, notifies the MTA in writing of the causes of delay. If in the judgment of the MTA, the delay is excusable, the time for completing the work will be extended. The judgment of the MTA shall be final and conclusive on the parties, but subject to appeal under the Disputes clauses. If, after termination of the Contractor's right to proceed, it is determined that the Contractor was not in default, or that the delay was excusable, the rights and obligations of the parties will be the same as if the termination had been issued for the convenience of the MTA. c. Opportunity to Cure (General Provision) The MTA in its sole discretion may, in 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 permitted and other appropriate conditions If Contractor fails to remedy to the MTA's satisfaction the breach or default of any of the terms, covenants, or conditions of this Contract within [ten (10) days] after receipt by the Contractor of written notice from the MTA setting forth the nature of said breach or default, the MTA shall have the right to terminate the Contract without any further obligation to the Contractor. Any such termination for default shall not in any way operate to preclude the MTA from also pursuing all available remedies against the Contractor and its sureties for said breach or default. d. Waiver of Remedies for any Breach In the event that the MTA elects to waive its remedies for any breach by the Contractor of any covenant, term or condition of this Contract, such waiver by the MTA shall not limit the MTA’s remedies for any succeeding breach of that or of any other term, covenant, or condition of this Contract.

T-1223-1740 Federal Funding 3 of 23

6. Civil Rights Requirements i. Nondiscrimination: In accordance with Title VI of the Civil Rights Act, as amended, 42 USC § 2000d, section 303 of the Age Discrimination Act of 1975, as amended, 42 USC § 6102, section 202 of the Americans with Disabilities Act of 1990, 42 USC § 12132, and Federal transit law at 49 USC § 5332, the Contractor agrees that it will not discriminate against any employee or applicant for employment because of race, color, creed, national origin, sex, age, or disability. In addition, the Contractor agrees to comply with applicable Federal implementing regulations and other implementing requirements FTA may issue. ii. Equal Employment Opportunity: The following equal employment opportunity requirements apply to the underlying Contract:

(a) Race, Color, Creed, National Origin, Sex: In accordance with Title VII of the Civil Rights Act, as amended, 42 USC § 2000e, and Federal transit laws at 49 USC § 5332, the Contractor agrees to comply with all applicable equal employment opportunity requirements of U.S. Department of Labor (U.S. DOL) regulations, “Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor,” 41 CFR Parts 60 et seq., (which implement Executive Order No. 11246, “Equal Employment Opportunity,” as amended by Executive Order No. 11375, “Amending Executive Order 11246 Relating to Equal Employment Opportunity,” 42 USC § 2000e note), and with any applicable Federal statutes, executive orders, regulations, and Federal policies that may in the future affect construction activities undertaken in the course of the Project. The Contractor agrees to take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, color, creed, national origin, sex, or age. Such action shall include, but not be limited to, the following: employment, upgrading, demotion or transfer, recruitment or recruitment advertising, layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. In addition, the Contractor agrees to comply with any implementing requirements the FTA may issue.

(b) Age: In accordance with section 4 of the Age Discrimination in Employment Act of 1967, as amended, 29 USC §§ 623 and Federal transit law at 49 USC § 5332, the Contractor agrees to refrain from discrimination against present and prospective employees for reason of age. In addition, the Contractor agrees to comply with any implementing requirements the FTA may issue.

(c) Disabilities: In accordance with section 102 of the Americans with Disabilities Act, as amended, 42 USC § 12112, the Contractor agrees that it will comply with the requirements of U.S. Equal Employment Opportunity Commission, “Regulations to Implement the Equal Employment Provisions of the Americans with Disabilities Act,” 29 CFR Part 1630, pertaining to employment of persons with disabilities. In addition, the Contractor agrees to comply with any implementing requirements the FTA may issue. iii. Equal Employment Opportunity Requirements for Construction Activities: In addition to the foregoing, when undertaking “construction” as recognized by the U.S. Department of

T-1223-1740 Federal Funding 4 of 23

Labor (U.S. DOL), the Contractor agrees to comply, and assures the compliance of each subcontractor, with: (a) U.S. DOL regulations, “Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor,” 41 C.F.R. Parts 60 et seq.,

(b) Executive Order No. 11246, “Equal Employment Opportunity,” as amended by Executive Order No. 11375, “Amending Executive Order No. 11246 Relating to Equal Employment Opportunity.” iv. The Contractor also agrees to include these requirements in each subcontract financed in whole or in part with Federal assistance provided by the FTA, modified only if necessary to identify the affected parties. 7. Disadvantaged Business Enterprises (DBE)

Disadvantaged Business Enterprises a. This contract is subject to the requirements of Title 49, Code of Federal Regulations, Part 26, Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs. The national goal for participation of Disadvantaged Business Enterprises (DBE) is 10%. The agency’s overall goal for DBE participation is 27%. A separate contract goal of 31% DBE participation has been established for this procurement. b. The Contractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The Contractor shall carry out applicable requirements of 49 CFR Part 26 in the award and administration of this DOT-assisted contract. Failure by the Contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the MTA deems appropriate. Each subcontract the Contractor signs with a Subcontractor must include the assurance in this paragraph (see 49 CFR 26.13(b)). c. {If a separate contract goal has been established, use the following} Bidders/offerors are required to document sufficient DBE participation to meet these goals or, alternatively, document adequate good faith efforts to do so, as provided for in 49 CFR 26.53. Award of this contract is conditioned on submission of the following [concurrent with and accompanying sealed bid] [concurrent with and accompanying an initial proposal] [prior to award]:

1. The names and addresses of DBE firms that will participate in this contract;

2. A description of the work each DBE will perform;

3. The dollar amount of the participation of each DBE firm participating;

4. Written documentation of the bidder/offeror’s commitment to use a DBE Subcontractor whose participation it submits to meet the contract goal;

5. Written confirmation from the DBE that it is participating in the contract as provided in the prime Contractor’s commitment; and

T-1223-1740 Federal Funding 5 of 23

6. If the contract goal is not met, evidence of good faith efforts to do so. [Bidders][Offerors] must present the information required above [as a matter of responsiveness] [with initial proposals] [prior to contract award] (see 49 CFR 26.53(3)). {If no separate contract goal has been established, use the following} The successful bidder/offeror will be required to report its DBE participation obtained through race-neutral means throughout the period of performance. d. The Contractor is required to pay its Subcontractors performing work related to this contract for satisfactory performance of that work no later than 30 days after the Contractor’s receipt of payment for that work from the MTA. In addition, [the Contractor may not hold retainage from its Subcontractors.] [is required to return any retainage payments to those Subcontractors within 30 days after the Subcontractor's work related to this contract is satisfactorily completed.] [is required to return any retainage payments to those Subcontractors within 30 days after incremental acceptance of the Subcontractor’s work by the MTA and Contractor’s receipt of the partial retainage payment related to the Subcontractor’s work.] e. The Contractor must promptly notify the MTA, 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 another DBE Subcontractor to perform at least the same amount of work. The Contractor may not terminate any DBE Subcontractor and perform that work through its own forces or those of an affiliate without prior written consent of the MTA. 8. Incorporation of Federal Transit Administration (FTA) Terms

The preceding provisions include, in part, certain Standard Terms and Conditions required by DOT, whether or not expressly set forth in the preceding contract provisions. All contractual provisions required by DOT, as set forth in FTA Circular 4220.1F, are hereby incorporated by reference. Anything to the contrary herein notwithstanding, all FTA mandated terms shall be deemed to control in the event of a conflict with other provisions contained in this Agreement. The Contractor shall not perform any act, fail to perform any act, or refuse to comply with any MTA requests which would cause the MTA to be in violation of the FTA terms and conditions. 9. Suspension and Debarment

This Contract is a covered transaction for purposes of 49 CFR Part 29. As such, the Contractor is required to verify that none of the Contractor, its principals, as defined at 49 CFR 29.995, or affiliates, as defined at 49 CFR 29.905, are excluded or disqualified as defined at 49 CFR 29.940 and 29.945. The Contractor is required to comply with 49 CFR 29, Subpart C, and must include the requirement to comply with 49 CFR 29, Subpart C, in any lower-tier covered transaction it enters into. By signing and submitting its Bid or Proposal, the Bidder or Proposer certifies as follows: The certification in this clause is a material representation of fact relied upon by the MTA. If it is later determined that the Bidder or Proposer knowingly rendered an erroneous certification, in addition to remedies available to the MTA, the Federal government may pursue available remedies, including but not limited to suspension and/or debarment. The Bidder or Proposer agrees to comply with the requirements of 49 CFR 29, Subpart C, while this Bid or Proposal is

T-1223-1740 Federal Funding 6 of 23 valid and throughout the period of any Contract that may arise from this Bid or Proposal. The Bidder or Proposer further agrees to include a provision requiring such compliance in its lower tier covered transactions.

10. Buy America

The Contractor agrees to comply with 49 U.S.C. 5323(j) and 49 C.F.R. Part 661, which provide that Federal funds may not be obligated unless steel, iron, and manufactured products used in FTA-funded projects are produced in the United States, unless a waiver has been granted by FTA or the product is subject to a general waiver. General waivers are listed in 49 C.F.R. 661.7, and include final assembly in the United States for 15 passenger vans and 15 passenger wagons produced by Chrysler Corporation, and microcomputer equipment and software. Separate requirements for rolling stock are set out at 49 U.S.C. 5323(j)(2)(C) and 49 C.F.R. 661.11. Rolling stock must be assembled in the United States and have a 60 percent domestic content.

A bidder or offeror must submit to the MTA the appropriate Buy America certification (below) with all bids or offers on FTA-funded contracts, except those subject to a general waiver. Bids or offers that are not accompanied by a completed Buy America certification must be rejected as nonresponsive. This requirement does not apply to lower tier subContractors.

Certification requirement for procurement of steel, iron, or manufactured products.

Certificate of Compliance with 49 U.S.C. 5323(j)(1)

The bidder or offeror hereby certifies that it will meet the requirements of 49 U.S.C. 5323(j)(1) and the applicable regulations in 49 C.F.R. Part 661.5.

Date ______

Signature ______

Company Name ______

Title ______

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Certificate of Non-Compliance with 49 U.S.C. 5323(j)(1)

The bidder or offeror 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 C.F.R. 661.7.

Date ______

Signature ______

Company Name ______

Title ______

Certification requirement for procurement of buses, other rolling stock and associated equipment.

Certificate of Compliance with 49 U.S.C. 5323(j)(2)(C).

The bidder or offeror hereby certifies that it will comply with the requirements of 49 U.S.C. 5323(j)(2)(C) and the regulations at 49 C.F.R. Part 661.11.

Date ______

Signature ______

Company Name ______

Title ______T-1223-1740 Federal Funding 8 of 23

Certificate of Non-Compliance with 49 U.S.C. 5323(j)(2)(C)

The bidder or offeror hereby certifies that it cannot comply with the requirements of 49 U.S.C. 5323(j)(2)(C) and 49 C.F.R. 661.11, but 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 ______

11. Resolution of Disputes, Breaches and Other Litigation

The FTA does not prescribe the form or content of such provisions. What provisions are developed will depend on the circumstances and the type of contract. Recipients should consult legal counsel in developing appropriate clauses. The following clauses are examples of provisions from various FTA Third Party Contracts:

Disputes - Disputes arising in the performance of this Contract which are not resolved by agreement of the parties shall be decided in writing by the authorized representative of the MTA’s [title of employee]. This decision shall be final and conclusive unless within [ten (10)] days from the date of receipt of its copy, the Contractor mails or otherwise furnishes a written appeal to the [title of employee]. In connection with any such appeal, the Contractor shall be afforded an opportunity to be heard and to offer evidence in support of its position. The decision of the [title of employee] shall be binding upon the Contractor and the Contractor shall abide be the decision.

Performance During Dispute - Unless otherwise directed by the MTA, the Contractor shall continue performance under this Contract while matters in dispute are being resolved.

Claims for Damages - Should either party to the Contract suffer injury or damage to person or property because of any act or omission of the party or of any of his employees, agents or others

T-1223-1740 Federal Funding 9 of 23 for whose acts he is legally liable, a claim for damages therefore shall be made in writing to such other party within a reasonable time after the first observance of such injury of damage.

Remedies - Unless this Contract provides otherwise, all claims, counterclaims, disputes and other matters in question between the MTA and the Contractor arising out of or relating to this agreement or its breach will be decided by arbitration if the parties mutually agree, or in a court of competent jurisdiction.

Rights and Remedies - The duties and obligations imposed by the Contract Documents and the rights and remedies available thereunder shall be in addition to and not a limitation of any duties, obligations, rights and remedies otherwise imposed or available by law. No action or failure to act by the MTA, (Architect) or Contractor shall constitute a waiver of any right or duty afforded any of them under the Contract, nor shall any such action or failure to act constitute an approval of or acquiescence in any breach thereunder, except as may be specifically agreed in writing. 12. Clean Air

The Contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Clean Air Act, as amended, 42 USC §§ 7401 et seq. The Contractor agrees to report each violation to the MTA and understands and agrees that the MTA will, in turn, report each violation as required to assure notification to the FTA and the appropriate EPA Regional Office.

The Contractor also agrees to include these requirements in each Subcontract exceeding $100,000 financed in whole or in part with Federal assistance provided by the FTA.

13. Lobbying

Contractors who apply or bid for an award of $100,000 or more shall file the certification required by 49 CFR part 20, “New Restrictions on Lobbying.” Each tier certifies to the tier above that 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 employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier shall also disclose the name of any registrant under the Lobbying Disclosure Act of 1995 who has made lobbying contacts on its behalf with non-Federal funds with respect to that Federal contract, grant or award covered by 31 U.S.C. 1352. Such disclosures are forwarded from tier to tier up to the MTA.

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:

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(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).

(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©(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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13. Clean Water

The Contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Federal Water Pollution Control Act, as amended, 33 USC 1251 et seq. The Contractor agrees to report each violation to the MTA and understands and agrees that the MTA will, in turn, report each violation as required to assure notification to the FTA and the appropriate EPA Regional Office.

The Contractor also agrees to include these requirements in each subcontract exceeding $100,000 financed in whole or in part with Federal assistance provided by the FTA. 14. Cargo Preference

The Contractor agrees to the following:

To use privately owned U.S.-flag commercial vessels to ship at least fifty (50) percent of the gross tonnage (computed separately for dry bulk carriers, dry cargo liners and tankers) involved, whenever shipping any equipment, material or commodities pursuant to the underlying Contract to the extent such vessels are available at fair and reasonable rates for U.S.-flag commercial vessels;

To furnish within twenty (20) working days following the date of loading for shipments originating within the United States or within thirty (30) working days following the date of leading for shipments originating outside the United States, a legible copy of a rated, “on-board” commercial ocean bill of lading in English for each shipment of cargo described in the preceding paragraph to the Division of National Cargo, Office of Market Development, Maritime Administration, Washington, DC 20590 and to MTA (through the Contractor in the case of a Subcontractor’s bill-of-lading.)

To include these requirements in all Subcontracts issued pursuant to this Contract when the Subcontract may involve the transport of equipment, material or commodities by ocean vessel. 15. Fly America

The Contractor agrees to comply with 49 USC 40118 (the “Fly America” Act) in accordance with the General Services Administration’s regulations at 41 CFR Part 301-10, which provide that Recipients and Sub-recipients of federal funds and their Contractors are required to use U.S. flag air carriers for U.S. government-financed international air travel and transportation of their personal effects or property, to the extent such service is available, unless travel by foreign air carrier is a matter of necessity, as defined by the Fly America Act. The Contractor shall submit, if a foreign air carrier was used, an appropriate certification or memorandum adequately explaining why service by a U.S. flag air carrier was not available or why it was necessary to use a foreign air carrier and shall, in any event, provide a certificate of compliance with the Fly America requirements. The Contractor agrees to include the requirements of this section in all Subcontracts that may involve international air transportation.

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16. Davis-Bacon and Copeland Anti-Kickback Acts

(1) Minimum wages:

(i) All laborers and mechanics employed or working upon the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR part 3)), the full amount of wages and bona fide fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the Contractor and such laborers and mechanics.

Contributions made or costs reasonably anticipated for bona fide fringe benefits under section 1(b)(2) of the Davis-Bacon Act on behalf of laborers or mechanics are considered wages paid to such laborers or mechanics, subject to the provisions of paragraph (1)(iv) of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular weekly period, are deemed to be constructively made or incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in 29 CFR Part 5.5(a)(4). Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein, provided, that the employer's payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classifications and wage rates conformed under paragraph (1)(ii) of this section) and the Davis- Bacon poster (WH-1321) shall be posted at all times by the Contractor and its Subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers.

(ii)(A) The Contracting Officer shall require that any class of laborers or mechanics, including helpers, which is not listed in the wage determination and which is to be employed under the Contract shall be classified in conformance with the wage determination. The Contracting Officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met:

(1) Except with respect to helpers as defined as 29 CFR 5.2(n)(4), the work to be performed by the classification requested is not performed by a classification in the wage determination; and

(2) The classification is utilized in the area by the construction industry; and

(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination; and

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(4) With respect to helpers as defined in 29 CFR 5.2(n)(4), such a classification prevails in the area in which the work is performed.

(B) If the Contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the Contracting Officer to the Administrator of the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Washington, DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the Contracting Officer or will notify the Contracting Officer within the 30-day period that additional time is necessary.

(C) In the event the Contractor, the laborers or mechanics to be employed in the classification or their representatives, and the Contracting Officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the Contracting Officer shall refer the questions, including the views of all interested parties and the recommendation of the Contracting Officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within 30 days of receipt and so advise the Contracting Officer or will notify the Contracting Officer within the 30- day period that additional time is necessary.

(D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (a)(1)(ii) (B) or (C) of this section, shall be paid to all workers performing work in the classification under this Contract from the first day on which work is performed in the classification.

(iii) Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the Contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof.

(iv) If the Contractor does not make payments to a trustee or other third person, the Contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, Provided, that the Secretary of Labor has found, upon the written request of the Contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the Contractor to set aside in a separate account assets for the meeting of obligations under the plan or program.

(v)(A) The Contracting Officer shall require that any class of laborers or mechanics which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The Contracting Officer shall approve an additional classification and wage rate and fringe benefits therefore only when the following criteria have been met:

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(1) The work to be performed by the classification requested is not performed by a classification in the wage determination; and

(2) The classification is utilized in the area by the construction industry; and

(3) The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination.

(B) If the Contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the Contracting Officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the Contracting Officer to the Administrator of the Wage and Hour Division, Employment Standards Administration, Washington, DC 20210. The Administrator, or an authorized representative, will approve, modify, or disapprove every additional classification action within 30 days of receipt and so advise the Contracting Officer or will notify the Contracting Officer within the 30-day period that additional time is necessary.

(C) In the event the Contractor, the laborers or mechanics to be employed in the classification or their representatives, and the Contracting Officer do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the Contracting Officer shall refer the questions, including the views of all interested parties and the recommendation of the Contracting Officer, to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination with 30 days of receipt and so advise the contracting officer or will notify the Contracting Officer within the 30- dayperiod that additional time is necessary.

(D) The wage rate (including fringe benefits where appropriate) determined pursuant to paragraphs (a)(1)(v) (B) or (C) of this section, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification.

(2) Withholding – The MTA shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld from the Contractor under this Contract or any other Federal Contract with the same prime Contractor, or any other federally-assisted Contract subject to Davis-Bacon prevailing wage requirements, which is held by the same prime Contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers, employed by the Contractor or any Subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work (or under the United States Housing Act of 1937 or under the Housing Act of 1949 in the construction or development of the project), all or part of the wages required by the Contract, the MTA may, after written notice to the Contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased.

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(3) Payrolls and basic records - (i) Payrolls and basic records relating thereto shall be maintained by the Contractor during the course of the work and preserved for a period of three years thereafter for all laborers and mechanics working at the site of the work (or under the United States Housing Act of 1937, or under the Housing Act of 1949, in the construction or development of the project). Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in section 1(b)(2)(B) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5(a)(1)(iv) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1(b)(2)(B) of the Davis-Bacon Act, the Contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs.

(ii)(A) The Contractor shall submit weekly for each week in which any Contract work is performed a copy of all payrolls to the MTA for transmission to the Federal Transit Administration. The payrolls submitted shall set out accurately and completely all of the information required to be maintained under section 5.5(a)(3)(i) of Regulations, 29 CFR part 5. This information may be submitted in any form desired. Optional Form WH-347 is available for this purpose and may be purchased from the Superintendent of Documents (Federal Stock Number 029-005-00014-1), U.S. Government Printing Office, Washington, DC 20402. The prime Contractor is responsible for the submission of copies of payrolls by all Subcontractors. (B) Each payroll submitted shall be accompanied by a "Statement of Compliance," signed by the Contractor or Subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following:

(1) That the payroll for the payroll period contains the information required to be maintained under section 5.5(a)(3)(i) of Regulations, 29 CFR part 5 and that such information is correct and complete;

(2) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the Contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulations, 29 CFR part 3;

(3) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the Contract.

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(C) The weekly submission of a properly executed certification set forth on the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the "Statement of Compliance" required by paragraph (a)(3)(ii)(B) of this section.

(D) The falsification of any of the above certifications may subject the Contractor or Subcontractor to civil or criminal prosecution under section 1001 of title 18 and section 231 of title 31 of the United States Code.

(iii) The Contractor or Subcontractor shall make the records required under paragraph (a)(3)(i) of this section available for inspection, copying, or transcription by authorized representatives of the Federal Transit Administration or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the Contractor or Subcontractor fails to submit the required records or to make them available, the Federal agency may, after written notice to the Contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12.

(4) Apprentices and trainees - (i) Apprentices - Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Bureau of Apprenticeship and Training, or with a State Apprenticeship Agency recognized by the Bureau, or if a person is employed in his or her first 90 days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Bureau of Apprenticeship and Training or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the Contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a Contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman's hourly rate) specified in the Contractor's or Subcontractor's registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice's level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator of the Wage and Hour Division of the U.S. Department of Labor determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Bureau of

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Apprenticeship and Training, or a State Apprenticeship Agency recognized by the Bureau, withdraws approval of an apprenticeship program, the Contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

(ii) Trainees - Except as provided in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee's level of progress, expressed as a percentage of the journeyman hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeyman wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the Employment and Training Administration withdraws approval of a training program, the Contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved. (iii) Equal employment opportunity - The utilization of apprentices, trainees and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive Order 11246, as amended, and 29 CFR Part 30.

(5) Compliance with Copeland Act requirements - The Contractor shall comply with the requirements of 29 CFR part 3, which are incorporated by reference in this Contract.

(6) Subcontracts - The Contractor or Subcontractor shall insert in any Subcontracts the clauses contained in 29 CFR 5.5(a)(1) through (10) and such other clauses as the Federal Transit Administration may by appropriate instructions require, and also a clause requiring the Subcontractors to include these clauses in any lower tier Subcontracts. The prime Contractor shall be responsible for the compliance by any Subcontractor or lower tier Subcontractor with all the Contract clauses in 29 CFR 5.5.

(7) Contract termination: debarment - A breach of the Contract clauses in 29 CFR 5.5 may be grounds for termination of the Contract, and for debarment as a Contractor and a Subcontractor as provided in 29 CFR 5.12.

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(8) Compliance with Davis-Bacon and Related Act requirements - All rulings and interpretations of the Davis-Bacon and Related Acts contained in 29 CFR parts 1, 3, and 5 are herein incorporated by reference in this contract.

(9) Disputes concerning labor standards - Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the Department of Labor set forth in 29 CFR parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the Contractor (or any of its Subcontractors) and the MTA, the U.S. Department of Labor, or the employees or their representatives.

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

(ii) No part of this Contract shall be Subcontracted to any person or firm ineligible for award of a Government Contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).

(iii) The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001.

17. Contract Work Hours and Safety Standards Act

(1) Overtime requirements - No Contractor or Subcontractor contracting for any part of the Contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty hours in such workweek.

(2) Violation; 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 therefore shall be liable for the unpaid wages. In addition, such Contractor and Subcontractor shall be liable to the United States for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and guards, employed in violation of the clause set forth in paragraph (1) of this section, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty hours without payment of the overtime wages required by the clause set forth in paragraph (1) of this section.

(3) Withholding for unpaid wages and liquidated damages – The MTA shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the Contractor or Subcontractor under any such Contract or any other Federal Contract with the same prime Contractor, or any other federally-assisted Contract subject to the Contract Work

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Hours and Safety Standards Act, which is held by the same prime Contractor, such sums as may be determined to be necessary to satisfy any liabilities of such Contractor or Subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph (2) of this section.

(4) Subcontracts - The Contractor or Subcontractor shall insert in any Subcontracts the clauses set forth in paragraphs (1) through (4) of this section and also a clause requiring the Subcontractors to include these clauses in any lower tier Subcontracts. The prime Contractor shall be responsible for compliance by any Subcontractor or lower tier Subcontractor with the clauses set forth in paragraphs (1) through (4) of this section.

18. Bonding

Bid Bond Requirements

(a) Bid Security A Bid Bond must be issued by a fully qualified surety company acceptable to (Recipient) and listed as a company currently authorized under 31 CFR, Part 223 as possessing a Certificate of Authority as described thereunder.

(b) Rights Reserved In submitting this Bid, it is understood and agreed by Bidder that the right is reserved by the MTA to reject any and all bids, or part of any bid, and it is agreed that the Bid may not be withdrawn for a period of [ninety (90)] days subsequent to the opening of bids, without the written consent of the MTA.

It is also understood and agreed that if the undersigned Bidder should withdraw any part or all of his Bid within [ninety (90)] days after the bid opening without the written consent of the MTA, shall refuse or be unable to enter into this Contract, as provided above, or refuse or be unable to furnish adequate and acceptable Performance Bonds and Labor and Material Payments Bonds, as provided above, or refuse or be unable to furnish adequate and acceptable insurance, as provided above, he shall forfeit his bid security to the extent of MTA damages occasioned by such withdrawal, or refusal, or inability to enter into an agreement, or provide adequate security therefore.

It is further understood and agreed that to the extent the defaulting Bidder's Bid Bond, Certified Check, Cashier's Check, Treasurer's Check, and/or Official Bank Check (excluding any income generated thereby which has been retained by the MTA as provided in [Item x "Bid Security" of the Instructions to Bidders]) shall prove inadequate to fully recompense the MTA for the damages occasioned by default, then the undersigned Bidder agrees to indemnify the MTA and pay over to the Airports Authority the difference between the bid security and the MTA’s total damages, so as to make the MTA whole.

The undersigned understands that any material alteration of any of the above or any of the material contained on this form, other than that requested, will render the Bid unresponsive.

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Performance and Payment Bonding Requirements

The Contractor shall be required to obtain performance and payment bonds as follows:

(a) Performance bonds

1. The penal amount of performance bonds shall be 100 percent of the original Contract price, unless the MTA determines that a lesser amount would be adequate for the protection of the MTA.

2. The MTA may require additional performance bond protection when a Contract price is increased. The increase in protection shall generally equal 100 percent of the increase in Contract price. The MTA may secure additional protection by directing the Contractor to increase the penal amount of the existing bond or to obtain an additional bond.

(b) Payment bonds

1. The penal amount of the payment bonds shall equal: (i) Fifty percent of the Contract price if the Contract price is not more than $1 million. (ii) Forty percent of the Contract price if the Contract price is more than $1 million but not more than $5 million; or (iii) Two and one half million if the Contract price is more than $5 million.

2. If the original Contract price is $5 million or less, the MTA may require additional protection as required by subparagraph 1 if the Contract price is increased.

Advance Payment Bonding Requirements The Contractor may be required to obtain an advance payment bond if the Contract contains an advance payment provision and a performance bond is not furnished. The MTA shall determine the amount of the advance payment bond necessary to protect the MTA.

Patent Infringement Bonding Requirements (Patent Indemnity) The Contractor may be required to obtain a patent indemnity bond if a performance bond is not furnished and the financial responsibility of the Contractor is unknown or doubtful. The MTA shall determine the amount of the patent indemnity to protect the MTA.

Warranty of the Work and Maintenance Bonds 1. The Contractor warrants to the MTA, the Architect and/or Engineer that all materials and equipment furnished under this Contract will be of highest quality and new unless otherwise specified by the MTA, free from faults and defects and in conformance with the Contract Documents. All work not so conforming to these standards shall be considered defective. If required by the [Project Manager], the Contractor shall furnish satisfactory evidence as to the kind and quality of materials and equipment.

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19. Energy Conservation

The Contractor agrees to comply with mandatory standards and policies relating to energy efficiency which are contained in the state energy conservation plan issued in compliance with the Energy Policy and Conservation Act.

20. Recycled Products

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 limited to the regulatory provisions of 40 CFR Part 247, and Executive Order12873, as they apply to the procurement of the items designated in Subpart B of 40 CFR Part 247. 21. Conformance with ITS National Architecture

The Contractor agrees to conform to the National Intelligent Transportation Systems (ITS) Architecture and Standards as required by SAFETEA-LU § 5307(c), 23 U.S.C. § 512 note, and follow the provisions of FTA Notice, “FTA National ITS Architecture Policy on Transit Projects,” 66 Fed. Reg. 1455 et seq., January 8, 2001, and any other implementing directives FTA may issue at a later date, except to the extent FTA determines otherwise in writing. 22. ADA Access

The Contractor and any of its Subcontractors under this Contract agree to comply with all applicable requirements of the Americans with Disabilities Act of 1990 (ADA), 42 USC §§ 12101 et seq.; Section 504 of the Rehabilitation Act of 1973, as amended, 29 USC § 794; 49 USC § 5301(d); and the following regulations and any amendments thereto:

A. DOT regulations, "Transportation Services for Individuals with Disabilities (ADA)," 49 CFR Part 37;

B. DOT regulations, "Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or Benefiting from Federal Financial Assistance,” 49 CFR Part 27;

C. Joint U.S. Architectural and Transportation Barriers Compliance Board (U.S. ATBCB)/U.S. DOT regulations, "American With Disabilities (ADA) Accessibility Specifications for Transportation Vehicles," 36 CFR Part 1192 and 49 CFR Part 38;

D. Department of Justice (DOJ) regulations, "Nondiscrimination on the Basis of Disability in State and Local Government Services," 28 CFR Part 35;

E. DOJ regulations, "Nondiscrimination on the Basis of Disability by Public Accommodations and in Commercial Facilities," 28 CFR Part 36;

F. General Services Administration regulations, "Accommodations for the Physically Handicapped," 41 CFR Subpart 101-19;

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G. Equal Employment Opportunity Commission, "Regulations to Implement the Equal Employment Provisions of the Americans with Disabilities Act," 29 CFR Part 1630;

H. Federal Communications Commission regulations, "Telecommunications Relay Services and Related Customer Premises Equipment for Persons with Disabilities," 47 CFR Part 64, Subpart F; and

I. FTA regulations, "Transportation for Elderly and Handicapped Persons," 49 CFR Part 609.

J. U.S. ATBCB regulations, “Electronic and Information Technology Accessibility Standards,” 36 CFR Part 1194; and

K. Any implementing requirements FTA may issue.

23. Notification of Federal Participation for States

Notice is hereby given that this [program, project, solicitation] is funded in part by the Federal government. The following information is provided: (1) Federal Transit Administration (FTA) is or will be the Federal agency providing the Federal funds for the [Program or Project]. (2) The Catalog of Federal Domestic Assistance (CFDA) Number of the Program from which the Federal funding is or will be authorized is 20.507. (3) The amount of Federal funds FTA has provided for the total Program is $8,200,000.

24. Veterans Employment Preference (all capital funded)

The contactor to give a hiring preference, to the extent practicable, to veterans (as defined in section 2108 of title 5) who have the requisite skills and abilities to perform the construction work required under the contract. This subsection shall not be understood, construed or enforced in any manner that would require an employer to give preference to any veteran over any equally qualified applicant who is a member of any racial or ethnic minority, female, an individual with a disability, or former employee.

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ris

Maryland Transit Administration System Safety Program Plan Rev 10

JANUARY 2017

MTA – System Safety Program Plan i January 2017. Rev 10 Revision Page

Rev. # Date Page # Section Description Revised in entirety to meet new 6 12/30/2010 All Pages All Sections requirements of 49 CFR Part 659 Changed title of Executive 6 12/30/2011 All Pages All Sections Director, OSQARM, to Chief Safety Officer-OSQARM Changed title of Service Quality 6 12/30/2011 All Pages All Sections Division to Office of Service Quality Inserted hyperlinks to provide 6 12/30/2011 All Pages All Sections link to documents in ProjectWise Deleted Acronym List from front 6 12/30/2011 xviii Front Section section and moved it to Appendix A Changed title of Transit 3-4 6 12/30/2011 3 Insurance Group to Transit 3-19 Claims Group Replaced Figure 3-1, MTA 6 12/30/2011 3-4 3 Organizational Structure with updated figure Corrected the description of Metro track located between 6 12/30/2011 3-10 3 Rogers Ave and Reisterstown Road Stations Provided revised Figure 3-4 6 12/30/2011 3-19 3 with updated OSQARM Organizational Chart Provided clarification of hazard 6 12/30/2011 6-1 6 definition Inserted reference to MTA 6 12/30/2011 6-3 6 Transit Information Services (410-539-5000) Deleted reference to MTA Hazard Management Database 6 12/30/2011 All Pages 9 – All CAP tracking will occur in the Corrective Action Monitoring Log Inserted reference to OSQARM use of the Geographical 6 12/30/2011 9-1 9 Information System (GIS) mapping to identify “hotspots” involving accidents or incidents

MTA – System Safety Program Plan ii January 2017. Rev 10 Rev. # Date Page # Section Description Section 10 revised in accordance with revised RSOPS and inserted 6 12/30/2011 All Pages 10 references to new MTA Accident/Incident Investigation Guide, Handbook and SOP Deleted Figure 11.1 – Metro 6 12/30/2011 All Pages 11 Emergency Operating Procedures Inserted references to 6 12/30/2011 15-1 15 ProjectWise description and implementation Inserted references to 6 12/30/2011 17-1 17 ProjectWise description and implementation Deleted Figure 19.1 – Environmental Policy 6 12/30/2011 19-3 19 Statement. Incorporated into text on Page 19-3 Removed MARC SSPP from Appendix A and provided 6 12/30/2011 A-1 Appendix A hyperlink to August 2011 MARC SSPP in ProjectWise in Section 3.0 Revised document date to 7 12/31/2012 All Pages All Sections December 2012 Replaced Figure 3-1 MTA 7 12/31/2012 3-4 3 Organizational Structure with updated figure Added new section 3.1.2 7 12/31/2012 3-7 3 Operations Control Centers Revised title of section 3.2.1 to 7 12/31/2012 3-8 3 Bus System General Information Added new section 3.2.2 Bus 7 12/31/2012 3-8 3 Fleets Description Revised title of section 3.4.1 to 7 12/31/2012 3-14 3 Light Rail System General Information Revised title of section 3.4.3 to 7 12/31/2012 3-15 3 Light Rail Signal System Revised title of section 3.5.1 to 7 12/31/2012 3-15 3 MARC System General Information

MTA – System Safety Program Plan iii January 2017. Rev 10 Rev. # Date Page # Section Description

Revised title of section 3.6 to 7 12/31/2012 3-17 3 Paratransit Services Replaced Figure 3-4 OSQARM and Transit Claims Group 7 12/31/2012 3-19 3 Organization Chart with new figure Added new section 3.10 Modal 7 12/31/2012 3-23 3 Safety Committees

Added new section 3.11 Lines 7 12/31/2012 3-24 3 of Authority for Safety

Revised title of section 4.0 to 7 12/31/2012 4-1 4 Plan Review and Modification

Revised title of section 4.1 to 7 12/31/2012 4-1 4 Annual SSPP Review Deleted reference in section 4.1 Annual SSPP Review to 7 12/31/2012 4-1 4 Appendix B SSPP Internal Review Checklist Added new section 4.3 SSPP 7 12/31/2012 4-2 4 Review and Approval by the State Oversight Agency Added new section 4.4 SSPP 7 12/31/2012 4-3 4 Change Management Revised title of section 5.0 to 7 12/31/2012 5-1 5 SSPP Implementation – Tasks and Activities Added new section 5.1 7 12/31/2012 5-1 5 Overview

Added new section 5.2 System 7 12/31/2012 5-1 5 Safety Function Added new section 5.3 Safety 7 12/31/2012 5-3 5 Responsibilities of Other Departments Added new section 5.4 Safety 7 12/31/2012 5-10 5 Task Responsibilities Matrix

Revised title of section 6.1 to 7 12/31/2012 6-1 6 Overview Revised title of section 6.2 to 7 12/31/2012 6-1 6 Hazard Management Process – Activities and Methodology

MTA – System Safety Program Plan iv January 2017. Rev 10 Rev. # Date Page # Section Description Revised title of section 6.3 to 7 12/31/2012 6-10 6 Coordination with State Safety Oversight (SSO) Agency Added new section 9.2 MTA 7 12/31/2012 9-1 9 Hazard Management Database Revised title of section 10.5 to 7 12/31/2012 10-8 10 MDOT Accident/ Incident Investigation Revised reference in section 12.2.1 Internal Safety Reviews 7 12/31/2012 12-4 12 from Appendix C to Appendix B Internal Safety Review Procedure Deleted reference in section 7 12/31/2012 12-5 12 12.2.2 Internal Safety Review Schedule to Appendix D Revised title of section 14.1 to 7 12/31/2012 14-1 14 Facilities and Equipment Subject to Inspection Revised title of section 14.2 to 7 12/31/2012 14-1 14 Regular Inspection and Testing

Added new section 14.3 7 12/31/2012 14-3 14 Checklists

Revised title of section 14.4 to 7 12/31/2012 14-3 14 General Responsibilities

Added new section 15.3 7 12/31/2012 15-3 15 Checklists

Revised title of section 15.4 to 7 12/31/2012 15-3 15 General Responsibilities

Deleted Appendix B SSPP 7 12/31/2012 B-1 Appendix B Internal Review Checklist Revised Appendix C title to Appendix B - 7 12/31/2012 C-1 Appendix C MTA Internal Safety Review Procedure Deleted Appendix D 7 12/31/2012 D-1 Appendix D MTA Internal Safety Review Schedule Delete J. Benton. 8 12/31/2013 vii Distribution List Add J. Tebo

MTA – System Safety Program Plan v January 2017. Rev 10 Rev. # Date Page # Section Description

Revised OCC to “CC” and 8 12/31/2013 All Pages All Sections removed location address.

Updated MTA Organizational 8 12/31/2013 3-4 3 Chart.

Revised Office of Service 8 12/31/2013 3-6 3 Quality to Core Operations/Core Support.

Updated MTA OSQARM 8 12/31/2013 3-18 3 Organizational Chart.

Added bullet in 5.3.6 regarding 8 12/31/13 5-8 5 new employee safety training.

Revised Section 6.3 in accordance with MDOT and 8 12/31/2013 6-10 6 FTA comments to include new criteria for Priority 1 and 2 Hazards.

Updated to describe divisional interdepartmental 8 12/31/2013 10-1 10 responsibilities at the scene of an accident.

Added “employees and 8 12/31/2013 10-1 10 equipment” to first sentence, second paragraph. Added Administrator/Chief 8 12/31/2013 10-3 10 Operating Officer/Designee.

MTA – System Safety Program Plan vi January 2017. Rev 10 Rev. # Date Page # Section Description

Revised title for Senior Deputy 8 12/31/2013 10-3 10 Director and Safety Officers.

Added title of Chief Information 8 12/31/2013 10-3 10 Officer.

Added text to 10.4 regarding 8 12/31/2013 10-7 10 the reporting of near misses.

Revised references to Accident 8 12/31/2013 10-7 10 Investigation Board.

Revised wording in last 8 12/31/2013 10-8 10 paragraph.

Added language to 13.1 to 8 12/31/2013 14-1 14 include the Director Training.

Removed reference to MTA 8 12/31/2013 14-2 14 Inspection Program Plan (IPP).

Removed reference to MTA 8 12/31/2013 15-3 15 Inspection Program Plan (IPP).

Removed SOP number in 8 12/31/2013 19-2 19 Section 19.3. Revised title of Office of Training and Development to 8 12/31/2013 20-2 20 Office of Administrative Training. Added to include after action 8 1/8/2014 11-4 11 reports Added language to include 8 1/8/2014 11-6 11 process of distribution for responsibility of plan revisions Added list of relevant systems 8 1/8/2014 15-1 15 and facilities provided

Revised categories of safety- 8 1/8/2014 16-1 16 related work requiring training

Update organization chart 9 1/3/2015 3-4 3

Added language to include 9 1/3/2015 3-6 3 MARC IV cars and paratransit

MTA – System Safety Program Plan vii January 2017. Rev 10 Rev. # Date Page # Section Description

Revised language of OSQ and 9 1/3/2015 5-4 5 STS department responsibility Added language for a Safety 9 1/3/2015 8-1 8 and Security Certification Project Log Added language to 9 1/3/2015 14-1 14 maintenance inspection programs Removed reference to 9 1/3/2015 18-6 18 Physician approved First-aid kits Revised language for 9 1/3/2015 19-1 19 Hazardous Materials Program Revised language to reflect that 9 1/3/2015 10-7 10 all final incident reports are placed in Project Wise. Revised language in No 10 12/28/2016 2-3 2 Tolerance Policy

10 12/28/2016 2-4 2 Removed “MTA STAT”

“Drug & Alcohol Abuse 10 12/28/2016 5-2 5 Program/Policy” line in Safety Matrix Removed Office of Quality 10 12/28/2016 5-3; All 5; All Service section

10 12/28/2016 5-3 5 Revised language of Training

Added All Hazards Email 10 12/28/2016 6-3 6 address

10 12/28/2016 6-8 6 Updated MIL STD-882 C to E

Filled in last line of reportable 10 12/28/2016 6-14 6 SSO hazards chart Identified Bus, Light Rail, and Metro in Accident Reporting 10 12/28/2016 9-1 9 System (ARS) Database language Added Description of Baltimore 10 12/28/2016 3-10 3 Link

MTA – System Safety Program Plan viii January 2017. Rev 10 Rev. # Date Page # Section Description

Accident Review Board was 10 12/28/2016 9-1 9 removed

Updated the MTA Safety Goals 10 12/28/2016 2-4 2 for the year

Added SCADA System 10 12/28/2016 15-2 15 language

10 12/28/2016

MTA – System Safety Program Plan ix January 2017. Rev 10 DISTRIBUTION LIST

P. Comfort Administrator and CEO, MTA

Chief Safety Officer, Office of Safety, Quality Assurance, and Risk P. Thomas Management, MTA

MDOT Rail Safety Oversight, Office of Risk Management and Rail Safety, MDOT

MTA Global Electronic Distribution

MTA – System Safety Program Plan x January 2017. Rev 10

TABLE OF CONTENTS

Page Number

REVISION PAGE ...... i

DISTRIBUTION LIST ...... vii

APPLICABLE STANDARDS, GUIDELINES AND REFERENCE DOCUMENTS ...... xv

1.0 POLICY STATEMENT ...... 1 2.0 PURPOSE, GOALS, AND OBJECTIVES ...... 1 2.1 PURPOSE ...... 2 2.2 SCOPE ...... 3 2.3 GOALS ...... 3 2.4 OBJECTIVES ...... 4 2.5 MTA MANAGEMENT GOALS AND OBJECTIVES ...... 5 3.0 MANAGEMENT STRUCTURE ...... 1 3.1 GENERAL OVERVIEW AND MTA HISTORY ...... 5 3.1.1 Core Operations/Core Support ...... 6 3.1.2 Control Centers ...... 7 3.2.1 Bus System General Information ...... 8 3.2.2 Bus Fleets Description ...... 8 3.3 MTA METRO RAIL SYSTEM DESCRIPTION ...... 9 3.3.1 Metro Rail System General Information ...... 10 3.3.2 Metro Heavy Rail Car Description ...... 11 3.3.3 Northwest Yard ...... 11 3.4 MTA CENTRAL LIGHT RAIL LINE (CLRL) SYSTEM DESCRIPTION ...... 12 3.4.1 Light Rail System General Information ...... 14 3.4.2 Light Rail Vehicle Description ...... 14 3.4.3 Light Rail Signal System ...... 15 3.5 MTA MARC SYSTEM DESCRIPTION ...... 15 3.5.1 General Information ...... 16 3.6 MTA PARATRANSIT SERVICES SYSTEM DESCRIPTION ...... 16 3.6.1 Description of MTA Service ...... 17 3.7 MTA COMMUTER BUS SERVICES SYSTEM DESCRIPTION ...... 17 3.8 INTEGRATION OF SAFETY FUNCTION...... 18 3.9 EXECUTIVE SAFETY AND SECURITY STANDING COMMITTEE ...... 23 3.10 MODAL SAFETY COMMITTEES ...... 25 3.11 LINES OF AUTHORITY FOR SAFETY ...... 25 4.0 PLAN REVIEW AND MODIFICATION ...... 26 4.1 ANNUAL SSPP REVIEW ...... 26

MTA – System Safety Program Plan xii January 2017. Rev 10 4.2 SSPP CONTROL AND UPDATE PROCEDURES ...... 27 4.3 SSPP REVIEW AND APPROVAL BY THE STATE OVERSIGHT AGENCY ...... 27 4.4 SSPP CHANGE MANAGEMENT ...... 28 6.0 HAZARD MANAGEMENT PROCESS ...... 1 6.1 OVERVIEW ...... 1 6.2 HAZARD MANAGEMENT PROCESS – ACTIVITIES AND METHODOLOGIES . 1 6.2.1 Hazard Identification and Analysis ...... 2 6.2.2 Methods of Hazard Identification ...... 2 6.2.3 Inductive Hazard Identification and Analysis ...... 5 6.2.4 Deductive Hazard Identification and Analysis ...... 6 6.2.5 Hazard Categorization and Risk Management ...... 6 6.2.6 Hazard Severity ...... 7 6.2.7 Hazard Probability ...... 7 6.2.8 Hazard and Risk Resolution ...... 10 6.3 COORDINATION WITH STATE SAFETY OVERSIGHT (SSO) AGENCY...... 11 6.3.1 Prioritization of Hazards...... 12 6.3.2 Minimum Criteria for Identification, Tracking, Notification, and Investigation/Reporting of Priority 1 and 2 Hazards ...... 12 6.3.3 Annual Safety Report to MDOT ...... 15 6.4 GENERAL RESPONSIBILITIES ...... 15 7.0 SAFETY AND SECURITY CERTIFICATION ...... 1 7.1 SAFETY AND SECURITY CERTIFICATION GENERAL DESCRIPTION...... 1 7.2 SAFETY AND SECURITY CERTIFICATION RESPONSIBILITIES ...... 3 7.2.1 MTA Office of Safety, Quality Assurance, and Risk Management ...... 3 7.2.2 MDOT State Safety Oversight ...... 3 7.2.3 Project Manager/Resident Engineer ...... 3 7.2.4 MTA Maintenance Services and Engineering ...... 4 7.2.5 MTA Staff (Design, Overhaul, and Maintenance Teams) ...... 4 7.2.6 Contractor (as applicable) ...... 4 7.2.7 Safety Consultant (as applicable) ...... 4 7.2.8 Safety and Security Certification Committee ...... 5 7.3 SAFETY AND SECURITY CERTIFICATION PROGRAM TASKS ...... 6

MTA – System Safety Program Plan xiii January 2017. Rev 10 7.3.1 Task 1 - Develop and Implement a SSCPP ...... 6 7.3.2 Task 2 – Establish a Safety and Security Certification Committee ...... 7 7.3.3 Task 3 – Identify Safety and Security Requirements ...... 8 7.3.4 Task 4 – Create a List of Hazards, Threats, Vulnerabilities, and Certifiable Elements ...... 8 7.3.5 Task 5 – Analyze and Mitigate Hazards, Threats, and Vulnerabilities ... 9 7.3.6 Task 6 – Document and Verify the Analysis, Review, and Approval Process to Ensure Certifiable Elements Meet Requirements ...... 10 7.3.7 Task 7 – Prepare a Safety and Security Certification Verification Report ...... 12 7.4 GENERAL RESPONSIBILITIES ...... 13 8.0 SYSTEM MODIFICATION ...... 1 8.1 SYSTEM MODIFICATION REVIEW AND APPROVAL PROCESS ...... 1 8.2 GENERAL RESPONSIBILITIES ...... 3 9.0 SAFETY DATA ACQUISITION AND ANALYSIS ...... 1 9.1 SAFETY DATA ACQUISITION AND ANALYSIS PROCESS...... 1 9.2 MTA HAZARD MANAGEMENT DATABASE ...... 3 9.3 GENERAL RESPONSIBILITIES ...... 4 10.0 ACCIDENT/INCIDENT NOTIFICATION REPORTING AND INVESTIGATION ...... 1 10.1 NOTIFICATION RESPONSIBILITIES OF THE OPERATION CONTROL CENTERS...... 2 10.2 NOTIFICATION RESPONSIBILITIES OF THE OFFICE OF SAFETY, QUALITY ASSURANCE, AND RISK MANAGEMENT ...... 4 10.3 AT-SCENE PROCEDURES ...... 6 10.4 ACCIDENT/INCIDENT INVESTIGATION ...... 7 10.5 MDOT ACCIDENT/INCIDENT INVESTIGATION ...... 8 10.6 ACCIDENT/INCIDENT INVESTIGATION REPORT ...... 9 10.7 POST ACCIDENT/INCIDENT INVESTIGATION ACTIVITIES ...... 10 10.8 GENERAL RESPONSIBILITIES ...... 11 11.0 EMERGENCY MANAGEMENT...... 1 11.1 PRIMARY POLICIES ...... 1 11.2 AUTHORITY OF MTA ...... 2 11.2.1 Scope of Authority ...... 2 11.2.2 Transition of Authority ...... 3 11.2.3 Preparedness ...... 3 11.2.4 Response ...... 4 11.2.5 Recovery ...... 5 11.2.6 Notification...... 5 11.2.7 Interagency Agreements...... 6 11.2.8 Training of Personnel ...... 6 11.3 GENERAL RESPONSIBILITIES ...... 8

MTA – System Safety Program Plan xiv January 2017. Rev 10 12.0 INTERNAL SAFETY REVIEWS ...... 1 12.1 INTERNAL SAFETY REVIEW ELEMENTS ...... 1 12.2.1 Internal Safety Reviews ...... 4 12.2.2 Internal Safety Review Schedule ...... 5 12.2.3 Daily Operational Reviews ...... 5 12.3 GENERAL RESPONSIBILITIES ...... 6 13.0 RULES AND PROCEDURES REVIEW ...... 1 13.1 RULES AND PROCEDURES REVIEW PROCESS ...... 1 13.2 ASSESSING IMPLEMENTATION OF RULES AND PROCEDURES ...... 2 13.3 GENERAL RESPONSIBILITIES ...... 3 14.0 FACILITIES AND EQUIPMENT INSPECTIONS ...... 1 14.1 FACILITIES AND EQUIPMENT SUBJECT TO INSPECTION ...... 1 14.2 REGULAR INSPECTION AND TESTING ...... 2 14.4 CHECKLISTS ...... 4 14.5 GENERAL RESPONSIBILITIES ...... 4 15.0 MAINTENANCE AUDITS AND INSPECTIONS ...... 1 15.1 GENERAL MAINTENANCE ACTIVITIES ...... 1 15.2 SAFETY COMPLIANCE ASSESSMENT AND INSPECTION PROCESSES ...... 2 15.3 CHECKLISTS ...... 3 15.4 GENERAL RESPONSIBILITIES ...... 3 16.0 EMPLOYEE AND CONTRACTOR TRAINING AND CERTIFICATION...... 1 16.1 TRAINING PROGRAM REVIEW AND REVISION ...... 3 16.2 GENERAL RESPONSIBILITIES ...... 4 17.0 CONFIGURATION MANAGEMENT ...... 1 17.1 CONFIGURATION MANAGEMENT DESCRIPTION ...... 1 17.2 GENERAL RESPONSIBILITIES ...... 2 18.0 EMPLOYEE AND CONTRACTOR SAFETY REQUIREMENTS ...... 1 18.1 EMPLOYEE SAFETY PROGRAM DESCRIPTION ...... 1 18.1.1 Employee Safety Awareness ...... 1 18.1.2 Safety Training ...... 1 18.1.3 Additional Safety Initiatives ...... 2 18.2 CONTRACTOR SAFETY COORDINATION ...... 4 18.2.1 Contractor Substance Abuse Program Requirements ...... 6 18.2.2 Contractor Safety Training Program ...... 6 18.2.3 Contractor First Aid Preparations ...... 6 18.2.4 Auditing of Contractor Operations ...... 6 18.2.5 Protection of the Public and Property...... 7 18.3 SAFETY OVERSIGHT OF CONTRACTOR OPERATIONS ...... 8

MTA – System Safety Program Plan xv January 2017. Rev 10 18.4 GENERAL RESPONSIBILITIES ...... 9 19.0 HAZARDOUS MATERIALS PROGRAM ...... 1 19.1 HAZARDOUS MATERIALS PROGRAM ...... 1 19.2 HAZARD COMMUNICATION ...... 1 19.3 SAFETY DATA SHEETS (SDS) ...... 2 19.4 HAZARDOUS MATERIAL LABELING AND STORAGE ...... 2 3 19.5 ENVIRONMENTAL PROTECTION ...... 3 19.5.1 Environmental Policy Statement ...... 4 19.6 GENERAL RESPONSIBILITIES ...... 5 20.0 DRUG AND ALCOHOL ABUSE PROGRAMS ...... 1 20.1 DRUG AND ALCOHOL ABUSE PROGRAM ...... 1 20.2 EMPLOYEE ASSISTANCE PROGRAM (EAP) AND SUBSTANCE ABUSE PROGRAM (SAP) ...... 2 20.3 GENERAL RESPONSIBILITIES ...... 2 21.0 PROCUREMENT ...... 1 21.1 PROCUREMENT PROCESS ...... 1 21.1.1 Project Managers ...... 1 21.1.2 Emergency Procurements ...... 2 21.1.3 Quality Assurance and Warranties ...... 3 21.1.4 Additional Procurement Requirements ...... 4 21.2 GENERAL RESPONSIBILITIES ...... 5 APPENDIX A – LIST OF ACRONYMS ...... 1 APPENDIX B – INTERNAL SAFETY REVIEW PROCEDURE ...... B-1

MTA – System Safety Program Plan xvi January 2017. Rev 10 LIST OF FIGURES Page Number Figure 3-1 - MTA Organizational Structure ...... 3-4 Figure 3-2 – Metro Rail System Map ...... 3-10 Figure 3-3 - MTA Central Light Rail Line System Map ...... 3-13 Figure 3-4 – Office of Safety, Quality Assurance, and Risk Management and Transit Claims Group Organizational Chart ...... 3-19 Figure 3-5 – Safety Tasks Matrix ...... 3-22 Figure 3-6 – Executive Safety and Security Standing Committee ...... 3-23 Figure 5-1 – Safety Task Responsibility Matrix ...... 5-38 Figure 6-1 – Hazard Reporting Process ...... 6-4 Figure 6-2 – Hazard Risk Index ...... 6-8 Figure 6-3 – Hazard Risk Categories ...... 6-9 Figure 6-4 – MDOT Required Reportable Priority 1 and 2 Hazards ...... 6-14

MTA – System Safety Program Plan xvii January 2017. Rev 10 APPLICABLE STANDARDS, GUIDELINES AND REFERENCE DOCUMENTS

Reference Title 15 USC Chapter 53 Toxic Substances Control Act 28 CFR Part 36 Americans with Disabilities Act 29 CFR Part 5 Contract Work Hours and Safety Standards Act 29 CFR Part 1910 Occupational Safety and Health Standards 29 CFR Part 1926 Safety and Health Regulations for Construction 42 USC Chapter 65 Noise Control Act 33 USC Chapter 26 Federal Water Pollution Act (Clean Water Act) 41 CFR Part 60 Equal Employment Opportunity Act 42 USC Chapter 55 National Environmental Policy (National Environmental Protection Act) 42 USC Chapter 82 Solid Waste Disposal (Resource Conservation and Recovery Act) 42 USC Chapter 85 Air Pollution Prevention and Control (Clean Air Act) 42 USC Chapter 103 Comprehensive Environmental Response, Compensation, and Liability Act 42 USC Chapter 116 Emergency Planning and Community Right-to-Know 49 CFR Part 27 Rehabilitation Act 49 CFR Part 29 Drug Free Workplace Requirements 49 CFR Part 37 Transportation Services for Individuals with Disabilities Americans with Disabilities Act Accessibility Specifications for 49 CFR Part 38 Transportation Vehicles 49 CFR Part 213 Track Safety Standards 49 CFR Part 214 Roadway Worker Protection 49 CFR Part 220 Radio Standards and Procedures 49 CFR Part 221 Rear End Marking Devices – Passenger, Commuter and Freight Trains 49 CFR Part 223 Safety Glazing Standards – Locomotives, Passenger Cars and Cabooses Railroad Accidents/Incidents; Reports Classification, and Investigation – 49 CFR Part 225 Train Accidents and Crossing Accidents 49 CFR Part 233 Signal Systems Reporting Requirements 49 CFR Part 238 Passenger Equipment Safety Standards 49 CFR Part 239 Passenger Train Emergency Preparedness Federal Transit Administration Regulations for Project Management 49 CFR Part 633 Oversight 49 CFR Part 653 Prevention of Prohibited Drug Use in Transit Operations 49 CFR Part 654 Prevention of Alcohol Misuse in Transit Operations 49 CFR Part 659 Rail Fixed Guideway Systems; State Safety Oversight 49 CFR Part 661 Buy America Requirements 49 CFR Part 663 Pre-award and Post Delivery Audits of Rolling Stock Purchase 49 CFR Part 665 Bus Testing Requirements AAR-RP-503 Association of American Railroads (AAR) Locomotive Fueling Interface ANSI/ASME A17.1 Safety Code for Elevators and Escalators APTA Bus Safety Manual for the Development of Bus Transit System Safety Program Plans Management Program American Railway Engineering and Maintenance-of-way Associations AREMA Manual for Railway Engineering, 2003 Edition American Society of Civil Engineers, Minimum Design Loads for Buildings ASCE 7-98 and other Structures

MTA – System Safety Program Plan xviii January 2017. Rev 10 Department of Defense Maintainability Program for Systems and DOD Mil-Std-470 Equipment DOD Mil-Std-882E Department of Defense Standard Practice for System Safety Department of Defense Human Engineering Design Criteria for Military DOD Mil-Std-1472D Systems, Equipment, and Facilities DOT-FRA-RRS-22 FRA Guide for Preparing Accident/Incident Reports DOT-FTA-MA-26-5019- FTA Public Transportation System Security and Emergency Preparedness 03-01 Planning Guide DOT-FTA Guideline Hazard Analysis Guidelines for Transit Projects DOT-FHWA Manual of Uniform Traffic Control Devices DOT-FTA-90-5006- FTA Handbook for Transit Safety and Security Certification 02-01 Homeland Security Presidential Directive – Homeland Security Advisory System 3 NFPA 10 Portable Fire Extinguishers NFPA 13 Installation of Sprinkler Systems NFPA 14 Installation of Standpipe, Private Hydrants, and Hose Systems NFPA 70 National Electric Code NFPA 72 National Fire Alarm Code NFPA 75 Protection of Information Technology Equipment Installation of Air-Conditioning and Ventilating and Warm Air Heating and NFPA 90A and 90B Air-Conditioning Systems Exhaust Systems for Air Conveying of Vapors, Gases, Mists, and Non- NFPA 91 Combustible Particulate Solids NFPA 101 Life Safety Code NFPA 110 Emergency and Standby Power Systems NFPA 130 Standard for Fixed Guideway and Transit Passenger Rail Systems NFPA 220 Types of Building Construction NFPA 256 Methods of Fire Tests of Roof Coverings NFPA 780 Installation of Lightning Protection Systems Installation, Maintenance, and Use of Emergency Services NFPA 1221 Communications Systems Latest Revision Local Jurisdiction Fire and Building Codes Latest Revision US DOT Rail Accident Investigation Handbook

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1.0 POLICY STATEMENT

It is the mission of the Maryland Transit Administration (MTA) to provide a network of transit, commuter rail, and bus services to its customers throughout the State of Maryland in a safe, reliable, and efficient manner that supports both the economy and environment. Safety is a primary concern in fulfilling this mission and as such, the MTA Administrator is empowered and authorized to design, implement, and administer a comprehensive, integrated, and coordinated System Safety Program. This includes the development and implementation of a specific plan for the identification, prevention, control, and resolution of any unsafe conditions during design, construction, testing, operation, maintenance, and disposition of MTA’s operations and services. While authority for the preparation and implementation of this plan is vested first with the MTA Chief Safety Officer-Office of Safety, Quality Assurance, and Risk Management (OSQARM), the MTA Administrator holds ultimate responsibility for the safety of MTA’s operations and services.

The System Safety Program Plan (SSPP) has been developed as a means of integrating safety into all MTA operations and services. The System Safety Program establishes mechanisms for identifying and addressing hazards associated with MTA operations and services and provides a means of ensuring that proposed system modifications are implemented with thorough evaluation of their potential effect on safety. The membership, role, and responsibility of the Executive Safety and Security Standing Committee are defined in the SSPP. The Executive Safety and Security Standing Committee has the highest authority as it pertains to resolving issues relating to the hazards management process. Through the use of the SSPP, the MTA builds a basis for achieving an optimal level of safety throughout its operations and services, and develops a basis for an effective safety culture aimed towards reducing “at-risk behavior” and practices.

This proactive approach dictates that MTA Management plan for and design safety, health, and environmental controls into each operation and activity. Management is responsible for the development and maintenance of the working environment and how staff interacts with that environment, and are therefore accountable for developing and implementing appropriate operating systems, procedures, rules, and work practices. This includes monitoring the operations of contracted service providers to ensure their compliance with established rules and procedures.

Success of the System Safety Program is dependent on the involvement of all MTA personnel and departments and as such all personnel and departments have responsibilities under the Program as summarized in the SSPP. All personnel are responsible and accountable for fulfilling and complying with the safety requirements of their positions and all supervisors and managers are responsible and accountable for enforcing the safety requirements pertaining to their employees. All personnel and departments shall support the implementation of the SSPP and System Safety Program and shall provide the continuing support necessary for achievement of program objectives. Each staff member, including contractor staff, is empowered to initiate a work stoppage of any operation where there exists a serious and imminent danger.

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2.0 PURPOSE, GOALS, AND OBJECTIVES

The term "system safety" is defined by the United States Department of Transportation (DOT) as "the application of operating, technical and management techniques and principles to the safety aspects of a system throughout its life to reduce hazards to the lowest practical level through the most effective use of available resources." The MTA maintains a thorough and proactive system safety policy consistent with this definition and industry best practices, and is mandated by the Federal Transit Administration (FTA) for its Heavy Rail, Light Rail, Bus, and Paratransit operations to develop, implement, and administer a comprehensive and coordinated System Safety Program. MTA’s Maryland Rail Commuter (MARC) services must meet similar requirements under the Federal Railroad Administration (FRA). Acronyms are used extensively throughout this document. A list of acronyms can be found in Appendix A.

The SSPP communicates MTA’s specific system safety goals and objectives, and documents and defines the safety responsibilities, activities, and capabilities established by the MTA to promote and improve system safety throughout all operations and services. This includes responsibility for monitoring compliance of all transportation operations and support activities and for reinforcing safe work practices aimed at identifying risks and reducing accidents and incidents. The SSPP describes how accountability for system safety is integrated and shared throughout the organization and establishes mechanisms for ensuring that the safety implications of system modifications are adequately addressed prior to making changes. It also provides a systematic approach and methodology for identifying and resolving hazards in an expedient and cost effective manner, while maintaining the safest possible operating environment for MTA’s services.

Further, the SSPP provides the background description, organization, management processes, and descriptions of the operational facilities, systems, and the personnel responsible for providing safe and reliable operations and maintenance of MTA’s systems. Finally, the SSPP identifies the relationship and responsibilities between the MTA, State, Federal, and local agencies and organizations that have an impact on transit system safety, and is the primary mechanism through which internal and external safety and regulatory requirements and goals are met.

The SSPP is written in accordance with the guidelines specified in the American Public Transportation Association (APTA) Manual for the Development of Bus Transit System Safety Program Plans, the APTA Manual for the Development of System Safety Program Plans for Commuter Railroads, the FTA requirements of 49 CFR Part 659 Rail Fixed Guideway Systems; State Safety Oversight, and FTA’s Resource Toolkit for State Oversight Agencies Implementing 49 CFR Part 659. The Plan also meets the requirements of the Handbook for Transit Safety and Security Certification (document number: FTA-MA-90-5006-02-01).

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Covered within the scope of the MTA SSPP, is the requirement that all transit-related activities will include hazard and risk identification and control throughout the planning, design, development, acquisition, modification, operation, maintenance, and disposition of all transit hardware, software, and facilities throughout their life-cycle. The policy, goals, and objectives of MTA’s System Safety Program apply to all personnel, divisions, departments, and units of the MTA that contribute to the transit system, as well as work performed by contractors on the system. All MTA employees and contractors are therefore required to adhere to safe work practices when in contact with passengers, other employees, private property, and the general public.

2.1 PURPOSE

The primary purpose of the MTA System Safety Program is to establish formal mechanisms used by MTA employees to:

 Establish system-wide processes whereby hazards and risks associated with the operation of the system are identified and analyzed so that preventive actions may be implemented to eliminate, control, or minimize their impacts  Establish System Safety Program responsibilities and ensure that tasks are assigned, understood, documented, and tracked in an organized and useful manner  Implement system safety policies and procedures that can be measured, audited, and evaluated to determine the effectiveness of MTA’s System Safety Program and hazard and risk management activities and processes  Identify hazards and risks associated with MTA operations and services and to eliminate, minimize, or control these hazards and risks  Satisfy Federal (FRA, FTA, EPA), State (MDOT), Agency (MTA), APTA, and Railroad (Norfolk Southern, CSX, Amtrak) requirements, as applicable.

The System Safety Program is used as a means of proactively preventing injuries, accidents/ incidents, environmental damage, and other losses while concurrently demonstrating MTA's commitment to safety. The SSPP focuses on a process of identifying hazards, assessing the levels of risk, and developing appropriate resolutions prior to the occurrence of an accident/ incident, injury, illness, environmental damage, or other loss. As this hazard and risk identification and resolution process makes up the core of the System Safety Program, it is the intent of the MTA to implement this process for every phase of a project, operation, or system throughout its life-cycle, from conception through operation, and finally through disposition. The extent of this process includes procedures and policies related to other subordinate and supportive aspects of the MTA System Safety Program such as safety and security certification of personnel and equipment, document control, configuration management, quality assurance, operations, maintenance, and training.

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The effectiveness of the System Safety Program, the SSPP, and the hazard and risk identification and elimination process is evaluated through internal reviews of MTA’s day-to-day operations and activities. The MTA uses internal reviews as a tool to modify safety critical elements and system safety processes on a continuing basis, in turn optimizing operational safety and performance. The reviews are conducted in accordance with industry standard practices and applicable regulations and requirements.

2.2 SCOPE

The MTA System Safety Program and SSPP apply to all organizational units, employees, and contractors affecting, or affected by, MTA operations and services throughout all design, construction, testing, operations, maintenance, and disposition phases. The Program also:

 Charges each Manager and Department with responsibility and accountability for the implementation, enforcement, and success of the System Safety Program  Mandates coordination, integration, communication and cooperation among all personnel and departments relative to matters of safety  Encompasses all fixed facilities, vehicles, and employee activities, and applies to all who come in contact with the system  Identifies the relationships and responsibilities with State, Federal, and local agencies and any other organizations that have an impact on operations, (e.g., APTA, FRA, FTA, NTSB, MDOT, NS, Amtrak, and CSX).

It is not possible to address all the specific safety-related responsibilities of personnel and departments in a plan of this type. Relevant documents such as rulebooks, standard operating procedures, plans, and other procedures have therefore been referenced where appropriate in the SSPP and should be reviewed to achieve a complete understanding of the System Safety Program. Although the SSPP applies to all organizational units of the MTA, a separate SSPP has been developed for the MARC rail system for the express purpose of meeting submittal and approval requirements of the FRA. MARC services and operations remain governed by the provisions of the MTA SSPP.

2.3 GOALS

The MTA is committed to ensuring that its operations and equipment are safe and its employees and contractors engage in safe work practices at all times. The MTA has a low tolerance policy for any egregious non-compliance with the System Safety Program and considers public, employee, and passenger safety to be a paramount consideration in all decisions. As such, the ultimate goal of the MTA System Safety Program is to achieve the highest level of safety for all MTA customers, employees, contractors, and the general public consistent with MTA operating and management goals. The System Safety Program gives direction to all MTA employees and contractors who are involved in activities that provide or support MTA operations and services,

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and ensures a constant review of MTA's safety record and practices through quality assurance activities, internal safety reviews, investigations, and daily oversight. The goals of the MTA System Safety Program are as follows:

 Bus: For FY2017, average less than 8 total accidents per 100,000 miles of service  Metro: For FY2017, average less than 2 total accidents per 100,000 miles of service  Light Rail: For FY2017, average less than 2 total accidents per 100,000 miles of service  Mobility: For FY2017, average less than 6 total accidents per 100,000 miles of service  Bus and Mobility: For FY2017, average less than 1 preventable accident per 100,000 miles of service

Modal:  12 Safety Observation Report by front line employees (1 per month)  12 OSHA inspections per year by front line employees (1 per month)  Reduce the number of workers comp accidents by 15%

2.4 OBJECTIVES

Objectives are the quantifiable working elements of the System Safety Program that provide a means of achieving Program goals as well as a method of measuring the effectiveness of MTA safety efforts. The objectives of the MTA System Safety Program are therefore as follows:

 Establish safety policies, procedures, and requirements that integrate safety into MTA processes, decision making, and operations  Assign responsibilities related to safety policies, procedures, and requirements  Verify adherence to MTA safety policies, procedures, and requirements  Thoroughly investigate all accidents/incidents including fires, injuries, and near misses  Identify, analyze, and resolve all hazards in a timely manner  Meet or exceed safety requirements in all operations, services, and maintenance activities  Thoroughly evaluate and verify the operational readiness of new systems  Minimize system modifications during the operational stage by establishing and utilizing system safety processes from system inception through procurement  Thoroughly evaluate the safety implications of all proposed system modifications prior to implementation  Ensure that system modifications do not create new hazards  Consider safety and security issues as critical elements of all project phases including preliminary engineering, final design, construction, testing, operations, and maintenance.

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2.5 MTA MANAGEMENT GOALS AND OBJECTIVES

MTA management goals include:

 Continuing to operate a fiscally responsible public agency utilizing good business principles

 Working with the State, cities, counties, Metropolitan Planning Organizations, and other interested parties in examining transportation corridors, considering land use, economic activity, population patterns, and connections among these three elements and transportation

 Providing safe, secure, and reliable service that protects employees and passengers and minimizes property damage to vehicles and facilities.

MTA management objectives include:

 Implementing the Regional Transit Plan consistent with the input and participation of public and local governments  Implementing safety and security systems that require safe work habits  Developing a public transportation educational and marketing program enhanced by market research  Developing and maintaining a multi-modal transportation system, responsive to public needs, which includes: – Maintenance and expansion of the Metro, Light Rail, Local Bus, Commuter Bus, Paratransit, and MARC services – Maintaining a comprehensive public transit system that complements other existing public and private transportation systems – Working with Federal, State, and local governments to encourage the development of alternatives to single occupant vehicle usage  Providing safe and secure transit services and facilities free from aggressive, threatening, violent or destructive acts.

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The Chief Safety Officer-OSQARM, in coordination with the MTA Administrator and other department managers, has the primary responsibility for monitoring the goals and objectives established by the System Safety Program. MTA’s progress towards meeting stated goals and objectives is continually evaluated through an internal safety review process. The Chief Safety Officer-OSQARM is responsible for overseeing the performance of internal safety reviews and reporting findings and proposed corrective actions for identified deficiencies to the MTA Administrator, MTA Executive Management, and the State Safety Oversight Agency (i.e., MDOT) on an annual basis. In addition, the Chief Safety Officer-OSQARM provides input to the MTA Administrator on an on-going basis regarding the status of the MTA System Safety Program and the resolution status of identified hazards and review findings.

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3.0 MANAGEMENT STRUCTURE

The MTA, under MDOT, has the authority to furnish public transportation services throughout the State of Maryland including developing and operating transportation services in the city of Baltimore.

The MTA Administrator is empowered and authorized to design, implement, and administer a comprehensive, integrated, and coordinated System Safety Program. This includes the development and implementation of a specific plan for the identification, prevention, control, and resolution of any unsafe conditions during design, construction, testing, operations, maintenance, and disposition of MTA operations and services.

The authority for the preparation of this plan is vested with the Chief Safety Officer-OSQARM, in consultation with the other line managers and the MTA Administrator. All MTA personnel and departments are responsible and will be held accountable for supporting the implementation of the SSPP and System Safety Program, and for providing the continuing support necessary for achievement of SSPP and System Safety Program objectives.

OSQARM serves as a resource for MTA’s modal operations and services, which are responsible for the daily oversight, identification, and control of operating and workplace hazards. Responsibilities of the OSQARM also include:

 Performing periodic reviews and updates of the SSPP and other documents developed by the OSQARM  Developing and maintaining safety related policies, rules, and training programs for the OSQARM  Coordinating with MDOT and MDOT in the development and implementation of the Rail Safety Oversight Program Standard (RSOPS)  Providing MDOT notification of the MTA's involvement in any event that has the potential of high media or public interest  Providing input to each of the modes and departments pertaining to the development of safety requirements in procedures and other departmental documentation  Coordinating and executing the Internal Safety Review process  Evaluating safety processes and practices of MTA departments and personnel  Participating in and overseeing testing programs of new systems and system modifications  Overseeing and performing safety and security certification programs of new systems and system modifications  Evaluating proposed system changes and modifications to determine their impact on the safety of MTA operations and services

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 Coordinating emergency drills, simulations, table-top exercises, and training exercises  Developing and implementing loss control and injury/illness prevention programs  Assisting other departments in the development of training lesson plans to ensure safety elements are included  Responding to emergencies and disasters in accordance with the MTA EPOPs  Evaluating hazardous material/chemical data from a safety perspective to determine potential hazards prior to its purchase, use in MTA systems or by MTA employees, or storage on MTA properties  Conducting accident/incident investigations to determine root causes and developing recommendations to mitigate or prevent recurrences  Participating in and reviewing procurement processes and documents to ensure safety elements are addressed  Assisting in the evaluation and determination of the need for safety equipment and devices and making recommendations for their implementation  Acting as an MTA representative at outside safety meetings and seminars  Ensuring safety information is made available to MTA departments, personnel, contractors, and patrons  Responding to Maryland/Occupational Safety and Health Administration (M/OSHA) and other regulatory agency citations related to safety and developing corrective action plans as necessary  Compiling and analyzing accident/incident, injury, illness, and property damage data to identify potential trends and submitting reports to the appropriate regulatory agencies regarding the data  Assisting in the evaluation and resolution of hazards when departments are unable to achieve resolution through their management structure  Assisting departments with the development and review of corrective action plans and follow-up activities resulting from the hazard identification and resolution process, accident/incident investigations, employee or passenger complaints, etc. and ensuring proper documentation is maintained.

All personnel are responsible and accountable for fulfilling and complying with the safety requirements of their positions. All department heads, supervisors, and managers are likewise responsible and accountable for enforcing the safety requirements pertaining to their employees. Further, it is the responsibility of all employees to take into consideration the safety of others as well as their own safety when performing their daily duties. All employees are encouraged to identify hazards or potential hazards when performing their jobs. It is the responsibility of all

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employees to immediately notify immediate supervision or the OSQARM, according to the appropriate chain of command, when a hazard or potential hazard has been identified.

When an immediate and serious hazard has been identified, all employees have the authority and responsibility to order the cessation of unsafe activities or operations until the hazardous condition is corrected. The identification, analysis, and reporting of identified hazards is further described in Section 5.0 Hazard Management Process of this plan. Additionally, the Chief Safety Officer- OSQARM is empowered to order the cessation of unsafe activities or operations that are evaluated as creating an immediate and serious hazard within the system. The Chief Safety Officer-OSQARM is also empowered to conduct unannounced inspections aimed at identifying and eliminating unsafe practices, operations, and conditions not corrected by immediate management/supervision.

The MTA organization provides for an Administrator who reports to the Maryland Secretary of Transportation. The MTA is comprised of the following organizational partitions:

 Deputy Administrators  Fair Practices  Legal Counsel  Safety, Quality Assurance & Risk Management  Labor Relations  Operations  Finance & Administration  Planning & Engineering

The organizational structure of the MTA is provided in Figure 3–1.

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Figure 3-1 - MTA Organizational Structure

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3.1 GENERAL OVERVIEW AND MTA HISTORY

The MTA is responsible for the planning, design, construction, operation, and maintenance of a multi-modal transportation system. The MTA procures and maintains a fleet of passenger buses, light rail vehicles (LRVs), heavy rail vehicles, commuter trains, and mobility vehicles to meet its service demands for public transportation services. Additionally, the MTA oversees commuter bus services throughout the State of Maryland. To support these services the MTA employs approximately 3,400 employees.

The combination of these services provides regularly scheduled transit and additional transportation for special events throughout the city of Baltimore and its surrounding areas. The MTA strives to provide adequate accessibility to all areas of the city of Baltimore and surrounding counties, and to and from Washington, DC for both work and non-work activities.

Public bus transportation commenced in Baltimore on March 21, 1948 when the Curtis Bay line converted from rail to bus. In 1961, the Metropolitan Transit Authority was created by the Maryland General Assembly and was empowered in 1962 to regulate all mass transit in Baltimore City and parts of Baltimore County. In 1963 the Metropolitan Transit Authority was empowered to acquire through purchase or condemnation, any mass transit companies that operated within the authority's jurisdiction. Between 1964 and 1967, 125 new air-conditioned General Motors Company buses were added to the fleet for a total of 797 buses. In 1970, the Metropolitan Transit Authority took over the operation of the Baltimore Transit Company, and on July 1, 1971 the Metropolitan Transit Authority was consolidated under the MDOT and its name was changed to the Mass Transit Administration.

In 1973, design work started on the Baltimore Metro Heavy Rail System (Metro), which began service in November of 1983 when Section A of the system opened providing subway service from the Charles Center Station in downtown Baltimore to the Reisterstown Plaza Station in northwest Baltimore. Section B of the system began operation in July of 1987 and provides service from the Reisterstown Plaza Station to the Owings Mills Station. In 1995, Section C of the system was completed and currently provides service between Charles Center and Johns Hopkins Hospital. In 2007 a mid-life overhaul was completed on 100 Metro railcars.

In 1989, groundbreaking ceremonies were held to start construction of the Central Light Rail Line (CLRL), which began limited service in on April 3, 1992. The operating territory of the CLRL extends from the Hunt Valley, MD station (northern terminus) to the Cromwell station in Glen Burnie (southern terminus). This territory also includes two CLRL extensions to Penn Station and the Baltimore Washington International Thurgood Marshall Airport (BWI), as well as the CLRL Maintenance and Operations Control facility located at North Avenue in Baltimore City.

In 1992, the Mass Transit Administration also took over management of MARC services, which had been previously managed as part of a separate MDOT modal administration. In 2001 the Mass Transit Administration was again renamed and is now called the Maryland Transit Administration (MTA).

In 2002, expansion of CLRL operations continued with the construction of a new maintenance facility at the CLRL's Cromwell station located in Glenn Burnie, Maryland. Also the MTA has completed work on a double tracking project of the CLRL system, in which nearly all single-track

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rights of way of the CLRL system were expanded to include a parallel double track and Automatic Train Protection.

In addition to the services previously described, the MTA also provides special transportation services to meet the special needs of physically disabled riders as well as contracted Commuter Bus services throughout the State of Maryland.

To date, the MTA employs approximately 3,400 employees. Additionally, the MTA has its own police department, which has sworn police officers who are empowered with the same police powers as the Maryland State Police. The MTA Police also have communication officers, fare inspectors, and security guards.

The MTA maintains an internet site (http://www.mta.maryland.gov/), which provides individual modal routes and schedule information. The MTA also maintains an Information Line at (410)-539–5000 or 1-866-RIDE-MTA (743-3682).

3.1.1 Core Operations/Core Support

Core Operations/Core Support (CO/CS) is responsible for managing the safe and efficient operation of Bus, Metro Rail, and Light Rail services. To support this mission, CO/CS monitors the readiness and performance of the MTA’s operator team, the functionality of our service equipment, and the safety and cleanliness of our transit facilities and other operating environments.

Strategically, MTA created CO/CS to leverage existing personnel capabilities, new technologies, and new operational measures to improve the continuity of its services, communications within its organization, and with its customers. The goal is to create a new culture of service quality within MTA. CO/CS has refocused MTA’s efforts and energies on safety, reliability, efficiency and employee accountability to increase customer satisfaction.

CO/CS created a “Zone Management” concept where service coordination responsibilities are divided into geographic zones and sectors, each overseen by a Zone Manager. The Zone Manager is the on-site authority of any situation across any mode of service. The Zone Manager is empowered to take control of field situations and is responsible for mitigating resolutions to minimize service disruptions across all modes. Zone Managers oversee Service Coordinators that are assigned to sectors in their respective zones. Zone Managers coordinate directly with the Control Centers and ensure that actions required in the field are expeditiously resolved in a manner supporting continuity of service.

CO/CS will also implement the Central Control Center (CCC) concept that will be a keystone component of the new Office of Service Quality and will serve as the nerve center for CO/CS operations. The CCC will consolidate the operations control centers of Bus, Light Rail and Metro Rail organizationally and physically under a single governance structure. It will conduct round-the- clock operations and incorporate new technologies not present in the current operations control centers. It will feature conference facilities, located with the operations floor for use during special events and other operational challenges.

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3.1.2 Control Centers

Control Centers (CC) for each mode are currently located in Baltimore City and surrounding areas and contain the necessary systems and the operating personnel to supervise, regulate, and control Bus, Light Rail, and Metro Rail operations. The CC has the capability to monitor and control safe operation of the transit system and to handle any emergency situations that may arise and is continuously attended during all hours of operations. CC personnel monitor train positions, switch positions, signal status and malfunctions, fire and intrusion alarms, traction power systems, and pumping station status.

The CC is equipped with monitoring, control, and communication facilities required to operate a safe and efficient rapid transit system, and to handle emergency situations. A computer system monitors train positions, switch positions, signal status and malfunctions, status of support systems such as ventilation, drainage, fire and intrusion alarms, traction power system status and pumping station alarms. The CC has direct communication via radio, telephone, and/or public address with:

 Train and bus operators and train passengers  Station attendants and passengers in stations  MTA Systems Maintenance  Road, terminal, and yard tower supervisors  Local fire/rescue communications centers  MTA and local police.

CC staff has the responsibility for complete control of the Bus, Light Rail, Metro Rail and all facilities necessary to coordinate activities required for correction of an emergency and/or non-routine situation in accordance with established Standard Operating Procedures (SOPs) and Emergency Operating Procedures (EOPs). The CC was updated through the CC Modernization Project, which was completed in 1996.

3.2 MTA BUS SYSTEM DESCRIPTION

The MTA bus system operates and has four division facilities located throughout the city of Baltimore in which operations, administration, and maintenance activities are housed. These divisions include – Bush, Eastern, Kirk, and Northwest.

General repairs and maintenance are performed at all locations, although the major overhaul facility is located at the Bush Division. Routes are modified periodically to adapt to changing needs and to support special services. The MTA periodically procures new buses as existing buses age and as ridership and service areas increase and expand. Technical specifications for passenger coaches incorporate fuel system and emission system features for coaches in the MTA bus fleet. Special safety features will be incorporated in the design of any alternate fuel coaches purchased or leased by MTA in the future.

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3.2.1 Bus System General Information

The MTA operates nearly 51 Local Bus lines throughout central Maryland. Many Local Bus lines connect with Light Rail, Metro Rail, and MARC Train service. Local Bus service provides approximately 240,000 rides per day. When riding MTA Local Bus service, customers pay the fare as they board, and exact fare is required. Customers may then ask the operator where to get off or watch/listen for the appropriate stop (touching the yellow strip on the interior of the bus alerts the operator that a customer wants to get off at the next stop). Smoking, eating, drinking, and playing radios or audio devices without earphones are not permitted by law on MTA Local Buses.

3.2.2 Bus Fleets Description

The MTA operates a mixed fleet of approximately 700 transit buses. The fleet consists of 40-foot diesel powered buses, 40-foot hybrid buses, and 60-foot (articulated) hybrid buses. The more fuel efficient hybrid buses comprise one-third of MTA’s fleet.

3.2.3 Baltimore Link

BaltimoreLink is a complete overhaul and rebranding of the core transit system operating within the city and throughout the greater Baltimore region. The project name was developed to emphasize how the redesigned network will provide better connection between origins and destinations and between modes of transportation. To achieve MTA’s overarching mission of providing safe, efficient, and reliable transit across Maryland with world-class customer service, the BaltimoreLink Plan has five major goals:  Improve service quality and reliability;  Maximize access to high-frequency transit;  Strengthen connections between MTA’s bus and rail routes;  Align the network with existing and emerging job centers; and  Engage riders, employees, communities, and elected officials in the planning process.

BaltimoreLink will not only address the significant and needed changes to the bus system in Baltimore, but will also connect all the different types of public transit under one name. The Maryland Department of Transportation (MDOT) and the Maryland Transit Administration (MTA) proudly endorse this plan as an effort to connect all existing transit services in an intentional and complementary manner.

Under BaltimoreLink, we've created a more efficient and reliable bus network by spreading out the routes within the downtown core and creating a grid of high frequency routes serving more downtown locations. To accomplish these needed improvements, we are implementing three levels of bus service:

CityLink: These 12 new high-frequency bus routes will connect with each other, as well as Metro SubwayLink, Light RailLink, MARC Train, Commuter Bus, Amtrak, and other services into one integrated transit network.

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LocalLink (current Local Bus): These Local bus routes will provide comprehensive crosstown connections and system-wide connectivity to neighborhoods and communities.

Express BusLink (current Express Bus): Express BusLink will consist of several existing express bus services that provide Suburban-City connections, and the addition of the recently launched Suburban-Suburban routes. Typically, express bus routes have fewer stops and use higher speed roadways.

3.3 MTA METRO RAIL SYSTEM DESCRIPTION

The MTA Metro Rail System (Metro Rail) is a 15.5-mile long, 14-station mainline, double track rail system. A one-way trip encompassing the entire system takes approximately 29 minutes to complete.

The Metro Rail system was constructed in three stages. Phase 1, Section A, included the Northwest Line, which extends from the Charles Center Station in downtown Baltimore to the Reisterstown Plaza Station in northwest Baltimore. Section A is 7.55 miles long and was completed in November 1983. It consists of a below- ground section that runs from Charles Center Station to Portal (located between Mondawmin and West Cold Spring Stations). An aerial section runs from the Portal to Reisterstown Plaza Station. Phase 2, Section B, was an extension to the Northwest line that currently runs northwest from the Reisterstown Plaza Station to the Owings Mills Station. Section B is 6 miles long and was completed in July of 1987 and runs completely at grade level from the Reisterstown Plaza Station to the Owings Mills Station.

Phase 3, Section C, was an extension that currently runs from Charles Center to Johns Hopkins Hospital. It is 1.5 miles long, and was completed in 1995. This section is completely underground.

A map of the MTA Metro Rail system is provided in Figure 3-2.

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Figure 3-2 – Metro Rail System Map

3.3.1 Metro Rail System General Information

The 15.5-mile, 14 station, Metro Rail system operates from the Owings Mills corporate and shopping complex in Baltimore County, through the heart of Downtown Baltimore’s business, shopping and sightseeing districts to world-renowned Johns Hopkins Hospital. Tickets can be purchased from ticket vending machines at each station. Smoking, eating, drinking, and playing radios or audio devices without earphones are not permitted by law on the Metro Rail system. Bicycles are permitted on the MTA Metro Rail system except when trains are crowded.

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3.3.2 Metro Heavy Rail Car Description

The MTA procured 100 heavy rail vehicles (50 married pairs) from the former Budd Company, which entered service between 1982 and early 1987. The cars, weighing 75,847 pounds, are 75 feet long (over couplers), 10 feet, 2-1/2 inches wide (at the greatest outside dimension), and 12 feet, 3-1/2 inches high (top of rail to top of roof including antenna), with a seating capacity of 76 passengers.

A married pair consists of both an "A" and "B" car, and a train consist can be made up of 2, 4, or 6 cars. The cody consists of the shell, end- underframes, interior appointments, and related structures, excluding operating equipment. The shell, which includes the roof, side frames, ends, and underframes, is constructed of stainless steel. The nose section incorporates a fiber reinforced plastic panel and the underframe structures are constructed of Low Alloy High Tensile (LAHT) steel. The coupler and draft gear arrangement is designed to allow each married pair within a train to be mechanically, electrically, and pneumatically coupled or uncoupled and is also designed to absorb and cushion buff and draw loads encountered during operation.

Each vehicle is independently powered by four (two per truck) type 1462DA, series wound DC traction motors. Each motor drives one axle in which power from the motor is transferred through a coupling to a gear unit to the axle and wheels. The high voltage power system is at a nominal 700 VDC, and receives power from the wayside power distribution system through a third rail. The Automatic Train Control (ATC) system is made up of two subsystems - Automatic Train Operation (ATO) and Automatic Train Protection (ATP). The ATO equipment provides functions for automatic speed regulations, program station stopping, and tractive effort generation. The ATP system operates in conjunction with the wayside signaling system for providing speed limit information (cab signals) and overspeed enforcement to the Train Operator and the ATO system. Selection data, route lock data and signal indication for transfer track areas are exchanged between the mainline and yard interlocking subsystems.

3.3.3 Northwest Yard

Metro Rail operations also include the Metro Northwest Yard and Shops, which are located between the Reisterstown Plaza and Rogers Avenue stations, and includes facilities to repair, maintain, clean, and store vehicles and equipment and to support the maintenance of the system. There are several turnouts that provide the capability to move trains between the two mainline tracks and yard transfer tracks. CC and Yard Tower Controllers are alerted of impending yard/mainline interfacing train moves (yard to mainline or mainline to yard) by both audible and visual indications. Cooperative action permits such moves to be made, subject to prevailing operating rules.

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3.4 MTA CENTRAL LIGHT RAIL LINE (CLRL) SYSTEM DESCRIPTION

The MTA CLRL system is a 30-mile system operating from Hunt Valley, MD (northern terminus) to Glen Burnie, MD (its southern terminus at the Cromwell station). This territory also includes two extensions to Penn Station and BWI-Thurgood Marshall Airport, as well as the CLRL Maintenance facility located at North Avenue in Baltimore City. An additional maintenance facility was constructed at the CLRL's Cromwell station located in Glenn Burnie, MD. In 2006, the MTA also completed a double track project, in which adjacent tracks were built in nearly all remaining single tracked sections of right- of-way encompassed by the CLRL system.

During the Double Track Project, Automatic Train Protection (ATP) was added to the system and carbody equipment. The Light Rail system utilizes ATP, which prevents train collisions by forcing operators to comply with speed restrictions that are displayed on the Aspect Display Unit (ADU). This is done by monitoring track circuits for the presence of trains and applying a speed code to the track when a train is detected. The speed code is processed by equipment on the Light Rail Vehicle (LRV) and presented to the train operator. Failure to operate the vehicle at or below the assigned speed code results in the automatic braking and eventual Emergency Brake application to bring the LRV to a safe stop. ATP controls train movement along the mainline with the exception of the Central Business District (CBD). In the CBD, trains occupy the road along with automobile traffic and operators must adhere to BAR signals controlled by transit and traffic. The maximum speed is 25 mph throughout the CBD.

MTA Light Rail CC controllers located at the Light Rail CC facility oversee the system’s operation. There are a total of 33 CLRL stations within the system and the stations are designed to be barrier-free. Sidewalks and at- grade crosswalks provide pedestrian access between platforms. Ancillary station facilities include passenger shelters, lighting, signage, and ticket vending machines. Parking is provided at specified locations and many stations are designed with bus drop-off areas. The system operates at street level, traveling on bridges across several bodies of water, and is accessible to persons with disabilities by means of highblocks, which are located at the head end of every station platform to provide level access to the first door of each train. Ramps from the platform to the highblock tie into the pedestrian system at the station. The CLRL system interfaces with the MTA Bus, Metro Rail, and MARC Commuter Rail systems to provide improved circulation in the Central Business District of Baltimore City. A map of the CLRL system is provided in Figure 3-3.

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Figure 3-3 - MTA Central Light Rail Line System Map

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3.4.1 Light Rail System General Information

The Light Rail operates at street level, traveling on bridges to cross several bodies of water. There are 33 station stops along the system with ticket vending machines, as the Light Rail is a “barrier free” system. All patrons are required to purchase and have in their possession, a ticket prior boarding Light Rail. Tickets can be purchased at local sales outlets, vending machines, online at www.mta.maryland.com or via U.S. Postal Mail. Tickets are not available onboard. Fare inspectors are employed to monitor the system to check patron tickets, ticket vending machines, make station observations, and report security issues to MTA Police. Smoking, eating, drinking, and playing radios or audio devices without earphones are not permitted by law on Light Rail service. Bicycles are permitted on all MTA Light Rail service except on crowded trains.

3.4.2 Light Rail Vehicle Description

The CLRL fleet consists of 53 manually operated LRVs. The LRVs are two-car, six-axle, articulated vehicles that can accommodate 84 seated passengers, 172 standing passengers, and 260 passengers with a crush load (1 person per square foot). The LRV is of conventional design and is consistent with generally accepted practices in the transit industry. The carbody is constructed from LAHT steel and the roof substrate is constructed from 0.8-mm thick corrugated steel sheets. The LRV weighing approximately 106,000 pounds is 95-feet long, 9-feet, 6-inches wide, and 12-feet, 6-inches high.

The LRV consists of an “A” section and a “B” section, with an articulated (jointed) section in the middle, and is operated as a single unit or in consists of up to three vehicles. An Operator’s cab is located at the end of both the “A” and “B” sections. There are three trucks on the vehicle. A powered truck is located at the cab end of the “A” and “B” sections, and an unpowered truck is located under the articulated section. A coupler located at the end of each section permits coupling of the LRV to additional LRVs to make up a consist.

The LRV operates from a 750 VDC power source provided by an overhead catenary system (OCS). A pantograph, located on the roof of the “A” section, collects power from the OCS. An ice- scraper pantograph, located at the cab end of the “B” car, is used for ice removal during winter operations. The LRV’s roof-mounted equipment also includes the traction motor blowers, pantographs, HVAC units, brake resistors, and antennas. Passenger comfort is provided by the air comfort system through roof-mounted air conditioners and floor heaters in each section. Eight passenger doors, four on each side of the vehicle, provide access to and from the LRV.

Safety-critical items identified by specification relate to deceleration rates and braking distances, Operator's controls, and fire and smoke emissions. A deadman feature and an emergency pushbutton are an integral part of the propulsion and braking system. Communications systems include two-way train radios, passenger intercoms, and an internal/external PA system. Doors with sensitive edges and inside emergency door releases are provided. A designated area with wheelchair securement devices is located near the cab of each LRV. Once dispatched from the yard

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tracks in the Maintenance Facility area, each vehicle will follow the ATP speed commands as displayed on the ADU.

3.4.3 Light Rail Signal System

The design of the signal system is consistent with safety requirements of rail transit and freight railroads in the United States, and complies with all FRA regulations. It is designed to operate under the worst-case conditions of LRV-generated electromagnetic interference without failing in an unsafe condition. Grade crossings are protected by audible and visual warning devices, as well as gates at public street crossings. In addition, Crossing Warning Indicators (CWI) allow the Train Operator to verify (when approaching the grade crossing) that the crossing gates are in the down position to allow safe movement through the grade crossing. Freight train access is protected by electrically locked switches, and freight train access is controlled through the signaling system during CLRL revenue operations. Freight trains are dispatched by the CLRL CC.

3.5 MTA MARC SYSTEM DESCRIPTION

A complete system description of MTA's MARC service is provided in the MARC Commuter Services SSPP. The following is a summary of that information.

MTA's MARC service is a commuter rail division of the MTA, which provides weekday services to Baltimore, Maryland; Washington, DC; eight counties in Maryland; and parts of northern West Virginia. The system encompasses approximately 200 miles of track and 42 stations, providing 95 trips daily. MARC's revenue fleet consists of 135 railcars and 43 locomotives, which are operated at maximum speeds of 70 and 125 miles per hour, depending on design and railroad limitations. The railcar fleet includes:

 MARC II/IIB Cars  MARC III Cars  MARC IV Cars  MARC Locomotives including high-horsepower (HHP) locomotives, GP-39 locomotives, MP 36 locomotives, and AEM-7 locomotives.

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3.5.1 General Information

The MARC (Maryland Area Regional Commuter) Train Service is a commuter rail system that operates three lines that service Anne Arundel, Prince Georges, Montgomery, and Harford Counties, Maryland; Baltimore City; Washington D.C.; Brunswick, Maryland; Frederick, Maryland and Martinsburg, West Virginia. MARC Train operates on weekdays only with limited service on select holidays. Train service is offered during morning and evening rush hours only on the Brunswick and Camden Line, with all day, weekends, and late evening service on the Penn Line.

The Penn Line of the MARC Train Service operates primarily between Baltimore’s Penn Station, through BWI Thurgood Marshall Airport Train Station, and Union Station in Washington, DC. Stops include Baltimore City, Odenton, and Bowie State University. In addition, there are 4 stops north of Penn Station [at Martins Airport, Edgewood, Aberdeen, and Perryville] located in Harford County, Maryland. The Penn Line is the only line of the MARC Train Service to offer mid-day trips between Baltimore and Washington. The Penn Line is operated under contract with the National Railroad Passenger Corporation (Amtrak) on a section of track known as the Northeast Corridor, the busiest portion of Amtrak railroad. The Penn line is the most traveled of all three MARC Lines with an average daily ridership of approximately 36, 000 commuters.

The second largest line of the MARC Train Service is the Brunswick Line. The Brunswick Line has an average daily ridership of approximately 8,000 commuters. The Brunswick Line operates between Brunswick, Maryland, and Washington Union Station. This line also includes an extension to Frederick, Maryland and Martinsburg, West Virginia. Stops along the Brunswick Line include areas surrounding Washington D C such as Gaithersburg, Rockville, and Silver Spring, Maryland. The Brunswick Line is operated under contract with the CSX Transportation Inc., a freight rail system, and travels over the CSX Metropolitan, Old Main Line, and Cumberland Subdivision tracks.

The Camden Line is the third line of the MARC Train Service. Trains on the Camden Line operate on sections of track that were originally part of the Baltimore and Ohio (B & O) Railroad which began operation in 1830, making it the oldest passenger rail line in the United States. The trains on this line operate out of Camden Yards in Downtown Baltimore City and travel to Union Station in Washington D.C. The Camden Line is the smallest of the three MARC Lines with an average daily ridership of approximately 4,500 commuters. The Camden Line also operates under contract with Bombardier Transportation Services. Stops include Dorsey, Laurel, and College Park, Maryland.

Seats are not reserved on MARC Trains. Smoking is not permitted on MARC Trains, inside stations and waiting rooms, nor on the platforms at Washington Union Station. The following items are not permitted on trains: non-folding baby carriages, bicycles (except folding bikes), surfboards, skis, and any items which can cause safety hazards or inconvenience to other passengers. For safety reasons, folding bicycles and hard-sided luggage are not allowed in the overhead racks. Lockers for bikes are available at many stations.

3.6 MTA PARATRANSIT SERVICES SYSTEM DESCRIPTION

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Paratransit services (Mobility) is a specialized, curb-to-curb service for people with disabilities who are not able to ride fixed- route public transportation, including lift-equipped buses. The Mobility fleet consists of over 400 vehicles that include a mix of 12- to 18-passenger wheelchair lift buses and full size sedans.

Mobility service is provided within three-quarters of a mile of any fixed-route service in Baltimore City and the Baltimore and Anne Arundel counties. The term "fixed-route" refers to local Bus, Light Rail, or Metro Rail routes operated by the MTA. Mobility service is not offered within three-quarters of a mile of Commuter Bus or MARC Train routes.

Under contract with Veolia Transportation and MV Transportation, MTA Mobility meets the requirements of the American with Disabilities Act (ADA) of 1990. Mobility schedules an average of 95,000 trips per month, transporting an average of 74,000 customers per month.

3.6.1 Description of MTA Service

The Mobility Service is available to MTA-certified Mobility customers who meet the eligibility requirements. Mobility is part of MTA core services, but is a separate and distinct service provided under contract by participating area taxicab and sedan companies. MTA Mobility does not guarantee the availability of a particular type of vehicle or pickup time. Customers deal directly with the taxi and sedan companies.

3.7 MTA COMMUTER BUS SERVICES SYSTEM DESCRIPTION

The MTA’s Commuter Bus service is a 100 % contracted transportation system serving both Baltimore and Washington, DC bound commuters from outlying counties. Commuter Bus operates primarily to peak travel destinations and during peak travel times on weekdays only. Currently there are 18 routes that operate under 13 multi-year contracts. Baltimore-bound trips consist of approximately 10% of Commuter Bus resources while Washington DC-bound trips consume about 80%. Routes along the MD Intercounty Connecter (ICC), also known as MD Route 200, consume the remaining 10%. The five service providers under contract are Dillon Bus Service, Eyre Bus Service, Keller Transportation, Martz Gold Line, and Atlantic Coast Charters. MTA Commuter Bus service consists of the following:

 Commuter Bus – Baltimore. As part of the MTA bus service, the Commuter Bus program provides express transit service (at a premium price) within the Baltimore metropolitan region. These long-haul routes connect suburban residential areas, downtown Baltimore, and suburban employment centers. Commuters can access these express lines via several Park & Ride lots located throughout the region. Five commuter routes operate in the Baltimore region making 42 daily trips.

 Commuter Bus – Washington. The MTA provides 14 privately contracted Commuter Bus routes that offer long-haul service from points throughout Maryland and Washington, DC, and its inner-ring suburbs. Buses make 392 daily trips.

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 Commuter Bus – ICC (MD–200). The MTA provides 5 privately contracted Commuter Bus routes that offer long-haul service from points along the ICC (MD – 200). Buses make 63 daily trips.

Fares on Commuter Bus are based on zones. Senior/Disability, Monthly, 10-trip, and Transit Link discounts are available. Only one-way cash rides and 10-trip tickets are sold on the coaches and the drivers will accept MTA Commuter Choice Maryland vouchers for payment. Monthly passes and Transit Link Cards (TLC) are sold through the Internet or by mail from the MTA Revenue Control Office. Only folding or collapsible bicycles are permitted on coaches that have baggage areas underneath the buses.

3.8 INTEGRATION OF SAFETY FUNCTION

OSQARM is comprised of a Chief Safety Officer and Deputy Chief Safety Officer managing three functional departments including System Safety, Quality Assurance, and Transit Claims Group as depicted in Figure 3-4.

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Figure 3-4 – Office of Safety, Quality Assurance, and Risk Management and Transit Claims Group Organizational Chart

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OSQARM administers the MTA’s quality assurance and quality control functions for bus operations and maintenance. System Safety Officers have been assigned to each of MTA’s modal operations to facilitate the incorporation of the System Safety Program into all aspects of MTA’s operations and services. Each modal System Safety Officer acts as a resource for the operations, maintenance, and administrative staff of their respective mode and is responsible for the administration of the System Safety Program, with assistance from modal management, within their respective modes.

Each System Safety Officer has the authority and responsibility to:

 Perform accident/incident investigation on behalf of the MTA as well as on behalf of MDOT, when requested to do so  Conduct internal safety reviews and inspections in accordance with MTA’s Internal Safety Review Process  Plan, coordinate, and conduct emergency exercises by mode to ensure readiness for safety and security related incidents and to ensure compliance with policies and procedures  Participate in the design reviews of system expansions and new equipment procurements, including overseeing, and administering formal safety and security certification programs when necessary  Perform hazard analyses of system modifications to determine potential hazards that may be created as a result of the system modification, and supporting the development of mitigating and controlling factors to address such hazards  Report unacceptable hazardous conditions to executive management as soon as possible  Work with modal operations and maintenance staff on a daily basis to ensure all System Safety Program requirements are being implemented and Program goals and objectives are being achieved  Make recommendations and develop corrective action plans that result from accident/incident investigations, hazard analyses, and safety reviews and audits, and tracking corrective actions through fruition to ensure all identified deficiencies are adequately eliminated or controlled  Chair Safety Committee meetings for their respective mode  Ensure the Chief Safety Officer-OSQARM is immediately notified of imminent danger hazards or other problems are identified or arise.

A summary of key tasks performed by the OSQARM is provided in Figure 3-5. This figure depicts the shared responsibility and interfaces for the OSQARM and other MTA departments. The shared responsibility is expressed by identifying both the OSQARM and the department responsible for the task. This assures that the department is equally responsible for active implementation of tasks in their area of responsibility, in addition to the OSQARM’s overall

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responsibility for the task on an MTA-wide basis. The interface relationship for departments means that the department is responsible for responding to, cooperating with, and participating in the execution of the task under the leadership role of the OSQARM.

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Interfaces Action Frequency Safety Unit Tasks Trans Serv Equip Maint Train Adm Day Mon Qtr Ann Other Coordinate safety-related activities and X X X X X X Min. X X X A/R1 exercises. Represent MTA at professional safety X X X X X X Rpt. A/R meetings and seminars. Conduct or participate in Rpt./ X X X X X X A/R accident/incident investigations. Rec. Exchange safety data with other transit X X X X X X Misc. A/R systems. Rpt./ Review maintenance records. X X X X A/R Rec. Rpt./ Develop corrective actions plans. X X X X X X A/R Rec. Tng. Participate in training activities. X X X X X A/R Matl. Identify and assist in investigating and Rpt./ X X X X X X A/R resolving hazards. Rec. Update the SSPP. X X X X X X X A/R Conduct safety inspections and perform Rpt./ X X X X X X A/R system safety audits. Rec. Provide liaison with outside emergency X X X X X X X X A/R response organizations. Develop/update safety rules/procedures X X X X X X Rec. X A/R and emergency preparedness plans. Assure awareness of and compliance X X X X X X Rec. X A/R with regulations and standards. Evaluate new designs and proposed X X X X X X Rec. A/R system modifications. Define system safety requirements. X X X X X X Rec. A/R Monitor the use of personal protective X X X X Rec. A/R equipment. Work with and oversee contractors. X X X X X X Rec. A/R Participate in incentive and safety award X X X X X X X A/R programs.

Figure 3-5 – Safety Tasks Matrix

LEGEND: A/R = As Required; Rpt. = Report; Rec. = Recommend; Tng. Matl. = Training Material; Min. = Minimum

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3.9 EXECUTIVE SAFETY AND SECURITY STANDING COMMITTEE

The Executive Safety and Security Standing Committee (ESSSC) and its associated committees and subcommittees, meet quarterly and are intended to involve representatives from various departments during the safety management and hazard resolution process. As stated by the MTA Administrator within the policy statement of this SSPP, the ESSSC has the highest level of authority as it relates to resolving safety issues. The scope of the ESSSC and its associated committees and subcommittees, as defined in the ESSSC Policy Statement, applies to all MTA departments and independent operations. The management structure of the ESSSC is illustrated in Figure 3-6:

Chair Chief Safety Officer-OSQARM

Vice-Chair Chief Operating Officer

MTA Administrator Chief of Police Director of Engineering Director of Operations Control Center Director of Training General Director of Finance Director of Metro Membership Director of Light Rail Director of Bus Director of Mobility Director of MARC Rail Safety Oversight Agency (MDOT) All Department Directors- Open invitation

*MDOT attends meetings strictly as an observer and not a voting member of the committee Figure 3-6 – Executive Safety and Security Standing Committee

The responsibilities of the ESSSC extend to all modes and departments of the MTA with respect to safety management. It is the responsibility of the ESSSC to:

 Assure that all major accidents/incidents, hazards, external audits/peer reviews, and internal safety review recommendations are followed upon and corrected as defined in the SSPP and all supporting MTA Safety Program Plans.  Review findings and comprehensive reports with recommendations, findings and resolutions that cannot be resolved by committees and subcommittees. Develop actions plans and monitor the implementation of any corrective action plan pursuant to any reports and recommendations.

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 Review, approve, or recommend changes to the reports and corrective action plans, prepared by the Committees and Subcommittees for hazards, audit findings and corrective actions, prior to submittal of the final reports to the responsible parties for implementation.  Provide executive management oversight of the implementation of recommendations of hazard mitigation, issues, concerns, or problems identified by the OSQARM, activities of the ESSSC, committees and subcommittees, and the Hazard Management Process, as established in Section 6.0 of this plan.  Appoint individuals to chair and departmental members to serve on the ESSSC, committees and subcommittees and provide support for and assurance of independent, analysis, and action on the part of the appointees.  Review, approve, or recommend changes to corrective action plans that are developed in response to recommendations of the Rail Safety Oversight Agency (RSOA).  Review, approve, or recommend changes to the annual reports of the internal safety review process required for submission to the MDOT (RSOA).  Review, approve, or recommend changes to MTA safety rules and procedures established to implement the requirements and programs defined in Section 13.0 of this plan.

At the discretion of the ESSSC, the Chair may assign roles and responsibilities that may be delegated to committees and subcommittees to ensure accurate information, corrective action and follow-up and effective recommendations. The committees and subcommittees include members of safety, security, operations, maintenance, training, and departments who are most familiar with the Administration. Further, all committee and subcommittee reports are reviewed, modified if necessary, and approved by the ESSSC, prior to finalization and submittal to the responsible party(s) for implementation.

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3.10 MODAL SAFETY COMMITTEES

Modal Safety Officers are assigned with the task of ensuring all transportation modes of the MTA are effectively implementing the SSPP. Modal Safety Officers are responsible for establishing and facilitating ongoing safety committee meeting with their respective transportation mode. All modal directors, managers, supervisors and front line representatives are invited to attend these monthly meetings. The purpose of these committees is to accomplish the following:

 Support the Modal Safety Officer’s ability to routinely monitor the implementation of the SSPP within each transportation mode, identify deficiencies, and gage its effectiveness  Serve as a forum for the identification, analysis, and resolution of safety hazards  Encourage the communication, knowledge sharing, and awareness of safety issues among the Office of Safety and other MTA departments  Ensure that identified hazards have been assigned to a responsible individual or party and are tracked to closure

3.11 LINES OF AUTHORITY FOR SAFETY

The lines of authority for implementation of the MTA’s System Safety Program begin with the Administrator. The Administrator has delegated the authority for carrying forth all aspects of the SSPP to the Chief Safety Officer-OSQARM. The Chief Safety Officer reports directly to the Administrator and is empowered to identify safety concerns, conduct internal audits and inspections, develop recommendations and corrective action plans to address safety concerns, track and verify the implementation of recommendations and corrective action plans, and report, on a regular basis the status of the safety program to MTA executive management. The Chief Safety Officer, with the support of the Administrator, has the authority to develop and institute safety policies, procedures, and general practices. One such general practice is that all MTA meetings begin with a safety briefing and safety tip of the day. The Chief Safety Officer has the authority to hold MTA executive management staff accountable to the policies, procedures, processes, and practices described in the SSPP.

The Chief Safety Officer has assigned Modal Safety Officers with the responsibility of interfacing with each transportation mode. Modal Safety Officers interface with the management of each transportation mode and are responsible for tracking identified hazards or safety deficiencies to closure. In the event that a safety concern or issues cannot be resolved at the Modal Safety Officer level, the issue can be elevated to one of OSQARM’s Managers or the Deputy Chief Safety Officer. If resolution of a safety issue cannot be attained at these levels of management, it can be elevated to the Chief Safety Officer and ultimately to the Administrator

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4.0 PLAN REVIEW AND MODIFICATION

As MTA’s services and operations expand and change, so do the safety requirements associated with these operations and services and the need to review and revise the SSPP. The SSPP is therefore considered a living document that is reviewed and updated annually to ensure it remains up to date and consistent with all other MTA rules, procedures, policies, and documents. This section of the SSPP establishes the frequency for which the SSPP is reviewed, and describes the method by which updates, corrections, and modifications are made to the plan.

4.1 ANNUAL SSPP REVIEW

In accordance with 49 CFR Part 659.25, the SSPP is reviewed, in its entirety, annually and updated as needed by the Chief Safety Officer-OSQARM in consultation with other senior managers and the MTA Administrator. The annual review is performed no later than the anniversary date of the current approved version. The annual review of the SSPP is completed in part by the MTA OSQARM, using the SSPP Internal Review Checklist. This checklist may also be used by MDOT to perform its annual State Safety Oversight review of the MTA SSPP. Additional events or circumstances that may prompt revision of the SSPP include:

 Services changes  New or retrofitted equipment or vehicles  New or retrofitted facilities  Progression towards accomplishing corrective actions or program goals and objectives  Organizational changes or reassignment of tasks and responsibilities  Changes in safety policies, goals, and/or objectives  Requested changes or revisions received from MDOT  Changes to State and Federal regulations and requirements that impact MTA operations and services  Audit findings that indicate a need for revision.

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4.2 SSPP CONTROL AND UPDATE PROCEDURES

After the annual review of the SSPP is completed by the OSQARM, all identified deficiencies and proposed changes are incorporated and reviewed by the Chief Safety Officer-OSQARM and the MTA Administrator. Proposed revisions and changes resulting from reviews and program audits conducted by MDOT are also incorporated and reviewed by the MTA Chief Safety Officer-OSQARM, MTA Directors, and the MTA Administrator. The revised SSPP is submitted to MDOT with a text or tabular summary identifying and explaining the proposed changes. This submittal also includes a period for completion of associated implementation activities for the SSPP revisions.

The content of this SSPP is influenced through input received from employees, passengers, the general public, emergency response agencies, and other State, Federal, and local regulatory agencies. Feedback is not only welcomed, it is encouraged. The OSQARM therefore solicits input from all department managers on an annual basis during the revision cycle to ensure the SSPP accurately reflects MTA’s operations, services, maintenance, and administrative practices.

If system changes, which have or may have an impact on the SSPP occur outside a scheduled review period of the SSPP, the Chief Safety Officer-OSQARM also ensures that the changes are reviewed and incorporated as necessary into the SSPP. No changes to the SSPP are made unless first approved by the Chief Safety Officer-OSQARM and the MTA Administrator.

4.3 SSPP REVIEW AND APPROVAL BY THE STATE OVERSIGHT AGENCY

The Manager of Rail Safety Oversight/Compliance and his/her staff will oversee and manage the detailed activities described in Section 4.2, as well as coordination with MDOT. As required by the RSOPS and upon receipt of the revised SSPP, MDOT/RSOA reviews and issues a written approval or disapproval of the plan to the MTA within thirty (30) calendar days. If MDOT does not approve the revised plan, the MTA is formally notified via written correspondence detailing MDOT/RSOA’s comments and desired changes. The MTA has thirty (30) calendar days to incorporate MDOT’s comments upon receipt of MDOT’s written notification. If necessary, OSQARM and/or MDOT can request a meeting at any time to discuss proposed changes to the SSPP.

In the event that no changes are made to the SSPP, the MTA notifies MDOT in writing that the Administration has performed its annual review of the SSPP and has determined that no revisions are necessary. If additional time is required to complete revisions to the SSPP, the MTA notifies MDOT, in writing, that the Administration performed its annual review and additional time is required to prepare revisions. The notification to MDOT must contain a summary of the elements requiring revision and a time frame for completion of the activities. The MTA notifies MDOT of its completed annual review of the SSPP by March 1st of each year.

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After final approval of the revised SSPP has been received from MDOT, change bulletins are issued by OSQARM, consistent with MTA’s configuration management program. The final decision of whether a change is issued as an addendum or requires a complete revision and redistribution of the SSPP lies solely with the MTA Administrator.

4.4 SSPP CHANGE MANAGEMENT

The OSQARM is ultimately responsible for initiating, developing, issuing changes, and gaining all approvals for the SSPP. However, other MTA departments and personnel may also recommend changes at any time when, in their opinion, there is a need for a change. MTA employees submit proposed changes to their respective managers and supervisors who then evaluate the proposed change and, if warranted, submit the proposed change to the OSQARM for review. If approved, the Chief Safety Officer-OSQARM ensures the proposed change is incorporated into the annual review and revision cycle. Unless otherwise specified, the Manager of Rail Safety Oversight/Compliance and his/her staff will oversee and manage the detailed activities described in Section 4.2 and coordinate with the RSOA.

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5.0 SSPP IMPLEMENTATION – TASKS AND ACTIVITIES

Development and implementation of an effective System Safety Program cannot be accomplished without the strong support and commitment of all MTA personnel, especially those at management levels. The MTA has therefore established a number of system safety processes in which management controls are utilized to ensure effective implementation of the System Safety Program is carried out and all critical elements, goals, and requirements are met.

5.1 OVERVIEW

This section describes the tasks and activities performed and/or supported by the OSQARM in conjunction with other departments across the MTA that have responsibilities and activities that serve the implementation of the SSPP. Through inspections, audits, design reviews, observations, investigations, corrective action monitoring, and technical assistance, the OSQARM manages the safety program of the MTA. Safety is the responsibility of all MTA personnel. The management and implementation of safety program and their related activities resides with the appropriate line management.

5.2 SYSTEM SAFETY FUNCTION

System Safety Officers have been assigned to each of MTA’s modal operations to facilitate the incorporation of the System Safety Program into all aspects of MTA’s operations and services. Each modal System Safety Officer acts as a resource for the operations, maintenance, and administrative staff of their respective mode and is responsible for the administration of the System Safety Program, with assistance from modal management, within their respective modes.

The Administrator has delegated authority to the Chief Safety Officer for the development, implementation, and maintenance of the SSPP in accordance with applicable Federal and State regulations and guidelines. Under the direction of the Chief Safety Officer, the OSQARM develops policies, procedures, and plans in direct support of the SSPP. The Deputy Chief Safety Officer-OSQARM reports directly to the Chief Safety Officer-OSQARM and is responsible for the day-to-day operational leadership of the department. The Deputy Chief for Emergency Preparedness reports to the Chief Safety Officer-OSQARM and is responsible for all activities related to emergency management, emergency drills and exercises, and continuity of operations planning. The Manager of Transit Claims reports directly to the Chief Safety Officer- OSQARM and is responsible for all activities related to management and oversight of the MTA’s policies and procedures for handling insurance claims by employees, contractors, and the general public.

There are four managers that report directly to the Deputy Chief Safety Officer-OSQARM and provide management direction for the following areas: Rail Safety Oversight/Compliance; Quality Assurance; Safety Data Analysis/Information; and OSHA Compliance and Environmental. The Rail Safety Oversight/Compliance Manager is responsible for primary interface with the MDOT RSOA, overseeing the Hazard Management Program, accident and incident investigations, and the Internal Safety Review Program. The Quality Assurance Manager is responsible for quality control and inspections of Bus operations and maintenance activities. The Safety Data Analysis/Information Manager holds day-to-day responsibility for the

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tracking of safety data and ensuring the integrity of data entered into the National Transit Database (NTD). The OSHA Manager performs audits and inspections to assure MTA’s compliance with applicable Federal and State safety regulations and also monitors construction contractor compliance with MTA’s Construction Management, Resident Engineering, and Construction Safety Plans. The Environmental Manager is the primary interface with Federal and State environmental agencies and ensures the MTA’s compliance with all applicable environmental laws and regulations.

5.2.1 Methodology Used by the System Safety Unit

The methodologies utilized by the OSQARM to achieve its responsibilities include, but are not limited to the following:

 Implementing system safety processes by all employees and contractors that are clearly supported and enforced by MTA management  Developing comprehensive systematic procedures to identify, assess, and control safety hazards  Investigating all injuries, accidents/incidents to identify their root causes and to initiate the appropriate corrective actions  Using acquired data for trend analysis and reports to MTA management  Ensuring the timely preparation and distribution of safety rules, orders, bulletins, procedures, notices, and memorandums  Developing a high level of safety training and awareness in MTA employees and its contractors as well as a high level of passenger safety and security awareness  Monitoring, auditing, inspecting, documenting, and analyzing employee and contractor safety experience to support recommended safety improvement and to correct identified hazards and deficiencies  Performing periodic internal and external audits and inspections to ensure adherence to the System Safety Program, SSPP, and established safety rules, policies, and procedures, including those established by government agencies applicable to the MTA such as the FTA or FRA  Providing management recommendations to enhance safety  Including the MDOT RSOA, FTA, and FRA personnel, as necessary, in MTA safety efforts and initiatives.

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5.3 SAFETY RESPONSIBILITIES OF OTHER DEPARTMENTS

The operation and maintenance of the MTA requires continual safety activity throughout its operational life, including procurement of new systems, modification and/or rehabilitation of safety-critical equipment and facilities. The primary safety tasks and responsibilities of all modal, and administrative and operational MTA departments include the following:

 Participate in the MTA’s Drug and Alcohol Program as required  Conduct safety awareness programs to ensure that all employees understand the SSPP and supporting safety policies, programs, and plans  Establish and implement procedures for the safe operation of the transit system  Comply with applicable federal, state and local regulations, industry standards, and manufacturer's recommendations  Conduct, report, and investigate or participate in the investigation of accidents, incidents, and injuries as required by the SSPP  Assist and participate in the internal safety audit process and external safety audits  Develop appropriate corrective action as required by internal safety audits, external safety audits, the hazard identification process, and accident/incident investigations.

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5.3.2 Light Rail and Metro Rail Operations and Maintenance

The primary safety tasks and responsibilities of the MTA’s Light Rail and Metro Rail Operations and Maintenance are to:

 Ensure that Rail operations staff adhere to established standard operating procedures, general orders, bulletins, and rules  Establish and implement a pre-trip and post-trip inspection program  Establish and implement procedures to assure that the vehicle fleet is properly maintained and available in a safe operating condition  Establish and implement appropriate maintenance inspections and repair programs  Ensure that appropriate technical training and certification is provided to all operators, maintenance mechanics, and electronic technicians as required based on job function  Provide and maintain proper tools and equipment for the support of maintenance activities  Establish and maintain proper maintenance documentation in support of maintenance inspection activities  Ensure that proper safety and quality control practices are incorporated in day-to-day maintenance operations  Ensure that any safety and quality audits findings of the day-to-day maintenance operations are properly addressed and their appropriate corrective actions are implemented in a timely manner  Ensure that any safety accident investigations or incidents are properly addressed and their appropriate corrective actions are implemented as required by the SSPP  Provide necessary mechanisms for reporting hazardous conditions as required per the Hazard Management Process described in the SSPP  Monitor the collection and disposal of waste (e.g., oils, parts washer solvents) to effect safe handling and minimize employee and environmental exposure to potentially hazardous products and materials  Monitor procurement practices to ensure that safety is not compromised in replacing safety-critical parts  Participate in the development of technical equipment specifications and procedures that address the system safety requirements  Evaluate and update, as needed, training programs for vehicle operators, yard supervisors, main line supervisors, dispatchers, and Control Center (CC) personnel and railcar maintenance personnel

 Coordinate with other MTA departments in the notification process and implementation of emergency management procedures  Coordinate with the OSQARM and other MTA departments in the development of emergency management plans  Participate in emergency drills and exercises  Coordinate safety-related activities of the operations staff and ensure compliance with

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the SSPP  Maintain safety records for individual division employees relative to accidents and rules violations  Participate on safety and security committees established and facilitated by the OSQARM  Alert or request emergency response from appropriate agencies (i.e. fire, police, EMS).

5.3.3 Bus Operations and Maintenance

The primary safety tasks and responsibilities of the MTA’s Bus Operations and Maintenance are to:

 Ensure that Bus operations and maintenance personnel adhere to the established standard operating procedures, general orders, bulletins, and rules  Establish and implement a pre-trip and post-trip inspection program  Establish and implement procedures to assure that the Bus, Paratransit, and non- revenue fleet are properly maintained and available in a safe operating condition  Establish and implement appropriate maintenance inspections and repair programs  Ensure that appropriate technical training and certification is provided to all bus maintenance personnel  Provide and maintain proper tools and equipment for the support of maintenance activities  Establish and maintain proper maintenance documentation in support of maintenance inspection activities  Ensure proper quality control practices are incorporated in day-to-day maintenance operations  Provide necessary mechanisms for reporting defects and hazardous conditions in accordance with the Hazard Management Process described in the SSPP  Coordinate with the OSQARM for implementing the SSPP  Monitor the collection and disposal of waste (e.g., oils, parts washer solvents) to effect safe handling and minimize employee and environmental exposure to potentially hazardous products and materials  Monitor procurement practices to ensure that safety is not compromised in replacing parts  Participate in the development of technical equipment specifications and procedures that address the system safety requirements  Participate on safety and security committees established and facilitated by the OSQARM  Provide data for statistical and trend analysis  Evaluate and update, as necessary, training programs for bus operators, supervisors, and dispatchers  Coordinate with the OSQARM and other MTA departments in the development of emergency management plans

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 Participate in emergency drills and exercises  Coordinate safety-related activities of the Bus operations staff and ensure compliance with the SSPP  Maintain safety records for individual division employees relative to accidents and rules violations  Alert or request an emergency response from the appropriate agencies (i.e. fire, police, EMS).

5.3.4 Paratransit Operations and Maintenance

The primary safety tasks and responsibilities of the MTA’s Paratransit Operations and Maintenance are to:

 Direct and coordinate operations and functions of Paratransit and special services  Establish and implement a pre-trip inspection program for all Paratransit operators  Meet service demands in compliance with the Americans with Disabilities Act (ADA) of 1990  Adhere to policies, standards, procedures, and practices that support safety compliance for the MTA  Utilize the MTA CC that serves as a 24-hour communication link between Paratransit and other MTA Departments such as Bus Transportation, the OSQARM, and the MTA Police  Provide necessary mechanisms for reporting defects and hazardous conditions in accordance with Hazard Management Process described in the SSPP  Coordinate with the OSQARM on system safety requirements  Participate on safety and security committees established and facilitated by the OSQARM  Evaluate and update, as necessary, training programs for Paratransit operators, supervisors, dispatchers, and communications personnel  Coordinate with the OSQARM and other MTA departments in the development of emergency management plans  Participate in emergency drills and exercises  Coordinate safety-related activities of the Paratransit operations staff and ensure compliance with the SSPP  Maintain safety records for individual division employees relative to accidents and rules violations  Alert or request an emergency response from the appropriate agencies (i.e., fire, police, EMS).

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5.3.5 Facilities Maintenance

The primary safety tasks and responsibilities of the Department of Maintenance are to:

 Ensure necessary procedures are in place and implemented for conducting maintenance activities safely and effectively  Ensure the safety of MTA facilities, including rail stations, through proper maintenance activities  Ensure the safe operation and maintenance of traction power and auxiliary power systems, signaling and train control systems and equipment, and communication equipment  Ensure that proper inspections occur on structural systems to ensure strength and serviceability throughout the system  Monitor the performance of preventive maintenance efforts  Develop checklists in conjunction with the OSQARM for facility safety inspections  Conduct facility safety inspections using established checklists  Correct deficiencies found during inspections of facilities and equipment  Document and maintain records of inspections and maintenance work

 Ensure that appropriate technical training and certification is provided to all maintenance staff  Ensure that revenue service related work is coordinated within Facilities and Maintenance-of-Way (MOW) and with operations to complete work safely and efficiently without adversely affecting revenue service  Participate on safety and security committees established and facilitated by the OSQARM.

5.3.6 Training

The primary safety tasks and responsibilities of the Department of Training are to:

 Coordinate new employee training and job specific training course including system safety training  Train new mechanics and technicians to inspect, maintain, and repair MTA’s rail and bus and paratransit vehicles in a safe and effective manner  Coordinate and train external agencies in MTA rail and bus operations (i.e., fire, police, EMS emergency response training)  Coordinate safety-related activities of Training Department staff and ensure compliance with the SSPP  Establish or coordinate training programs in alternative fuels safety  Train and certify new rail operators, bus operators.  Oversee and coordinate rail operator, bus operators, and paratransit operators training programs and practices.

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5.3.7 Engineering

The primary safety tasks and responsibilities of Engineering are to:

 Ensure that system safety principles are incorporated in concept, planning, design, architectural and engineering services, the procurement, installation, and retirement/disposal of system-wide elements  Support the development of and incorporate system safety and security requirements into design criteria and technical specifications  Coordinate with the OSQARM in the design review process  Coordinate system safety design reviews of project with the OSQARM  Coordinate safety-related activities of Engineering Department staff and ensure compliance with the SSPP  Oversee design services during construction  Provide technical assistance to other MTA departments.

5.3.8 Human Resources

The primary safety tasks and responsibilities of Human Resources (HR) are to:

 Develop position descriptions that address safety-related restrictions and requirements  Develop and administer medical standards for specific job positions, as warranted  Ensure that candidates for positions are capable of safely performing the tasks of these positions on a repetitive basis  Include safety orientation in new employee orientation  Maintain documentation in personnel files  Assist in facilitating emergency/safety training to employees as appropriate  Administer and monitor MTA's Drug and Alcohol Program  Participate on safety and security committees established and facilitated by the OSQARM.

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5.3.9 Transit Police

The primary safety tasks and responsibilities of the MTA Police Department are to:

 Participate and coordinate with internal and external departments in emergency drills and exercises  In conjunction with Bus, Rail, and Paratransit services, assist in the development of emergency response plans for MTA Operations  Ensure police officers receive appropriate safety and security training  Develop, implement, and maintain the MTA System Security Plan (SSP) and Security and Emergency Preparedness Plan (SEPP)  Provide support for the development and implementation of security related training and operational procedures  Coordinate with other MTA departments to ensure a safe and secure Bus, Paratransit, and Rail transit system.

5.3.10 Systems Technology & Telecommunications

The primary safety tasks and responsibilities of Systems Technology & Telecommunications (STS) are to:  Ensure that system safety principles are incorporated in concept, planning, design, architectural and engineering services, the procurement, installation, and retirement/disposal of system-wide elements  Support the development of and incorporate system safety and security requirements into design criteria and technical specifications  Coordinate with the OSQARM in the design review process  Coordinate system safety design reviews of project with the OSQARM Coordinate safety-related activities of Engineering Department staff and ensure

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5.4 SAFETY TASK RESPONSIBILITY MATRIX

The matrix provided in Figure 5-1, depicts the roles and responsibilities of OSQARM and other MTA departments. As used in the matrix, the following notations are defined as:

P Primary Task Responsibility. The identified participant is responsible for the preparation of the specified documentation. S Secondary or Support Responsibility. The identified participant is to provide the necessary support to accomplish and document the task. R Review/Comment Responsibility. The identified participant may review and provide comment on the task or requirement. A Approval Responsibility. The identified participant is to review, comment and subsequently approve the task or requirement. Figure 5-1 – Safety Task Responsibility Matrix

Task / Activity

State Oversight State Agency Management Operations Maintenance Safe Training Engineering HumanResources Risk Management Transit Police Management Commitment & Directive/Policy A A R R P R R R R R

 Summary Section A A S S P S S R R R

 Authority A A S S P S S R R R

 Purpose A A S S P S S R R R

 Goals & Objectives A A S S P S S R R R

 Scope A A S S P S S R R R

 SSPP Controls & Revisions A A S S P S S R R R

 Operations & Maintenance R R P P P R P R R R

 Operations R R P P P R P R R R

 Maintenance of Physical Plant & Equipment R R P P P R S R R R

 Facilities & Systems Description R R P P P R P R R R

 Organizational Structure R P P P P P P R R R

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Task / Activity

State Oversight State Agency Management Operations Maintenance Safe Training Engineering HumanResources Risk Management Transit Police

 Interagency Coordination R P P P P R R R R R

 Interdepartmental Coordination R P P P P P P R R P

 Safety Committees R P P P P R P R R R

 Executive Safety and Security Standing R P P P P R P R R R Committee  Employee Safety Awards R P P P P R P R R R

 Security Committee R P P P R R P R R P

 Hazard Management A P P P P R P R R R

 Safety & Fire/Life Safety Implementation R P P P P R P R R R

 Hazard Identification, Analysis, & A R P P P R P R R R Resolution  End User Safety Requirements/Guidelines R R S S P S S R R

 Equipment and System Design R A R R P R P

 Safety and Security Certification Program R A P S P R P P

 Acceptance Testing and Inspection R A P P S P

 Configuration Management R A R R P

 Computer Software Configuration R A R R P Management  Configuration Control R A R R P

 Accident/Incident Investigation A R P P P S S R P

 Internal Investigations R A P P P S S R S

 Supervisor Investigations R A P P S S S R S

 External Investigations R A P P S S S R S

 State Safety Oversight Investigations P S S S S S S R S

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Task / Activity

State Oversight State Agency Management Operations Maintenance Safe Training Engineering HumanResources Risk Management Transit Police

 NTSB Investigations R S S S S S S R S

 Safety Inspections R P P P R R R

 Facilities Inspections R R P P P R R R

 Equipment Inspections R R P P P R R R

 Operations Safety S/R R P P P R

 Emergency Operations (Response) S/R R P P P R P Procedures  Operational Documents R R P P P R S

 Rules & Procedures Review R R P P P R R S

 Occupational Safety & Health Program R R R R P R R R

 Industrial Hygiene Program R R R R P R R R

 Hazardous Materials Program R R R R P R R R

 Personal Protective Equipment R R R R P R R R

 Medical Surveillance Program R R R R R R R R

 Construction Safety Program R S S S P P R

 Contractor Safety Program R S S S P P R

 Safety & Security Data Acquisition, R R S S P R R P Analysis & Reporting  Reports R R S S P R R R R

 Training R R P P P P R R R P

 Safety/Industrial Hygiene Training R R P P P P R R R

 Operationally Related Safety Training R R P P P P R R R

 Maintenance Training R P P P P R R R

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Task / Activity

State Oversight State Agency Management Operations Maintenance Safe Training Engineering HumanResources Risk Management Transit Police

 Emergency Response Training R R S S P S R P

 Public Awareness Training R R P S S

 Emergency Exercises & Drills R R P P P S R P

 Environmental Protection Program R S S P P S P

 Hazardous Waste Management Program R S S P P S P

 Waste Water Abatement Program R S S P S S P

 Internal Safety Review Program R/A S S S P S S R R

 External Audits P/R S S S S S S R R R

 Drug & Alcohol Abuse Program/Policy R P S S R P

 System Safety Program Verification R A P P P S P

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6.0 HAZARD MANAGEMENT PROCESS

Hazard identification, analysis and resolution is the formal process to identify, analyze and mitigate hazards associated with the design, construction, testing, startup, and operation of the MTA to ensure the safety of patrons, employees, and the general public. All identified hazards are categorized by severity and probability of occurrence, analyzed for potential impact and resolved by design, procedures, warning devices or other methods so that they fall within the prescribed level of risk acceptable to the MTA.

6.1 OVERVIEW

MTA’s hazard management process strives to identify, eliminate and control hazards before losses occur. The System Safety Program is based on a methodology that involves:

1. Each department gaining an understanding of its systems and primary functions and how these systems and functions relate to and interface with other MTA departments and systems. 2. Identifying the critical elements and steps (i.e., inspections, modifications, reviews, analyses, tests, etc.) that are necessary to ensure that existing or planned systems achieve the desired level of safety. 3. Establishing processes in which management controls are utilized by departments to ensure identified critical elements and steps are consistently carried out. 4. OSQARM, as well as other departments, monitoring systems to ensure compliance with the processes established in Step 3 (i.e., by means of safety data analysis, management reports, observations, internal audits, inspections, reviews of documentation, etc.). 5. Improving the processes by reviewing effectiveness of management controls in achieving the desired level of safety (i.e., through internal safety audits coordinated by OSQARM) and then modifying safety critical elements and processes on a continuing basis.

The hazard identification and analysis process is discussed in detail within this section. Where possible general responsibilities have been developed, and included for both personnel and departments.

6.2 HAZARD MANAGEMENT PROCESS – ACTIVITIES AND METHODOLOGIES

The MTA defines a hazard as any condition or set of conditions, internal or external to the system or system operation which, when activated, can cause injury, illness, death, or damage including loss of equipment or property, or severe environmental damage. The MTA is

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responsible for ensuring that all its divisions, personnel, and contractors use acceptable hazard identification, analysis, and resolution methods.

6.2.1 Hazard Identification and Analysis

The objective of the hazard identification and resolution process is to identify and define as many credible hazardous conditions as possible and to eliminate or control these hazardous conditions or associated activities prior to their causing or contributing to an accident/incident, injury, death, or other major loss/undesired event. This is a proactive approach, which stresses the thorough evaluation of systems and proposed modifications from a safety perspective before losses occur. The hazard identification and resolution process applies to all operations and services of the MTA, with special emphasis placed on the initial stages of the design process for new equipment, new start projects; also, including applying the hazard identification and resolution process prior to implementing modifications of existing facilities, systems or rolling stock. This is due to the large impact these activities often have on the system.

Elimination and control of hazards requires a process of analysis in which the cause and consequence of a hazard is evaluated, the hazard is eliminated from the system, or an appropriate control is identified, and the control is implemented and monitored to ensure it adequately mitigates the hazard. All employees are responsible for identifying, reporting, and, when possible, eliminating and controlling hazards that they encounter while performing their daily duties. In fulfilling its responsibilities, the OSQARM works in coordination with appropriate managers and other necessary personnel to ensure identified hazards are resolved according to the guidelines provided in this section. The Light Rail and Metro Rail Modal Safety Officers record identified safety hazards into tracking logs, which are then stored on ProjectWise. Maintenance supervisors review maintenance data to identify potential hazards. ProjectWise is the MTA’s system-wide document and project management system. The MDOT RSOA has read-only access to ProjectWise and may view these tracking logs at any time.

The hazard analysis process attempts to determine the set of causal factors in the hazard generation process, their likely or potential outcomes, and the impacts these outcomes will have on the system. This includes a full evaluation of the risks and priority associated with the hazard. Once these have been determined and fully evaluated, appropriate action can be taken to mitigate, control, or eliminate the hazard and its associated risks. Hazard management attempts to reduce the severity of accidents/incidents by introducing protective devices and equipment, procedures, and/or forms of system modifications that reduce the amount of human and property damage in an accident/incident event.

6.2.2 Methods of Hazard Identification

Many methods can be used to identify hazards. These methods include, but are not limited to:

 Conducting system inspections, audits, and regulatory inspections

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 Evaluating reported hazards received from employees, customers, and contractors

 Reviewing accidents/incidents and system failure reports and conducting in depth investigations to identify causes

 Conducting inductive and deductive hazard identification and analysis. While identifying every hazard within a system is virtually impossible, the implementation of one or all of these methods can greatly increase the MTA's ability to identify and thereby eliminate or control hazards to acceptable levels of risk. Through the implementation of MTA’s System Safety Program, the MTA has established a formal process for hazard identification and analysis and will use any and all of the following techniques when they are most applicable.

The primary means by which a department will be informed of a hazard is through self- identification. This is done either through employees or through management techniques such as inspections and audits or reviews of daily operating reports to identify trends. Conducting system inspections and audits and evaluating employee, customer, and contractor complaints often requires proper application of resources. Conducting inspections and audits includes conducting site surveys and personnel interviews to evaluate employee work practices and work environments. The inspection portion of this method is used daily by all personnel during the performance of their normal job duties and requires little more than an attentive eye or the use of safety checklists. Evaluating employee, customer, and contractor reports of hazards may require more in depth activities, which may again include conducting a site survey or performing interviews.

During day-to-day operations, it is the responsibility of all MTA personnel and departments as well as all contractor personnel to identify and report hazards or potential hazards they encounter while performing the duties of their jobs while on MTA property or while operating MTA equipment. It is the responsibility of personnel and departments to secure the hazard area until it can be properly controlled or eliminated. Identified hazards shall be reported immediately, per the appropriate chain of command, either verbally or by using a Maryland State Oversight & MTA Safety Hazardous Condition Reporting Form, to the employee’s direct supervision, department management, CC, and/or the OSQARM as described later in this Section.

Hazards may also be reported to safety committees and through the Safety Hotline (410-454-7150), All Hazards email ([email protected]), or the on-call officer’s phone number. It is the responsibility of the employee and his/her direct supervision to formally document the hazard or safety concern. All reports are investigated and hazards and deficiencies are corrected or resolved according to the guidelines provided in this Section.

Hazards or safety concerns identified by and received from passengers or the general public are normally communicated to MTA vehicle operators or through the Transit Information Services (410-539-5000) or www.mta.maryland.gov. Once received, it is the responsibility of the MTA vehicle operator or customer service representative to formally document the hazard or concern and to notify their direct supervision, department management, CC, and/or the MTA

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Safety Officer according to the guidelines provided in this Section.

If the hazard or safety concern is of such severity that it cannot be appropriately addressed at this level of management, the respective MTA Modal Safety Committee and MTA Administrator or his/her designee are notified according to the guidelines provided in this Section. The Safety Committee works to develop acceptable corrective actions however the MTA Administrator is ultimately responsible for the safety of MTA’s operations and services. The MTA Administrator therefore has final authority and approval of what corrective actions to take or if the risk presented by the hazard is acceptable. The MTA Administrator’s decision is formally documented. The results of employee reports are communicated back to the employee via a Safety Recommendation Report, if the employee requests a follow-up to the investigation. The hazard reporting process is depicted in Figure 6-1.

Hazard Reporting Process HAZARD OR SAFETY CONCERN IDENTIFIED HAZARDS AND SAFETY CONCERNS CAN BE IDENTIFIED BY ALL MTA INCLUDINGPERSONNEL CONTRACTORS, AS WELL AS PASSENGERS AND THE GENERAL PUBLIC HAZARD OR SAFETY CONCERN HAZARDSREPORTED AND SAFETY CONCERNS ARE REPORTED ACCORDING TO THEAPPROPRIATE CHAIN OF COMMAND AND FORMALLY DOCUMENTED HAZARD ASSESSMENT MADE DETERMINE HAZARD CAUSES; EVALUATE SEVERITY AND PROBABILITY FACTORS;DETERMINE CORRECTIVE ACTIONS; NOTIFY ADMINISTRATOR AS NECESSARY RESOLVE HAZARDS ASSUME RISK OR IMPLEMENT CORRECTIVE ACTION TO ELIMINATE OR CONTROL; DOCUMENT ACTIONS TAKEN

FOLLOW-UP MONITOR CORRECTIVE ACTIONS FOR EFFECTIVENESS AND PROVIDE FEEDBACK TO REPORTING PARTY

Figure 6-1 – Hazard Reporting Process

It is the responsibility of all employees to identify and report hazards and unsafe conditions; however, while Safety Officers work in or travel through various MTA facilities and properties, they may identify hazards or unsafe conditions. As this occurs, if the hazard or unsafe condition cannot be immediately eliminated or controlled, the Safety Officer completes and submits to the appropriate parties (i.e., department managers and supervisors, Chief Safety Officer-OSQARM, etc.) a Maryland State Oversight & MTA Safety Hazardous Condition Reporting Form.

This form is used to document information regarding the hazard such as its location; time and date of discovery; how it was identified and by whom; its potential or real effects on systems, passengers, or employees; its severity, probability, risk, and priority for correction; and what recommended actions should be taken both in the near and long term. The Safety Officer

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retains a copy of the form and performs follow-up activities with the appropriate parties to ensure the hazard is controlled or eliminated in a timely manner. Another method of identifying hazards is through reviewing accidents/incidents and system failure reports and conducting in depth investigations to identify causes. Although the MTA strives to prevent accidents/incidents and system failures from occurring, the occurrence of such events can be used to positively improve the work environment and to eliminate hazards. Conducting comprehensive investigations of these types of events to determine their underlying causes often leads to the identification of hazards not readily identifiable during daily operations or through inspections, audits, or through employee, customer, or contractor reports. Once identified, the hazards are again eliminated or controlled.

6.2.3 Inductive Hazard Identification and Analysis

A more extensive method of hazard identification is the inductive hazard identification process, which consists of an analysis of system components to identify their respective failure modes and the effects they 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. Methods of inductive hazard identification and analysis are as follows:

Preliminary Hazard Analysis (PHA). PHAs are typically the initial hazard analysis technique used during the system or subsystem design phase. A PHA is used to identify safety critical areas within the system, identify and roughly evaluate hazards, and to begin to consider safety design criteria. The PHA establishes the basis for the safety criteria in design, equipment, and performance specifications and can also be used for subsequent Subsystem Hazard Analysis. Subsystem Hazard Analysis (SHA). SHA is an expansion of the PHA, identifying design hazards in components and subsystems of a major system. SHA determines the functional relationships between the components and equipment based solely on safety considerations. SHA also identifies all components and equipment in which a functional failure could result in a hazardous condition or accidental loss. Detailed System Hazard Analysis (DSHA). DSHA is generally a combination of two or more inductive analyses. DSHA is used to display the logical or sequential analytic techniques for identifying and correcting hazards from early in the design phase through the integrated equipment or pre-revenue testing phase. Operating Hazard Analysis (OHA). 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 including the cause, effect, risk assessment, and control. This analysis utilizes history and data from other transit properties to define the cause and effect.

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6.2.4 Deductive Hazard Identification and Analysis

The deductive hazard identification process involves defining an undesired effect (i.e., collision, fire, derailment, etc.) and then deducing the possible conditions or system component faults (or combinations thereof) that are necessary to cause the undesired effect. Fault tree analysis is an example of the deductive hazard identification and analysis process. It is used principally for identifying sequential and concurrent states and events, which are casually or conditionally required to support and generate a specific effect. These effects are structured so that they lead to a specific outcome(s). Fault Tree Analysis is more rigorous than inductive methods in terms of the amount of data required and the complexity of causes, conditions, and effects. Fault Tree Analysis permits analysis of all environments, faults, occurrences, and their combinations that could cause and/or contribute to the occurrence of a defined undesired event.

Historical transit accident experience is often a reliable source of information to aid both the inductive and deductive processes. It is also important to note that regardless of how a department becomes aware of a hazard, it is responsible for documenting the hazard and monitoring the progress of the hazard resolution until it is eliminated or controlled.

Regardless of the method of identification, all hazards identified by and reported to the OSQARM are entered into MTA’s corrective action monitoring log. The corrective action monitoring log is used to collect pertinent information regarding the hazard including its source, location, time of identification, categorization, corrective actions taken and/or recommended, and current status. All hazards entered into the corrective action monitoring log are tracked through resolution. The corrective action monitoring log is also used by the OSQARM to perform trend analysis, enabling the identification and resolution of potential system-wide hazards or deficiencies.

6.2.5 Hazard Categorization and Risk Management

Risk is a subjective evaluation of the relative failure potential of a system or component and can be defined as the possibility of incurring a physical or personal loss or injury. Once hazards have been identified, they must be evaluated to determine the level of risk or associated impact they may have on the system. Generally, the greater the probability of a hazard to cause injury or loss, the greater the risk is, and subsequently the greater the need to resolve the hazard. The severity of the consequences the hazard may present must also be taken into consideration when evaluating the level of risk associated with the hazard. Like probability, as the severity of the hazard consequences increases so will the level of risk and again, so will the need to resolve the hazard.

The MTA has adopted a system to assess levels of risk and to determine what action(s) must be taken to assess, correct, and document hazards and their associated risks. This risk assessment system is based on MIL-STD-882 and is a qualitative calculation based on largely

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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. The risk assessment system meets FTA guidelines and has been incorporated into formal system safety analysis. This enables MTA decision-makers to understand the amount of risk involved in accepting a hazard in relation to the cost (schedule, dollars, operations, etc.) to reduce the hazard to an acceptable level.

Risk assessment has two steps – evaluating hazard severity (categorizing the hazard) and evaluating hazard probability. The factors considered in this analysis include, but may not be limited to system safety, impact to project schedule, and the impact on the public's perception of safety on the system in the community.

6.2.6 Hazard Severity

Hazard severity is a subjective determination of the worst case that could be anticipated to result from human error, design inadequacies, component failure or malfunction. Each level of severity is attributed both physical description (i.e., fatality, injury, property damage, etc.) and monetary value. The levels of severity are as follows:

Category I, Catastrophic – could result in death, permanent total disability, loss exceeding $1 million, or irreversible severe environmental damage that violates law or regulation. Category II, Critical – could result in permanent total disability, injuries or occupational illnesses that may result in hospitalization of 2 or more persons, loss exceeding $200,000, but less than $1 million, or reversible environmental damage that violates law or regulation. Category III, Marginal – could result in injury or occupational illness resulting in one or more lost workdays, loss exceeding $10,000, but less than $200,000, or mitigatable environmental damage without violation of law or regulation where restoration activities can be accomplished. Category IV, Negligible – could result in injury or illness not resulting in a lost work day, loss exceeding $2,000, but less than $10,000, or minimal environmental damage not violating law or regulation.

6.2.7 Hazard Probability

Hazard probability is described qualitatively in potential occurrences per units of time, miles, trips/runs, or passengers carried. A hazard probability may be derived from the analysis of transit system operating experience, evaluation of MTA safety data, or from historical safety data from other transit systems. The probability* levels are defined as follows:

A = Frequent: Likely to occur frequently to an individual item. Continuously experience in the system. MTBE** is less than 1,000 operating hours

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B = Probable: Will occur several times in the life of an item. Will occur frequently in the system. MTBE is equal to or greater than 1,000 operating hours and less than 100,000 operating hours.

C = Occasional: Likely to occur sometime in the life of an item. Will 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 experience. Unlikely, but possible to occur in system. MTBE is greater than 100,000,000 hours. F = Eliminated: Incapable of occurrence within the life of an item. This category is used when potential hazards are identified and later eliminated.

______* Probability level definitions were derived from Military Standard 882 C ** MTBE = Mean Time Between Events

Hazard risk classification combines the hazard severity and probability characteristics into a single hazard risk index as shown in Figure 6-2.

Probability of Severity of Occurrence Occurrence Catastrophic (I) Critical (II) Marginal (III) Negligible (IV) A Frequent 1 3 7 13 B Probable 2 5 9 16 C Occasional 4 6 11 18 D Remote 8 10 14 19 E Improbable 12 15 17 20 Figure 6-2 – Hazard Risk Index

Hazard risk assessment values are used in grouping individual hazards into hazard categories, which can then be used to generate specific action such as mandatory reporting of the most severe hazards to management for action. Figure 6-3 lists the hazard risk categories, their level of priority for resolution, and associated assessment values.

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Hazard Risk Hazard Risk Hazard Risk Priority Assessment Value Category Acceptance/Approval Level 1-5 1 High Administrator/OSQARM 6-9 2 Serious Director Level/OSQARM 10-17 3 Medium Director Level/OSQARM 18-20 4 Low Department Level/OSQARM Figure 6-3 – Hazard Risk Categories

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6.2.8 Hazard and Risk Resolution

Hazard and risk resolution is the corrective action taken in response to the hazard identification and risk assessment process. Both time and resource restrictions determine the level of resolution that can be accomplished. When possible, the department in which the hazard exists works with the OSQARM to develop and implement an approved corrective action plan. The corrective actions are then tracked by both the OSQARM and the applicable department until the hazard is eliminated or controlled.

In all cases, the MTA strives to first eliminate the hazard (if possible), and to then reduce its risks if it cannot be eliminated. If the risk cannot be eliminated or reduced, or if it is impossible or impractical to eliminate the hazard, MTA management representatives such as the MTA Administrator, having the required authority, may choose to accept the risk. In these cases, care is taken to ensure compliance with all applicable rules, procedures, policies, and regulatory requirements. The MTA Administrator documents his/her decision and notifies all affected parties.

The primary methods of resolving a hazard can be categorized as either engineering or management controls. Engineering controls are changes that are made to the system to eliminate hazards or mitigate their risks. An example of an engineering control may be building a separate storage facility for hazardous chemicals, or installing a protective barrier around rotating machinery. Management controls are changes made to the organization itself. An example of a management control may be posting signs or changing procedures to limit employee exposure to the hazard.

When possible, the following order of precedence is used by the MTA to eliminate or control hazards and their associated risks. It is important to note however, that a combination of several or all of the following may be used by the MTA, depending on the nature and extent of the hazard:

Design for Minimum Risk. Design will attempt to eliminate hazards. If an identified hazard cannot be eliminated, its associated risk will be reduced to an acceptable level through design selection. This may be constrained by time, money, manpower, or other limitations. Incorporate Safety Devices. If the hazard cannot be eliminated or its risk controlled to an acceptable level, safety design features or devices will be used to reduce risk to an acceptable level. Provide Warning Devices. If neither design nor safety features nor devices can reduce the risk to an acceptable level, warning devices shall be used to detect the condition and to produce an adequate warning signal to alert individuals to the hazard. Warning signals and their operation shall be designed to minimize the probability of individuals reacting incorrectly to the signals and shall be standardized and similar.

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Develop Special Procedures and Training. If the hazard cannot be eliminated through design or its associated risk adequately controlled through design selection, safety features/devices such as personal protective equipment (PPE) or warning devices, will be used followed by approved procedures and training. This is the least effective method of hazard resolution.

If the resolution of a hazard is dependent upon action by a third party, such as the City of Baltimore, a management representative from the MTA will submit a request for action to the appropriate MTA control point or liaison with the third party. If the hazard is not being resolved in a timely manner, the management representative elevates the matter to a higher level of authority within his or her department. If the head of the department determines that the hazard cannot be resolved, or is not being resolved in a timely manner and the risk is still considered unacceptable, the head of the department further elevates the issue within the MTA's organizational structure. The Chief Safety Officer-OSQARM is notified of all instances in which a hazard is not being resolved in a timely manner.

Regardless of the type of control used to eliminate the hazard or reduce its risk, the MTA reevaluates the control method after its implementation to determine and verify its effectiveness. In all cases, if the hazard has been eliminated or controlled, or if OSQARM or a management representative deems that the risk is acceptable, he/she shall document this decision and notify all affected parties.

6.3 COORDINATION WITH STATE SAFETY OVERSIGHT (SSO) AGENCY

MDOT provides SSO for MTA’s Light Rail and Heavy Rail operations and services in accordance with the requirements of 49 CFR Part 659. As such, the MTA works with MDOT on a regular basis in administration of the hazard management process for both the Light Rail and Metro Rail systems. All unacceptable hazardous conditions (i.e., catastrophic and critical hazards) identified as priority 1 or 2 that are within MTA’s Light Rail and Metro Rail operations and services are reported to MDOT within 2 hours and are entered into MTA’s Corrective Action Monitoring Log. These include any Hazard Risk Assessment Values of 1 through 9.

The MTA will provide ongoing reporting of all rail safety and security hazards to MDOT at the quarterly RSOA meetings. This will be accomplished using a Corrective Action Monitoring Log to store, maintain, and track the corrective actions and status of all identified hazards and internal/external safety review findings identified through any source.

In addition to MTA Management, MDOT/RSOA representatives regularly attend the ESSSC meetings. The ESSSC meets on a bi-monthly basis. Committee meetings discuss outstanding safety issues and progress towards resolving identified hazards and other open items.

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6.3.1 Prioritization of Hazards

OSQARM investigates all unacceptable hazardous conditions to identify root causes and works with all necessary MTA departments and personnel to develop appropriate corrective action plans. Corrective action plans developed for unacceptable hazardous conditions identified as priority 1 or 2 that are within MTA’s Light Rail and Metro Rail systems are provided to MDOT for review and approval. MDOT may, at any time, request a status briefing on any unacceptable hazardous condition investigation involving MTA’s Light Rail and Metro Rail operations.

High and Serious Priority 1 and Priority 2 hazardous conditions are defined as meeting the standard in the Hazard Risk Index and Hazard Risk Categories of the MTA SSPP. These include any Hazard Risk Assessment Values of 1 through 9. Priority 1 and 2 hazards include, but are not limited to, near misses, red signal violations, other operational rule violations, incident trends, and maintenance failures. The MTA will categorize non-priority 1 and 2 hazards according to the Hazard Risk Assessment Values scale.

6.3.2 Minimum Criteria for Identification, Tracking, Notification, and Investigation/Reporting of Priority 1 and 2 Hazards

The MTA must notify MDOT by telephone or fax of all suspected or assessed High and Serious Priority 1 and 2 hazardous conditions within one business day of discovery. After the initial notification, MTA shall submit a Preliminary Hazardous Condition Report to MDOT by fax or email. These hazards will receive an increased level of attention by the agency and fully investigated by the OSQARM. Additionally, there will be routine reporting of their status and ongoing follow up during modal Safety Committee and ESSC meetings by the CSO or designated Modal Safety Officer. As with all identified hazards, Priority 1 and 2 hazards are recorded in the modal hazard tracking logs stored on ProjectWise and shall be readily accessible to MDOT. In accordance with the MDOT RSOPS, the MTA shall consider each hazard type listed in Figure 6-4 to comprise Priority 1 and 2 hazards.

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Must Be Reported to MDOT Must Be Tracked in MTA Must Be Investigated by Hazard Type Within One (1) Business Day Hazard Log? (Y/N) MTA? of Discovery? Incidents involving employees working in an MTA right-of-way Y Y Y that are investigated by MTA Malfunctions of safety critical systems that could result in a Y Y Y catastrophic or single-point failure All derailments along Light Rail and Metro, including derailments within yard limits – note that main line derailments Y Y Y also fall under the notification and investigation criteria set forth in this document. Broken or missing safety- critical equipment, infrastructure, or systems that could result, or have resulted, Y Y Y in employee or passenger injury, or damage to MTA property. Discoveries of systemic or patterns of employee non- Y Y Y compliance with MTA rules and procedures. Rail transit vehicle collisions with fixed objects on the Y Y Y mainline or in the yards. Face-up or near miss of rail Y Y Y vehicles. Grade crossing warning Y Y Y system activation failure.

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Speed restriction or track closure due to track or system Y Y Y damage. Fire or smoke on a track, on a Y Y Y vehicle, or in a facility. Broken or loose wheel or axle. Y Y Y Split switch without derailment. Y Y Y Unintended train uncoupling Y Y Y during revenue service. Signal violations or overruns. Y Y Y Unauthorized train encroachment or overrun into Y Y Y work zone. Vehicle door openings on the wrong side, off station Y Y Y platforms, or during train movement. Incapacitated operator in Y Y Y revenue service. Exposed energized electrical conductors or equipment that Y Y Y can be contacted by passengers or employees. Employee or patron electric Y Y Y shock. Passenger self-evacuation of a Y Y Y train Figure 6-4 – MDOT Required Reportable Priority 1 and 2 Hazards

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6.3.3 Annual Safety Report to MDOT

No later than January 31st of each year, the MTA submits to MDOT, its annual safety report, summarizing the activities completed during the preceding twelve months. The report includes:

 A description of the causal factors of investigated accidents involving MTA’s Light Rail and Metro Rail operations  Documentation and status of findings and corrective actions developed from the three- year safety and security review activities  Information pertaining to whether a three-year safety and security review was completed since the last annual report was submitted  A text or tabular summary of updates and modifications made to the SSPP and Security and Emergency Preparedness Plan (SEPP).

The annual report is reviewed and approved by the MTA Administrator prior to being submitted to MDOT under the Administrator’s signature.

6.4 GENERAL RESPONSIBILITIES

It is the responsibility of each department manager to:

1. Encourage employees to communicate unsafe conditions to management. 2. Record hazards regardless of the method used in identifying the hazard (i.e., inspections, audits, employee observation, etc.). 3. Work with the OSQARM to develop a corrective action plan after evaluating the hazard and assessing its risks. 4. Arrange for actions to be taken to eliminate or control the hazard (i.e., submit a request for repair to the proper departments). 5. Track the status of all hazards and corrective actions within the department to ensure they are resolved and completed in a timely manner. 6. Keep all affected employees and contractors informed of the hazard and its resolution status including when it is finally resolved. 7. Maintain adequate and accessible documentation related to the identification and resolution of hazards, including the date when implementation of the hazard resolution was completed. 8. Recommend MTA-wide action as warranted.

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7.0 SAFETY AND SECURITY CERTIFICATION

Safety and Security Certification is a project-specific endeavor required for all projects receiving FTA funding through full funding grant agreements. Although separate SSCPs may be developed for each individual project or system modification, the following represents the basic processes used by the MTA throughout all safety and security certification efforts.

OSQARM reserves the right to review all ancillary projects prior to initiation to determine the need for Safety and Security Certification above and beyond the FTA requirements as per System Modification and Review Process Global SSOP, MTA-GP-04-02.

7.1 SAFETY AND SECURITY CERTIFICATION GENERAL DESCRIPTION

Safety and security certification is a multiphase process designed to verify that all planned safety and security activities are completed and properly documented prior to revenue operations or the start of services related to an acquisition or system modification; safety and security requirements included in contract specifications are properly interpreted, designed, and incorporated into the project; safety and security-related plans, procedures, and training materials related to the project are reviewed for consistency and compatibility with upgrades, changes, or modifications made throughout the project; and, new documentation is developed, if necessary, and approved prior to the start of revenue service.

As a self-certifying agency, the MTA has developed or will develop a project-specific Safety and Security Certification Program (SSCP) and/or Safety and Security Management Plan (SSMP). For each project that requires an SSMP under the FTA guidelines, the MTA will develop a project-specific SSMP. This plan should identify specific safety and security activities for each phase of the project, and be in accordance with the requirements of the MTA SSPP as well as with the requirements of the Hazard Analysis Guidelines for Transit Projects; DOT-FTA-MA- 26-5005-00-01, dated January 2000 and Handbook for Transit Safety and Security Certification; FTA-MA-90-5006-02-01; Final Report November 2002 and FTA C 5800.1, dated August 1, 2007. These documents provide guidelines and recommendations for implementing a SSCP/SSMP for new systems, vehicles, facilities, additions, or modifications and identify specific safety and security activities for each phase of the project.

Once notified of an upcoming project, the OSQARM, with support from MTA Engineering, assesses the safety and security risk of the project. This is accomplished by reviewing the project description and identifying potential safety hazards and security vulnerabilities. Each project is entered into a Safety and Security Certification Project Log and a determination is made of whether the project requires safety and security certification based off its risk assessment. For projects requiring safety and security certification the OSQARM identifies the activities needed to be completed prior to revenue service. Projects valued at $100 million or greater and designated as Major Capital Projects by the FTA shall also be included in the log. The log is tracked and maintained by the OSQARM using ProjectWise.

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The safety and security certification process is intended to act as the assurance and validation portion of a project. Consequently, the goal of the SSCP is to document a verification and validation process that demonstrates compliance with both the safety and security requirements (i.e., Federal, State, local laws, regulations, guidelines, etc.) and the specification requirements. The goal of the SSCP is also to demonstrate the effectiveness of hazard controls or countermeasures identified in the hazard identification and analysis. The following safety and security elements are addressed in this process:

 System Safety – identification, elimination, minimization, or control of potential hazards and the protection of property from damage  Occupational Safety – identification, elimination, minimization, or control of potential hazards to employees and emergency response personnel  Fire/Life Safety – identification, elimination, minimization, or control of potential hazards to passengers, employees, emergency response personnel, and the general public caused by fire, smoke, explosion, or resulting panic; and the protection of personnel and property from fire, explosion, or chemical exposure  Public Safety – identification, elimination, minimization, or control of potential hazards to the general public and passengers that result from the operation of the system  System Security – identification, elimination, minimization, or control of potential threats and vulnerabilities to passengers and the system including stations, yards, maintenance shops, and control centers.

The SSCP also serves to validate that all practical steps have been taken to ensure the operational safety of the project. The focus of the SSCP is to therefore:

 Assure, to the maximum extent practical, that necessary safety and security requirements are incorporated into the project.  Implement a systematic review of testing, analyses, inspections, and demonstrations of each element of the system and each component of those elements to demonstrate conformance with safety and security design requirements, safety and security criteria, and specification requirements.  Document those tests, analyses, inspections, or reviews on a format that will clearly display the successful completion of the project for presentation to the Administrator, MDOT, or other interested agencies or individuals. The documentation will also display all safety and security-critical items and potential hazards and vulnerabilities that could not be completely eliminated or controlled prior to entering revenue service.

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 Evaluate safety and security-critical elements or equipment with vital functions affected by additions, deletions, substitutions, rebuilding, replacement, modification, or new design associated with the project to identify and resolve potential hazards and vulnerabilities through a hazard elimination/reduction process. 7.2 SAFETY AND SECURITY CERTIFICATION RESPONSIBILITIES

Depending on the extent of the project, there may be a number of program and/or contractor groups or departments responsible for coordinating, participating in, or tracking the status of the SSCP. The following provides a summary of responsibilities these parties may have during the completion of the project.

7.2.1 MTA Office of Safety, Quality Assurance, and Risk Management

OSQARM is responsible for assuring that a Safety and Security Certification Program Plan (SSCPP) is prepared and maintained to document MTA policy for certification of any acquisition or system modification built using FTA Section 5309 funding or other forms of federal assistance requiring implementation of a SSCP. For each acquisition or system modification, the OSQARM, in coordination with MTA Engineering, determines the need and extent of the SSCPP.

The SSCPP identifies safety certifiable elements and provides overall recommendations for and concurrence with the SSCP. All safety and security certification activities are documented in the final safety and security certification report. OSQARM is responsible for ensuring this report is completed.

7.2.2 MDOT State Safety Oversight

MDOT SSO must be notified at least 30 days prior to the start of the design work of all proposed acquisitions, system modifications and other projects occurring within MTA's Metro Rail or Light Rail systems. MDOT works with MTA to determine the necessity of a SSCP, provides input on the certifiable elements of the program, and participates in and oversees the process itself. The final Safety and Security Certification Verification Report (SSCVR) for all Metro Rail or Light Rail projects will be transmitted to MDOT SSO personnel.

7.2.3 Project Manager/Resident Engineer

The MTA Project Manager/Resident Engineer supports the safety and security certification process; assures all system safety and system security activities required by specifications are satisfactorily completed; notifies OSQARM of new projects, including ancillary projects, during design phases; develops safety and security certification and notices; and turns over vehicles, facilities, equipment, tracks, etc., to MTA operations. The Project Manager/Resident Engineer also participates in the safety and security certification process at all levels, through all phases of the project; coordinates, monitors and tracks contractor activities and maintenance concepts, manuals, and training; certifies all safety and security elements for the program; manages activities to guide the program including vehicle, track, system, building, etc. delivery to, overhaul, and transfer from the contractor; and manages the qualification, acceptance, integration, and pre-revenue portion of the program. Refer to the appropriate Engineer’s Manual for details on performing safety and security certification under one of the following: Resident

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Engineer’s Manual, System’s Engineer’s Manual, Facilities Design Manual. These documents can be found on ProjectWise.

7.2.4 MTA Maintenance Services and Engineering

MTA Maintenance, Operations, and Engineering Services participate in, witness, and/or review tasks related to safety and security certification; monitor the status, result and issues of the certification process; and, coordinate approvals, concurrences, recommendations, or rework, as appropriate. These responsibilities are fulfilled in coordination with the OSQARM.

7.2.5 MTA Staff (Design, Overhaul, and Maintenance Teams)

MTA staff such as the Design, Overhaul and/or Maintenance Teams, work with the OSQARM, Safety Consultant, and Contractors (as applicable), on behalf of the MTA, to support safety and security as it is addressed in design reviews. MTA staff also participate in the safety and security certification committees; monitor hazard and threat and vulnerability analyses and resolutions; assist in identifying and resolving non-conformances; witness safety and security- related testing; recommend approval or disapproval of design changes and deviations from the baseline; assist with the safety and security verification and acceptance process; verify and accept Contractor Safety and Security Verifications and Certifications of Compliance for design criteria conformance, overhaul specification conformance, safety and security-related test and hazard resolution; and prepare pre-revenue service operational Turnover List, Engineer’s Safety and Security Certification, and Final Acceptance Certification.

7.2.6 Contractor (as applicable)

If used, the Contractor develops and implements the contractually required System Safety and System Security Program; assists in the preparation of the certifiable items checklists; identifies evidentiary documentation necessary to verify safety and security certification; assists in the development and maintenance of a safety and security certification filing system; monitors design efforts and obtains approval from the MTA for any deviations from the approved baseline; and, submits Certificates of Compliance to the MTA. The Contractor also conducts certification tasks, prepares documentation, and coordinates activities with subcontractor(s) in support of the safety and security certification process.

7.2.7 Safety Consultant (as applicable)

Depending on the extent of the project, a third-party safety consultant may be required to act on behalf of the MTA to carry out the SSCP. The safety consultant develops and manages the SSCP; and ensures the preparation, review, and implementation of the SSCPP. The safety consultant also provides technical assistance and review to the design and overhaul teams; reviews designs for safety and security compliance; ensures implementation of the SSCP; maintains the safety and security certification Master Filing System; develops and updates the Safety and Security Verification Tracking Log (SSVTL); coordinates safety and security certification activities; identifies and manages the resolution of non-conformances and hazards; and submits the formal Safety and Security Certification Report.

The safety consultant may also monitor the progress made and facilitate continued progress toward safety and security certification by providing notification to appropriate elements/

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departments of certification tasks and the completion of other tasks necessary for operational readiness including any adverse schedule or functional impacts between certification tasks and other tasks. In cases where a safety consultant is not needed, the above responsibilities belong to the OSQARM.

7.2.8 Safety and Security Certification Committee

A Safety and Security Certification Committee is created to facilitate the implementation and management of the SSCP. The committee typically consists of representatives from the OSQARM (including the Chief Safety Officer), MTA Engineering, MTA Police, Contractor(s), and the Safety Consultant support staff. The Safety and Security Certification Committee is responsible for adequately monitoring the status, results, and issues of the certification process through periodic review, and provides related approvals, concurrences, guidelines, or direction for the resolution of identified hazards, safety and security-critical concerns, or non- compliances, as appropriate.

The committee also discusses existing system safety, system security, safety and security certification, and systems assurance resources and identifies the hazard analysis process (in comparison with MIL-STD-882E) to be used to ensure that all credible hazards identified during design reviews, material and hardware selection, assembly and integration, audits, inspections, and testing are resolved and appropriately documented. The committee serves as a forum to build a consensus for a comprehensive safety and security certification process; reviews lessons learned from previous or on-going safety and security certification programs; and track the status of the safety and security certification process.

Included in the safety and security certification process MTA and Project Management representatives, local emergency response agency representatives, and other local, State, and Federal officials as necessary, review, analyzes, and directs activities related to the fire/life safety and security aspects of the project and identify the emergency response needs (such as training, drills, etc.) that are required to adequately respond to accidents/incidents that may occur during each phase of the project including operations and maintenance. They also provide expertise to facilitate the development and implementation of emergency responder training programs and activities, and emergency operating procedures and plans.

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7.3 SAFETY AND SECURITY CERTIFICATION PROGRAM TASKS

The safety and security certification process (as depicted in Figure 8-1) must include hazard identification, analysis, and mitigation elements of the five safety and security functions (i.e., System Safety, Fire/Life Safety, Occupational Safety, Public Safety, and System Security). To meet this requirement and to achieve safety and security certification, the following eight tasks are completed:

1. Develop and implement a Safety and Security Certification Program Plan (SSCPP). 2. Establish a Safety and Security Certification Figure 8-1 – Safety and Security Committee. Certification Process 3. Identify safety and security requirements. 4. Create a list of hazards, threats, vulnerabilities, and certifiable elements. 5. Analyze and mitigate hazards, threats, and vulnerabilities. 6. Document and verify the analysis, review, and approval process to ensure certifiable elements meet requirements. 7. Advise the RSOA of all identified Light Rail and Metro project hazards, threats, and vulnerabilities. 8. Prepare a comprehensive SSCVR.

7.3.1 Task 1 - Develop and Implement a SSCPP

The safety and security certification process is documented in the SSCPP and defines the key duties and responsibilities tailored to the unique needs of the project. The safety and security certification process and SSCPP are developed prior to the start of the project. The process is established in accordance with the requirements of this SSPP and provides a tailored approach to safety and security certification with consideration given to the:

 Extent and nature of the project  Need to identify and selectively impose more rigorous safety and security assessment and hazard analysis techniques to new and upgraded systems or equipment with safety critical or vital functions  Extent to which program phases including specification development, planning, design, hazard analysis, and overhaul have been initiated or completed  Need to minimize duplication and to use existing documentation, processes, and plans to support the safety and security certification objectives, to the extent practicable

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 Necessity to communicate and coordinate with various groups within MTA and the contractor organization to facilitate a timely certification of safety compliance.

The SSCPP takes into account all of the safety and security-related activities already completed; establishes formal responsibilities of safety and security certification; and, consolidates the process by identifying the steps to ensure that a consistent approach guides the safety and security certification activities throughout the program. The plan ensures that:

 One set of safety and security certification objectives is developed for the entire program  A collective approach is used in developing and implementing strategies to achieve safety and security certification goals and to incorporate safety and security activities into the program management approach  Information flow and coordination regarding safety and security certification is maximized among all departments and organizations involved in the program  All personnel with responsibility for safety and security certification have an understanding of joint priorities and restrictions for the projects  Each department or organization is fully aware of the plans, actions, and constraints of all others involving safety and security certification  The combined efforts of all departments and organizations are optimized for safety and security certification within available resources as well as to reduce or eliminate the duplication of efforts.

7.3.2 Task 2 – Establish a Safety and Security Certification Committee

A Safety and Security Certification Committee (SSCC) is established to coordinate certification efforts between Project participants. The committee consists of representatives from:

 Project Management  Project Engineering  Project Operation  Project Safety  System safety, fire/life safety, security, and other subject matter experts  Construction contractor and equipment vendor and supplier representatives  Other applicable stakeholders such as representatives from the FTA, FRA, MDOT, freight railroads, or local emergency responders.

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The SSCC acts as a forum for project personnel to voice concerns pertaining to the system safety and security of the project. The committee also facilitates the identification of systems safety and security requirements and the identification and resolution of hazards, threats, vulnerabilities, and certifiable items. The Chief Safety Officer-OSQARM will appoint the chairperson of the SSCC.

7.3.3 Task 3 – Identify Safety and Security Requirements

System safety and security requirements, including those detailed in technical specifications and design criteria applicable to the project are identified, compiled, and documented. Resources for identifying these requirements include:

 MTA design and performance criteria  MTA SSPP Requirements  MTA System Security Program Plan  MTA SOPs and EOPs  APTA safety audit recommendations  Peer review recommendations  Safety inspections, accident/incident investigation reports, audits, and analyses conducted by MTA, NTSB, FTA, FRA, or consultants  Pertinent safety criteria and studies from other transit systems or results of analysis of industry experience on conditions unique to the operational environment  Applicable Federal, State, and local codes, standards, regulations, or requirements such as those of the FTA, FRA, NFPA, APTA, etc.

Hazard analyses, fault tree analyses, failure modes and effects analyses, and other safety and security assessment documents developed by the MTA and/or the Contractor as part of the project are the primary means for determining appropriate implementation of safety and security design criteria. These analyses also serve to verify that safety and security requirements have been implemented; identified hazards, threats and vulnerabilities have been appropriately mitigated; and verification methods (inspections, analyses, tests, etc.) have been used to demonstrate compliance.

7.3.4 Task 4 – Create a List of Hazards, Threats, Vulnerabilities, and Certifiable Elements

Through the completion of tasks 1 through 3 above, a comprehensive list of hazards, threats, vulnerabilities, and safety and security certifiable elements is created. This list identifies the system safety and security critical elements that must be addressed prior to final acceptance of the system, vehicles, and facilities and defines the scope of the certification effort. Certifiable elements include “all project elements that can affect the system safety and security of passengers, employees, contractors, emergency responders, or the general public.” Certifiable

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elements include specification elements, hazard analysis elements, and test program elements. Completion of activities in these three areas provides assurance through documented evidence that the project conforms to all specified safety and security requirements.

Identification of certifiable elements enables the creation of organizational categories that can be further subdivided to support recognition of individual sub-elements and items with the potential to affect system safety and security. To manage the translation of general system safety and security requirements into the specifications necessary to ensure that system safety and security are built into the project, each certifiable element must be broken down into its composite list of “certifiable items.” These items make up the whole of the element and require individual specification and verification before the entire element can be certified as safe for use. The listing of these items for each major element to be certified is defined as a Certifiable Items List (CIL).

For example, prior to certifying a rail vehicle safe for revenue operations, each component of the vehicle must first be analyzed to identify and mitigate all real and potential hazards. Braking and propulsion systems, operator control panels, interior and exterior lighting systems, etc., must all be evaluated and must all meet the SSCP requirements prior to the vehicle being certified safe for operation.

Likewise, prior to certifying a station safe for revenue operations, each component of the station must first be analyzed to identify and mitigate all real and potential hazards. Emergency exits, lighting, and other fire/life safety elements, as well as walkways, canopies, platforms, etc. must all be evaluated and must all meet the requirements of the SSCP prior to being certified safe for operation. These requirements include those of the ADA, National Fire Protection Association (NFPA) 130, Life Safety Code, and other local and State building codes.

Once all sub-elements have been certified, a Certification of Compliance for the project element is issued. The ultimate objective of the SSCP is to therefore certify all identified certifiable elements, and to ensure all catastrophic and critical hazards have been eliminated by design or reduced to an acceptable level, and have been documented appropriately.

7.3.5 Task 5 – Analyze and Mitigate Hazards, Threats, and Vulnerabilities

Each identified hazard, threat and vulnerability is analyzed in accordance with MTA’s Hazard Management Program to determine the probability and severity of occurrence and the impacts such an occurrence may have on project success. Items with the highest probability and severity characteristics are prioritized and addressed accordingly. Once the hazard is evaluated and prioritized, the resolution process begins. The following methods (listed in order of most desired to least desired) are used to resolve identified hazards:

 Design to eliminate or control the hazard  Apply safety devices  Apply warning devices  Establish special procedures and training  Accept the hazard or discontinue the practice, operation, equipment, or facilities if unable to reduce the hazard to an acceptable level.

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7.3.6 Task 6 – Document and Verify the Analysis, Review, and Approval Process to Ensure Certifiable Elements Meet Requirements

Verification of system safety and security requirements ensures that the project elements have been designed, constructed, tested, inspected, and reviewed in accordance with the system safety and security requirements in the technical specifications. Evidence used to verify compliance with system safety and security requirements maybe in the form of a physical inspection, test reports, or certification by the appropriate contractor group, and includes the qualification or certification of the person and references to the process used to make the verification.

If the verification discloses non-compliance with a specific requirement, the appropriate certification form is marked, with explanation in the remarks/notes section, and returned to the Safety and Security Certification Committee. Open items are reviewed using MTA’s Hazard Management Program. Resolutions by means other than conformance with technical specifications require approval from Project Management.

A SSVTL is created to track and document the certification process and outcomes, and list all certifiable elements and hazard analysis items, along with applicable system safety and security requirements or criteria references, verification methods, compliance/non-compliance documentation, and closure status. All potential non-compliances are reported to Project Management as soon as possible. The SSVTL consolidates checklists that are traditionally associated with transit system safety and security certification programs including:

 Safety and Security Design and Criteria Conformance Checklist – identifying specific safety and security requirements; verifying an acceptable level of fault-tolerance or risk reduction designed into certifiable elements; and identifying/specifying safety and security related test requirements.  Specification Conformance Checklist – identifying each safety and security related specification requirement including approved changes; identifying tests, analyses, demonstration, or other verification methods necessary to ensure the “as-built” configuration conforms with safety and security related requirements, and includes the required safety features and hazard controls; and documenting evidence validating results of the verification methods.  Hazard Tracking Log – categorizing hazards according to severity and probability of occurrence, hazard controls or corrective actions, verification methods, and evidence validating results of the verification methods.  Baseline Vulnerability Analysis – categorizing potential system vulnerabilities according to the severity of their impact on the system and the probability of their occurrence, controls or corrective actions, verification methods, and evidence validating results of the verification methods.  Testing/Acceptance Conformance Checklist – substantiating design and performance criteria, ensuring compatibility among components, other vehicles, system elements, and operating environments, and verifying codes and standards compliance.

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The consolidated SSVTL is used to verify that system safety and security requirements for the project are achieved. This evidence may also be presented during design reviews, as part of contract deliverables, and during audits and inspections of project elements (i.e., tracks, structures, vehicles, etc.). A thorough review of all system safety and security related procedures and verification that approved training programs given to appropriate personnel remain applicable, are also be verified. The system safety activities for this effort are performed to ensure that:

 Facilities and equipment have been constructed, manufactured, inspected, installed, and tested, in accordance with safety and security requirements in the design criteria and contract specifications

 Operations and maintenance procedures and rules have been developed and implemented to ensure safe and secure operations

 Training documents have been developed for the training of operating personnel, and emergency response personnel

 Transportation and maintenance personnel have been trained and qualified/certified

 Emergency response agency personnel have been prepared to respond to emergency situations in or along the right-of-way

 Safety and security-related system integration tests have been conducted

 Security for the segments in operation and the Yard and Shop are addressed.

System integration of all project elements, procedures, and human factors is assured and verified through system testing. Integrated testing is any testing or series of tests, which require the interface of more than one element and are designed to verify the integration and compatibility between system elements. These tests include compatibility and dynamic tests. Test result reports form the basis for meeting the safety and security requirements.

At the completion of Integration Testing, Proof-of-Service/Pre-Revenue Operations are conducted to simulate service and to demonstrate whether all system elements are functional and performing as designed. These operations are intended to ensure a smooth transition from testing to revenue service.

Test plans and procedures, and the results of all tests performed including design verification, technical operational evaluation, technical data and requirements validation and verification are developed, reviewed, and maintained in the project’s master file. The Safety and Security Certification Committee facilitates the review of project team activities conducted for qualification and acceptance to ensure:

 System safety and security aspects of the design (including operating and maintenance procedures) are adequately demonstrated, including verification of system safety, security, and warning devices for all “catastrophic” and “critical” hazards not eliminated by design. The remaining “marginal” and “negligible” hazards to be addressed at the discretion of Project Management.

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 Results of system evaluations related to system safety and security are included in the test and evaluation reports on hardware and software. This is particularly important for integration tests.  The location of relevant test results is communicated to the Safety and Security Certification Committee and to support Project Management’s review of contractor qualification and acceptance activities.

Any test results that are not acceptable, or that are accepted with restrictions, are placed on a Certification Open Items List. In addition, copies of all applicable test and inspection reports are provided to Project Management to be appropriately referenced in the formal certification files and the SSVTL. Test reports, prepared to document test results are reviewed to verify the summary of activities, findings and conclusions, identification of open items identified during the task and related resolution action, and recommendations pertaining to approval of the report.

7.3.7 Task 7 – Prepare a Safety and Security Certification Verification Report

Project Management is responsible for reviewing evidence and approving certifiable elements. Upon receiving evidence that system safety and security requirements have been achieved, Project Management recommends that the system element receive a “Certificate of Compliance.” At the completion of the SSCP a formal SSCVR is written, detailing the certification process, project milestones, and certification program outcomes.

Recommendations are made pertaining to the issuance of compliance certificates and continued support is provided through the acceptance and placement of vehicles, systems, and facilities into revenue service. The report is submitted to the MTA Administrator, who has ultimate responsibility for certifying the system safe for operation. This task is conducted to verify through appropriate documentation that a certifiable level of operational system safety and security has been achieved. The report includes:

 A chronological summary of the SSCP and the certification activities conducted during the project.  An open items status report displaying the status of all open items identified during the execution of the certification program.  Documentation pertaining to the review of all open items for which resolution has not been verified. Open items are classified in the hazard elimination process prior to service and no unacceptable or undesirable hazards are accepted without the explicit consent of the MTA Administrator.  Documentation pertaining to formal inspections performed by Project Management. After completing a “walk-through” audit in which no unacceptable or undesirable hazards are found, formal acceptance can be made and certification can be granted.

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7.4 GENERAL RESPONSIBILITIES

General responsibilities of personnel and departments with respect to Safety and Security Certification are provided as follows:

1. It is the responsibility of all personnel and departments to participate in the SSCP as necessary and as determined by management. 2. It is the responsibility of MDOT, in its role as the SSO Agency, to work with the OSQARM as well as the Engineering Department to determine which Light Rail and Metro Rail projects require safety and security certification, to provide review and comment on the list of certifiable elements, and to participate in and oversee the implementation and resolution of the safety and security certification process. 3. It is the responsibility of the Engineering or Maintenance Department Project Leader/ Resident Engineer to ensure the impacts the proposed modifications are thoroughly evaluated prior to beginning the project. This includes evaluating the impacts the project will have on other systems, operations, services, and other departments and personnel. 4. It is the responsibility of Engineering or Maintenance Department Project Leader/ Resident Engineer, in coordination the OSQARM representative, to utilize the hazard identification and resolution process described in this plan and as outlined in the FTA Hazard Analysis Guidelines for Transit Projects, to develop the level and scope of the safety and security certification effort. 5. It is the responsibility of Project Management to document and maintain records of all safety and security certification tasks and project activities, to issue certificates of compliance for identified safety-critical items, and to ensure a final certification report is developed and submitted to the OSQARM. 6. It is the responsibility of the OSQARM representative to oversee the safety and security certification process and to keep the Chief Safety Officer-OSQARM apprised of project status and any issues that may arise requiring additional support by the OSQARM. 7. It is the responsibility of the OSQARM representative to ensure the final SSCVR is completed and to verify that certificates of compliance are issued for all identified safety critical items. 8. It is the responsibility of the MTA Administrator to issue final safety and security certification of the completed project with input received from the Chief Safety Officer- OSQARM, and Project Management.

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8.0 SYSTEM MODIFICATION

MTA systems and operations are regularly modified to maintain compliance with industry standards, Federal, State, and local regulations, and to ensure customers are continually provided with a high level of service. System changes and modifications may also result from inspections, employee observations, post-accident/incident investigations, internal and external audits, and/or safety data analysis. All changes or modifications made to MTA’s operations and services have the potential to affect customer, employee, and system safety and security, and as such, detailed reviews of proposed system modifications must be performed. This section details MTA’s System Modification Review and Approval Process.

8.1 SYSTEM MODIFICATION REVIEW AND APPROVAL PROCESS

MTA’s Global Standard Operating Procedure for System Modification Review and Approval Process (MTA-GP-04-02) has been developed to ensure that proposed system modifications and changes are compliant with all applicable State, Federal, and local regulations; are compatible with existing systems; will not reduce the safety and hazard controls already in place on the system; and will not introduce new hazards to the system. This review and approval process applies to:

 Changes in safety-critical processes or functions.  New construction projects or modifications to existing facilities which are limited in scope.  Equipment acquisitions or modifications/overhauls of existing equipment.  Proposed system expansions including new routes or operating territories.

The System Modification Review and Approval Process begins as early as possible in the project life cycle. For each proposed change or system modification, the Engineering or Maintenance Department Project Leader/Resident Engineer and design team define the scope of the work to be completed and establish the requirements for design reviews and project tracking and reporting. The design team also determines the resources required to perform the work (i.e., funding, equipment, consultants, contractors, other MTA departments and divisions, etc.).

The Chief Safety Officer-OSQARM, or his/her designee, is responsible for overseeing the System Modification Review and Approval Process is carried out during each phase of the project beginning with the preliminary design review process. For each project, the Chief Safety Officer-OSQARM, assigns a representative from the OSQARM to participate directly in the project.

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The OSQARM representative assures the proposed change or modification is evaluated by qualified personnel to determine its effect on MTA's systems and operations. This requires reviewing applicable regulations; conducting site visits; reviewing technical specifications; and performing various types of engineering analyses including, but not limited to failure modes and effect analyses, preliminary hazard analyses, and/or fault tree analyses. The performance of these types of analyses may require the joint efforts of multiple MTA departments and personnel, or the outside support and expertise of contracted personnel.

The OSQARM representative is responsible for working with the design team, construction team, and project engineering to ensure the safety requirements of all designs are accurately identified and included in project specifications and work plans prior to the start of the project, or the procurement of services, materials, or equipment. Examples of safety requirements include, but may not be limited to:

 Inclusion of safety related engineering controls within the design  Hazardous materials and chemical storage, handling, and use  Materials compatibility  Equipment and systems compatibility  Vehicle and equipment safety  Fire protection and life safety  Occupational safety and health.

In establishing a safety specification review for each system modification, the sponsoring department ensures adherence to the applicable safety requirements of all relevant outside agencies and organizations. The specification also provides for the appropriate participation of all other relevant departments within the MTA and the participation of its contractors where appropriate. The safety specification review process applies to:

 Changes to safety-critical processes or functions  New construction projects or modifications to existing facilities and systems  New capital acquisitions and changes or modifications to major equipment or infrastructure  Plans for equipment and materials transportation, storage, handling, and disposal.

Once the planned/proposed change or modification has been thoroughly evaluated and approved, work may begin. All parties, personnel, and departments that are affected by the modification are notified of the modification prior to the start of work and are kept apprised of the implementation progress throughout the course of the project.

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Depending on the extent of the modification, an inspection and testing program may be established to verify that all work has been done and all modifications have been made in accordance with the technical specification. Tests may include, for example, field testing of vehicles or structural evaluations.

It may also be necessary (depending upon the extent and nature of the modification) to develop and implement a formal Safety and Security Certification Program (SSCP). For example, large or critical projects, such as the LRV Mid-Life Overhaul project, require that a formal SSCP be developed and implemented. This is necessary to not only meet Federal requirements and regulations, but also to ensure all safety requirements and contract obligations have been met. Implementing the use of new brake pads throughout the bus fleet however, would not require a formal SSCP, although the new brake pads would have to be evaluated to ensure they meet all necessary quality and safety standards.

The need for a SSCP is determined at the onset of the project so that safety and security certification efforts can be started at the preliminary stages of a project. This is done to ensure the SSCP remains cost effective and efficient.

Once the modifications are complete, the department in which the modification occurred is responsible for monitoring and evaluating the effects the modification has had on the system or operation. All system modifications are thoroughly documented.

8.2 GENERAL RESPONSIBILITIES

General responsibilities of personnel and departments with respect to system modifications are provided as follows:

1. It is the responsibility of all personnel involved in a system modification to comply with the guidance and procedures outlined in MTA-GP-04-02 and participate in the system modification review process as necessary and as determined by management. 2. It is the responsibility of the Engineering or Maintenance Department Project Leader/Resident Engineer to ensure the impacts the proposed modifications are thoroughly evaluated prior to implementing the system modification. 3. It is the responsibility of the OSQARM representative to oversee the evaluation process and to keep the Chief Safety Officer-OSQARM, apprised of project status and any issues that may arise requiring additional support by the OSQARM. 4. It is the responsibility of department management to stop work on all unauthorized system modifications. 5. It is the responsibility of the sponsoring department to notify the stakeholders of the proposed system modifications using the MTA System Modification Authorization Form and to receive approval before the commencement of work when possible.

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9.0 SAFETY DATA ACQUISITION AND ANALYSIS

Safety data acquisition and analysis involves gathering and analyzing data related to the MTA's safety program. This is done in order to meet internal and external reporting requirements, as well as to evaluate the effectiveness of safety efforts. The following provides information regarding this process.

9.1 SAFETY DATA ACQUISITION AND ANALYSIS PROCESS

In order for MTA's management and personnel to be held accountable for safety, information must be gathered that will enable management and the OSQARM to make informed decisions regarding the allocation of resources necessary to optimize safety.

The MTA gathers and analyzes various forms of data related to the Safety program including, but not limited to employee injury and illness data, vehicle accident data, maintenance data, unusual occurrence log data, and operator and supervisor reports. All MTA modes (i.e., Metro Rail, Light Rail, Bus, Mobility, and MARC) provide daily reports to the OSQARM regarding the number of accidents/ incidents (if any) that have The above graph is for demonstration purposes occurred throughout the day. Additionally, only and does not convey actual MTA data it is the responsibility of contracted services such as those provided by the various commuter bus companies contracted by the MTA, to inform the OSQARM of all accidents/incidents involving their operations during each month.

Bus, Light Rail, and Metro are tracked using the MTA Accident Reporting System (ARS) Database. OSQARM maintains, monitors, and provides reports based on the information contained in the database. The ARS database also has built in alarms and triggers that will help identify trends from repeat accidents/incidents, operators, locations, or other programmed parameters. In addition, the OSQARM uses the Geographical Information System (GIS) mapping to identify “hotspots” involving accidents or incidents.

OSQARM evaluates all reports to determine the total number of accidents/incidents, which have occurred throughout the month.

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It is the responsibility of the OSQARM to report this data to the National Transit Database in accordance with the FTA Act of 1964 as well as all other necessary bodies. These reports provide information pertaining to the different types of accidents/incidents that have occurred, the total number of accidents/incidents, and the frequency rates of accidents/incidents. MTA Managers may also track employee accident/incident trends through the OSHA 300 injury/illness log in order to determine high hazard work areas or job classifications, employee training and re-training needs, or to determine the levels of disciplinary action required following an accident/incident. Data is also gathered regarding workers' compensation claims and costs and is used for insurance purposes.

Vehicle maintenance and equipment failure data is gathered to ensure that preventative maintenance is being conducted according to schedule as well as to evaluate equipment quality and warranty period performance. Equipment that fails within the time frame of the warranty period can be replaced at limited or no cost under the provisions of the warranty. Information pertaining to equipment that repeatedly fails or that requires high maintenance costs provides management with appropriate reasoning necessary for discontinuing its use and selecting different equipment or a different equipment manufacturer.

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The safety data acquisition and analysis process also involves collecting technical data and information from professional resources such as:

 American National Standards Institute (ANSI)  American Public Transportation Association (APTA)  American Society for Testing and Materials (ASTM)  Federal Motor Carrier Safety Administration (FMCSA)  Federal Motor Vehicle Safety Standards (FMVSS)  Injured Workers’ Insurance Fund (IWIF)  Maryland/Occupational Safety and Health Administration (M/OSHA)  Material Safety Data Sheets (MSDSs)  National Fire Protection Association (NFPA)  National Transit Database (NTD)  Professional Society Guidelines  State Building Codes

Once gathered, any identified hazards are linked to the MTA’s Hazard Management Process and used to correct, track and report those identified hazardous work areas and job classifications. Areas and job classifications that have high accident/incident, injury, and illness rates will typically contain hazardous conditions that cause or contribute to the accidents/ incidents, injuries, and illnesses. These identified hazards will be investigated to find the root cause and /or causal factors. Recommendations will then be provided to eliminate, mitigate, or control the hazards.

9.2 MTA CORRECTIVE ACTION MONITORING LOG

OSQARM uses a “Corrective Action Monitoring Log” to store, maintain, and track the corrective actions and status of all identified hazards and internal and external safety review findings. The log serves as a management tool and repository for past and future safety hazards identified by both MTA and outside agencies such as MDOT, APTA, or the FTA.

This information will be used to generate reports that enable OSQARM to immediately and consistently relay internal safety review information to management.

MTA will provide ongoing reporting of the current status of all rail safety and security hazards to MDOT at the quarterly RSOA meetings. This will be accomplished using the “Corrective Action Monitoring Log” for all Mode-related hazards.

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9.3 GENERAL RESPONSIBILITIES

General responsibilities of personnel and departments with respect to safety data and acquisition are provided as follows:

1. It is the responsibility of all personnel and departments to immediately report all accident/incidents, injuries, or illnesses to the appropriate CCs or their immediate supervision. 2. It is the responsibility of department management and the OSQARM to maintain records of employee injuries and illnesses rates as well as records pertaining to vehicle accidents/incidents. 3. It is the responsibility of department management to utilize safety data analysis techniques, as specified by the hazard management process, to identify, control, and eliminate hazards within their departments. 4. It is the responsibility of department management to utilize safety data when making management decisions related to the allocation of assets and resources for optimizing safety. 5. It is the responsibility of the OSQARM to track, analyze, and report safety data to identify potential trends within MTA’s operations and services and to work with department management to develop corrective action plans for eliminating and controlling identified trends. 6. It is the responsibility of the Chief Safety Officer-OSQARM, to provide monthly safety reports to the MTA Administrator relaying accident/incident data and trends. 7. It is the responsibility of the OSQARM to notify MDOT within 2 hours pertaining to accidents/incidents occurring in MTA’s Metro Rail and Light Rail operations and services that meet the thresholds identified in SSPP Section 10.2. 8. It is the responsibility of the OSQARM to provide MDOT, at or before the regularly scheduled Quarterly Oversight Meetings with updated copies of the “Corrective Action Monitoring Log” showing the current of status of all Light Rail and Metro Rail related hazards.

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10.0 ACCIDENT/INCIDENT NOTIFICATION REPORTING AND INVESTIGATION

Effective accident/incident reporting and investigation is a key component used to identify and eliminate hazards within the system and to preventing reoccurrence. In order to minimize and control the threat to health, life, and property, it is essential that all appropriate parties be notified of an accident/ incident as quickly as possible to ensure timely response to the scene. All accidents/incidents involving MTA’s operations and services including vehicles, stations, the right of way, maintenance facilities, or other MTA properties under the direct control of an CC (i.e., Metro Rail, Light Rail, Bus, MARC, Mobility) are to be reported to the respective CC immediately. The CC then coordinates all emergency response activities for events occurring within their respective mode.

All accidents/incidents involving MTA employees, facilities, buildings, equipment or other properties and assets not under the direct control of an CC are to be reported by the employee witnessing the event to his/her immediate Supervisor, the OSQARM, and/or MTA Police and Fire Rescue, according to the appropriate chain of command. Supervisors and other members of Management witnessing or being notified of an accident/incident shall initiate the appropriate emergency procedures.

It is the policy of the MTA to ensure that all accidents/incidents, regardless of origin, the operator(s) involved, or of the responsible party, be subject to a formal and objective investigation. The MTA is responsible for investigating all accidents in accordance with accepted industry accident investigation practices and the following guidelines:

 MTA Accident/Incident Investigation Guide, December 2011  MTA Accident/Incident Investigation Handbook, December 2011  MTA Accident/Incident Investigation SOP, December 2011  APTA Rail Investigation Standard  MDOT Rail Safety Oversight Program Standard and Procedures  Accepted accident/incident investigation procedures as adopted by law enforcement agencies and public safety agencies.

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For contracted operations, such as contracted Commuter Bus and Paratransit operations, the contractors’ dispatcher is notified of the accident/incident and is then responsible for coordinating and monitoring emergency response efforts. Contractors maintain accurate accident/incident and injury data, and shall cooperate with all accident/incident investigations. This includes submitting comprehensive accident/incident reports to the MTA upon request, as well as any other information the MTA deems necessary to conduct an accident/incident investigation and to ensure similar events do not occur. Events that must be reported to the MTA include:

 All occurrences resulting in employee deaths or occupational injuries while on the job  Passenger, trespasser, and/or passerby deaths or reported injuries that occur on MTA vehicles or property  Near misses and minor accidents/incidents which had the potential of serious injury or death  All other unusual occurrences, incidents, malfunctions, hazardous conditions, near misses, etc., which may impact the safety of MTA operations and services, personnel, or patrons.

For MARC operations, all accidents/incidents are reported to the dispatcher for the territory in which the train is operating. The train dispatcher then notifies emergency personnel and coordinates and monitors all corrective and emergency response action required at the site. The Amtrak and CSXT Safety Department conducts a formal investigation into the accident/incident and prepares a report or submission to the appropriate authorities. Notification of an accident/ incident can be made by telephone, two-way radio, fax, or personal pager. The MTA MARC Control Center is also informed of the event and notifies the OSQARM. By agreement, Amtrak and CSXT are responsible for preparing all accident/incident reports for MARC service. The MTA is the reporting railroad however, and must authorize all MARC reports prepared by Amtrak and CSXT. The MTA is also notified of all accidents/incidents involving CSXT freight operations that may affect MTA operations or services.

10.1 NOTIFICATION RESPONSIBILITIES OF THE OPERATION CONTROL CENTERS

Once notified of an accident/incident event, the CCs gather as much information as possible regarding the accident/incident, and immediately and concurrently:

1. Notify applicable emergency response units:  Emergency Medical Services  MTA/State/Local Police  Fire Department  Other Emergency Response Agencies

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2. Send Incident Report via the MTA Emergency Notification System (ENS). The ENS is utilized to make initial notification to all necessary parties that an accident/incident event has occurred. To allow the responsible parties to provide timely response to conduct an investigation and meet regulatory reporting requirements, the CC is also required to report the incident by phone to the appropriate Safety staff member as soon as possible. The ENS is also used at the end of the event to notify all necessary parties that the accident/incident event has ended. The ENS is configured to send a broadcast page simultaneously to (at a minimum) the following individuals:

 The Administrator and Chief Executive Officer (once notified, the Administrator notifies MDOT) or designee  Chief Safety Officer-OSQARM  Deputy Chief Safety Officer-OSQARM  Chief of Staff  Deputy Administrator and Chief Administrative Officer  Senior Deputy Administrator and Chief Operations Officer  Deputy Chief Operations Officer, Service Oversight  Deputy Chief Operations Officer, Core Services  Director, Light Rail  Director, Metro  Director, Bus  Director, Mobility Services  Director, Service Quality  Director, Communications  Director, Customer Information  Modal and Zone Managers  Safety Officers  Superintendents of Operations  Chief Supervisors  Chiefs of Maintenance  Other individuals as directed by the Managers of Operations, including MDOT personnel.

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10.2 NOTIFICATION RESPONSIBILITIES OF THE OFFICE OF SAFETY, QUALITY ASSURANCE, AND RISK MANAGEMENT

Once notified that an accident/incident has occurred, it is the responsibility of the Chief Safety Officer-OSQARM, or a designated representative in a OSQARM support role to provide updates to the appropriate MTA Deputy Administrator(s), regulatory agencies, and MDOT personnel. If necessary, the Chief Safety Officer-OSQARM, or a designated representative, will immediately notify the National Response Center of the accident/incident.

OSQARM maintains a Duty Officer that is the “on-call” safety staff member who will respond, investigate, and provide required reporting and updates after normal working hours. The Duty Officer responsibility is assigned on a rotating basis and will remain on call for a 2-week period.

1. MDOT – Designated Maryland Rail Safety Oversight Agency. The Chief Safety Officer-OSQARM, or a designated representative, notifies MDOT by telephone regardless of the time of day, no later than two (2) hours after notification of an accident/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 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/ intersection  A main-line derailment  A collision with an individual on the rail right-of-way  A collision between a rail transit vehicle and a second rail transit vehicle, or a rail transit non-revenue vehicle.

Where the MTA shares track with the general railroad system, it notifies MDOT’s designee within two (2) hours of an incident for which the MTA must notify the FRA.

The MTA provides MDOT such data as is noted in the MTA Incident Notification Procedure, or such data as MDOT feels is necessary to conduct an incident investigation. A written accident report on the Preliminary Incident/Hazardous Condition Fact Report Form is also submitted to MDOT within 72 hours of the occurrence.

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2. National Transportation Safety Board (NTSB). The Chief Safety Officer-OSQARM, or a designated representative, notifies the NTSB within two (2) hours from the time of an accident/incident, which has resulted in a passenger or employee fatality, or serious injury of two (2) or more employees or passengers requiring admission to a hospital; or the emergency evacuation of a train. The NTSB is also notified within four (4) hours from the time of an accident/incident which has resulted in damage estimated at $150,000 or more in repairs (or current replacement cost) to the railroad or non-railroad property; or damage of $25,000 or more to a passenger train including railroad and non-railroad property.

The Chief Safety Officer-OSQARM, or a designated representative determines if the NTSB intends to conduct an investigation and if so, notifies MDOT.

3. Occupational Safety and Health Administration. The Chief Safety Officer-OSQARM, or a designated representative, notifies the nearest jurisdictional Maryland/ Occupational Safety and Health Administration (M/OSHA), either orally or in writing, within eight (8) hours after the occurrence of an accident/incident, which has resulted in a fatality of one (1) or more employees or the hospitalization of three (3) or more employees. If an oral report is made, it is always followed with a confirming letter written the same day. The report relates the circumstances of the accident/incident, the number of fatalities, and the extent of any injuries.

4. Federal Transit Administration. The Chief Safety Officer-OSQARM, or a designated representative, notifies the Regional office of the FTA within 24 hours, by calling the National Response Center (800-424-8802 or 800-424-0201), as soon as possible, but at a minimum within two (2) hours after the occurrence of an accident/incident which results in:

 A fatality at the scene, or where an individual is confirmed dead within 30 days of a transit-related incident

 Injuries requiring immediate medical attention away from the scene for two or more individuals

 Property damage to transit vehicle and non-transit vehicles, or other transit properties or facilities that equals or exceeds $25,000

 An evacuation due to life safety reasons

 A collision at a grade crossing/ intersection

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 A main line derailment

 A collision with an individual on a rail right-of-way

 A collision with a rail transit vehicle and another rail-transit vehicle, or a rail transit non-revenue vehicle.

5. Federal Railroad Administration. A computer-based reporting system is used to report monthly to the FRA. Personal injuries are tracked by such categories as type of injury, body part, craft of employee, time of day, age, years of service, etc. Comparisons can be made within areas of Amtrak as well as with other commuter systems to spot trends. The FRA is also notified by calling the National Response Center (800-424-8802 or 800-424- 0201) as soon as possible, but at a minimum within two (2) hours, after the occurrence of an accident/incident, which results in:

 The death of a rail passenger or a railroad employee  The death of an employee of a contractor to a railroad performing work for the railroad on property owned, leased, or maintained by the contracting railroad  The death or injury of five or more persons  Serious injury to two or more train crew members or passenger requiring admission to a hospital  Evacuation of a passenger train  A fatality at a highway-rail grade crossing  Damage (based on preliminary gross estimate) of $150,000, to railroad and non- railroad property  Damage of $25,000 or more to a passenger train, including railroad and non-railroad property  A collision or derailment on a main line that is used for scheduled passenger service  The fouling of a main line used for scheduled passenger service.

A written accident report of the accident shall also be submitted to the FRA within 30 days after expiration of the month during which the accidents/incidents occurred.

10.3 AT-SCENE PROCEDURES

All vehicle operators and MTA personnel are required to follow the appropriate EOPs while at the scene of an accident/incident. The role of on-scene coordinator will often change during the course of the accident/incident. As the first MTA representative at the scene, the vehicle operator serves as the acting on-scene coordinator until emergency responders arrive or until otherwise instructed by the CC. The primary responsibility of the vehicle operator is the safety of his/her passengers and any injured parties. At no time, shall the vehicle operator or any MTA

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employee release or volunteer any information regarding the accident/incident to anyone except MTA personnel or the police without appropriate management approval from Directors level or above. It is the responsibility of the vehicle operator to assist emergency response personnel as they arrive at the scene and to maintain contact with the appropriate CC.

As emergency responders and MTA personnel arrive, various mechanisms may be used to control the scene and to begin the accident/incident investigation process. Depending on the severity and location of the accident/incident, access to the scene may be restricted, photographs and measurements may be taken, and witness statements may be gathered. It is the responsibility of all personnel at the accident/incident scene to support all investigation efforts as deemed necessary by the on-scene coordinator. This may include submitting to drug and alcohol screening.

The Supervisor, Police Officer, Safety Officer responds to the scene by the most expeditious means available. Upon arrival, all members will report and identify themselves to the Incident Commander, the MTA On-Scene Coordinator or ranking MTA Modal Transportation or Maintenance official, and any other authorized persons involved with the accident/incident before commencing investigation activities. As in all safety investigations, Transportation and Maintenance Supervisors and the MTA Police are made aware of the investigation.

10.4 ACCIDENT/INCIDENT INVESTIGATION

It is the responsibility of the OSQARM to ensure all accidents/incidents and near misses are thoroughly investigated and that all applicable records are maintained, including corrective action plans developed as a result of investigation findings. This may include working with MTA Transit Police during their investigation of the accident/incident. The degree of the investigation and the parties involved with the investigation depend on the type and extent of the accident/ incident. Accident/incident investigations involving MTA vehicles, for example, may involve Federal and/or State agencies such as the NTSB or MDOT. The investigation may also involve conducting a detailed engineering analysis to determine accident/incident causes and may require the support of outside contracted expertise. The agency strongly encourages employees to report near misses. The reporting of near misses by employees is non-punitive and are seen by the agency as a proactive way of preventing future accidents.

The Administrator or Chief Safety Officer-OSQARM, may establish an Accident Investigation Board (AIB) if necessary. The Chief Safety Officer-OSQARM is responsible for notifying the AIB members of their participation in the investigation. MDOT is invited and encouraged to participate as a member of the AIB. The Chief Safety Officer-OSQARM, or his/her designee, serves as the AIB Chair.

The AIB is authorized to conduct the investigation of the accident/incident in the most expedient manner as determined by the Chair with support from other AIB members. The AIB is also authorized to impound, receive, and examine any evidence related to the accident/incident. The AIB is responsible for maintaining the integrity of the evidence and the chains of custody. In

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fulfilling this responsibility, secure facilities and assistance from the MTA Police may be utilized. At no time shall the investigation interfere with rescue operations.

In all cases, the MTA strives to identify the causes and contributing factors to the accident/ incident and to take immediate corrective actions to ensure that the same or similar type of accident/incident does not occur. Accordingly, it is critical that the accident/incident investigation process maintains a strong link to the hazard and risk identification and resolution process. Hazards identified as a result of the investigation are evaluated according to the hazard identification and resolution process previous detailed in Section 6.0 of this plan. Hazard resolutions are incorporated into procedures, designs, construction, modifications, and procurements as necessary to prevent further accidents/incidents of a similar nature.

10.5 MDOT ACCIDENT/INCIDENT INVESTIGATION

For all Light Rail or Metro Rail accidents/incidents, if MDOT elects to conduct an accident/incident investigation, the MTA will provide access, documents, and any information that MDOT determines is necessary for their investigation. While performing the investigation, MDOT may elect to use its own investigation procedures, or those that have been formally adopted from the MTA, and which have been submitted to the FTA. MDOT shall notify the MTA of its intent to conduct an incident investigation within two (2) hours of being notified of the incident. MDOT’s decision to conduct an accident/incident notification does not preclude the MTA from conducting its own independent investigation.

When MDOT has authorized the MTA to conduct an accident/incident investigation on its behalf, MDOT shall formally review and adopt the final Accident/Incident Report that is submitted. If MDOT does not concur with the findings of the MTA final Accident/Incident Report they must formally transmit its dissent to the findings and work with the MTA to resolve the issues. If MDOT does not accept the MTA final report it must conduct its own investigation, or task a contractor to conduct an investigation on its behalf. The MTA will provide MDOT with investigation status reports as MDOT deems appropriate.

The MTA investigates all significant accidents/incidents pursuant to the MTA Accident/Incident Investigation Procedure and provides a Preliminary Incident/Hazardous Condition Fact Report to MDOT no later than 72 hours (or as mandated by MDOT) from the time of the accident/incident. An Incident/Hazardous Condition Fact Final Report will be submitted within the 30-day requirement. However, if more time is needed, MTA will submit a status a monthly report which shall include:

 Minutes of any meeting held by an MTA ad hoc reportable event investigation committee or contractor  Disclosure of any immediate corrective actions MTA has planned or completed  Principal issues or items currently being evaluated  Overall progress and status of the investigation.

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To provide MDOT with sufficient investigation data to support causal determinations and allow MDOT to adequately review and adopt the final investigation report, the Final Report or Comprehensive Incident Report will indicate when it is being submitted as the final report to be issued by the MTA, and attached as part of the Incident File will be related reports used in the investigation such as inspection reports, supervisor reports, operator reports, police reports, photographic evidence, and, if not ruled out as a causal factor, a MTA-Substance Abuse Prevention Program Report to SSO. The MTA will provide MDOT a draft of the final report for review and comment prior to the formal release.

In the event that the NTSB investigates an incident, MDOT and MTA shall provide assistance as necessary.

10.6 ACCIDENT/INCIDENT INVESTIGATION REPORT

The Office of Safety, Quality Assurance, and Risk Management prepares and submits to the appropriate authorities, including the Administrator, a Preliminary Incident/Hazardous Condition Fact Report and if required, a detailed Comprehensive Report or AIB Report of the accident/incident investigation. The report may be preliminary or final, includes, but may not be limited to descriptions of the following:

 Physical Characteristics of the Scene. Physical characteristics include, but may not be limited to a description of vehicle measurements, vehicle condition, posted speed limits, damage to other vehicles or properties, extent of injuries/fatalities to personnel, passengers, or pedestrians, and/or location of landmarks. Photographs of the scene may also be taken depending upon the severity of the accident/incident.  Interview Findings. Interviews may be conducted with MTA personnel, passengers, witnesses, emergency responders, etc., depending on the extent of the accident/ incident. Typical questions asked during an interview may include asking for a description of what was witnessed, the sequence of events, what may have contributed to the accident/incident, or where the individual was located during the time of the accident/incident. Interview findings may also include information gathered from the Medical Examiner’s Office.  Sequence of Events. The sequence of events will define the time and date of the accident/incident, when emergency responders arrived to the scene, when applicable Federal, State, and local agencies were notified, when vehicles, equipment, or victims were removed from the scene and where they were taken, and/or at what time the accident/incident scene was released and normal revenue operations began.  Probable Cause(s) and Contributing Factors. The probable cause will describe the most likely cause of the accident/incident as well as the contributing factors to the accident/incident such as weather conditions at the time of accident/incident.

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 Conclusions. The conclusion should be a brief summary of the preceding information with a final classification of the accident/incident as being the result of operator error, pedestrian error, driver error, etc.  Recommendations and Corrective Actions. Based on the investigation findings, recommendations and corrective actions should be developed and assigned to the most applicable and responsible party for implementation. If necessary, a formal corrective action plan may be developed.  Document Control Number. A document control number must be assigned to all accident/incident investigation reports so that corrective actions that are developed as a result of the accident/incident can be tracked through fruition.

Incident/Hazardous Condition Reporting forms are subject to change to improve clarity and efficiency. Prior to implementing any updated forms, RSOA will have the opportunity to approve the new forms and attend System Safety Officer training on the new forms.

10.7 POST ACCIDENT/INCIDENT INVESTIGATION ACTIVITIES

Since the primary reason for conducting an accident/incident investigation is to determine accident/incident causes and to prevent reoccurrences and thereby improving MTA operations and services, it is critical to ensure that approved corrective actions are not only implemented, but also monitored to ensure and measure their effectiveness. It is the responsibility of the department or mode in which the accident/incident took place, with support from the OSQARM, to fulfill this requirement.

All accident/incident information including, but not limited to investigation reports, witness statements, photographs, corrective action plans, and disciplinary action taken against an operator or MTA employee as a result of the accident/incident, is documented and maintained by the OSQARM and the applicable department or mode in which the accident/incident took place. All final reports are placed into Project Wise. All accident/incident investigation findings including root causes and hazards identified during the investigation are linked and fully evaluated and managed through the MTA’s Hazard Management Program.

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10.8 GENERAL RESPONSIBILITIES

General responsibilities of personnel and departments with respect to accident/incident reporting and investigation are provided as follows:

1. It is the responsibility of all personnel and departments to assist in all accident/incident investigation efforts as deemed necessary by management. 2. It is the responsibility of the department involved with the accident/incident to aid in the development and implementation of corrective action plans and to monitor and document the success of the corrective actions. 3. It is the responsibility of department management, the OSQARM, and MTA Transit Police to prepare and disseminate the appropriate reports as required by Federal, State and local regulations and established procedures. 4. It is the responsibility of department managers to disseminate investigation findings, conclusions, and recommendations to employees and contractors under their supervision to help to ensure reoccurrences do not occur. 5. Based on investigation findings, it is the responsibility of the MTA Administrator to order MTA-wide action be taken as warranted to address identified hazards and prevent reoccurrences. 6. It is the responsibility of department managers and the OSQARM to maintain documentation of investigation findings, conclusions, and recommendations, and the status of corrective actions taken in response to the investigation findings. 7. It is the responsibility of the OSQARM and MTA Transit Police (when applicable) to provide completed accident/incident investigation reports to MDOT for MTA’s Metro Rail and Light Rail operations. The reports must include corrective actions developed to resolve hazards revealed as a result of the investigation, responsible parties, and dates for closing the corrective action. It is the responsibility of the MTA Administrator to provide and allocate resources to thoroughly investigate the cause of accidents/incidents to assure events are properly investigated in efforts to prevent reoccurrence.

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11.0 EMERGENCY MANAGEMENT

Effective emergency preparedness, response, coordination, and training are essential elements to minimizing losses during the occurrence of an emergency or disastrous event. The overall objective of emergency preparedness and planning is to ensure fast and efficient response to emergencies or disasters in a manner that minimizes risk to the safety and health of passengers, employees, and emergency response personnel as well as unnecessary property loss.

In order to meet this objective, the MTA has written comprehensive emergency preparedness operations plans (EPOPs) for the MTA as a whole, and each of its modal operations (i.e., Metro Rail, Light Rail, MARC, Bus, and Mobility), this plan also includes the involvement of many offices that provide support functions such as MTA Media Relations, Police, Safety, Engineering, HR, and Procurement offices. These plans establish the roles and responsibilities to be carried out by MTA personnel, as well as by various emergency response agencies during an emergency or disastrous event. The EPOPs are supplemented by the comprehensive SEPP, SOPs, EOPs, and the emergency operating rules used by each mode. Similar procedures exist for MTA’s Bus, Light Rail, and Paratransit Operations, and should be referenced here to gain a complete understanding of MTA's responsibilities and policies regarding emergency preparedness, response, coordination, and training. The following sections summarize key components of MTA’s Emergency Management Program.

11.1 PRIMARY POLICIES

During emergencies and disasters it is the policy of the MTA to:

 Provide the most effective and timely response to any emergency or disaster to ensure the safety of the general public, passengers, and employees.  Provide for the immediate needs of individuals involved in the emergency or disaster and ensure that all passengers, bystanders, and employees receive the appropriate care and treatment.  Ensure that the highest practical level of service for all passengers is maintained by providing alternate or temporary service while striving to restore normal service and equipment.  Coordinate with Federal, State, and local authorities to make available additional or alternative transit service as deemed necessary to support response efforts of these authorities. This response will be consistent with the federally-initiated National Incident Management System (NIMS) and Incident Command System (ICS) adopted by Federal, State, and local agencies.

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 Ensure that customers, the public, and the media are presented with timely, accurate, and easily understandable information including information regarding service changes, disruptions, or re-routing.  Ensure protection and preservation of MTA assets.  Coordinate debris removal and clean-up activities with the appropriate local, State, and Federal agencies. The Maryland Department of the Environment or the Environmental Protection Agency (EPA) shall be contacted for incidents resulting in environmental impacts.  Conduct incident damage assessments to determine the resources necessary for recovery and the services that can be restored.  Assist in any subsequent accident/incident investigation process conducted by Federal, State, or local authorities or agencies with regulatory authority including the NTSB, the FRA, the FTA, the TSA, the FBI, MDOT, or other appropriate agencies.  Document and maintain records of all disasters or emergencies.

11.2 AUTHORITY OF MTA

Through MDOT, the MTA has management and administrative authority of all transit and commuter transportation under its control and is responsible for the implementation of safety, security, and emergency preparedness requirements. The MTA retains the authority to adjust services as required to maintain operations and to support response efforts during local, State, and Federal emergencies or disasters. This includes internal mobilization of personnel, resources, and additional services as deemed necessary by the MTA Administrator or as directed by the State.

During an emergency or disaster involving MTA properties, personnel, and/or passengers, all personnel located at the scene of the emergency are first under the authority of the Incident Commander (Fire Chief, Police, Emergency Medical Services, etc.) and then under the authority of the Modal Manager of Operations for the respective mode in which the event is taking place or their respective supervisor. These authorities will manage the incident consistent with NIMS/ICS.

11.2.1 Scope of Authority

The CC for each mode is in charge of all operational aspects of the mode during emergencies and disasters. If an emergency or disaster occurs that affects more than one mode or the MTA in its entirety, the CCs of each mode work jointly, with direction received from the Administrator and the Deputy Administrator, to function in coordination with the MTA Emergency Operations Center (EOC). Absolute authority for all vehicle, equipment, and personnel movements within the operating systems of each of the modes, including movements along tracks, remains with the on-duty CC personnel from each mode. All other individuals or parties not located at the

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scene of the emergency or disaster, but affected by an emergency involving MTA equipment, vehicles, facilities, other properties, personnel, and/or passengers, are under the authority and direction of their respective Modal CC or Supervisor.

11.2.2 Transition of Authority

Per the applicable interagency agreement, the MTA On-Scene Coordinator notifies the appropriate Modal CC and/or the Deputy Administrator that an emergency or disaster scene has been released from the MTA's jurisdiction and that the responding emergency response agency (Fire, Police, Emergency Medical Services, etc.) has taken control of rescue efforts. The scene is returned to MTA’s control once response, rescue, and investigation activities have concluded, consistent with NIMS/ICS.

11.2.3 Preparedness

The MTA prepares for emergencies and disasters by establishing objectives, procedures, and resources for future emergency response efforts. This is done in part through this plan as well as through the SEPP, EPOPs, SOPs, and EOPs of each mode. Each mode has a Continuity of Operations Plan (COOP) that allows for continued operations in the event of an emergency or significant event that would disrupt normal operations. While these documents may vary depending on the transportation mode for which they were developed and the type of event for which they have been written, all incorporate and address methods for event assessment, notification procedures, hazard control and incident scene security, and evacuation and emergency rescue assistance. These documents are reviewed annually and updated every 3 years or if an emergency event occurs that identifies a need for a change as well as after any emergency response effort in which they were used.

The MTA further prepares for emergencies and disasters through frequent and proper training of personnel and by conducting tabletop and functional exercises, emergency drills and simulations, and individual unit drills. OSQARM or MTA Police, in cooperation with each Modal Manager and local emergency response agencies, has implemented a program for exercise drills and simulations. These activities involve "in-the-field" full-scale mock emergencies as well as tabletop drills and exercises. The MTA will strive to conduct exercises consistent with the Homeland Security Exercise and Evaluation Program (HSEEP) guidelines established by FEMA.

Emergency simulations differ from other exercises and drills in that they involve utilizing actual railway, trains, equipment, facilities, and personnel together to form a "full-scale" mock emergency. The purpose of these simulations is to demonstrate that personnel understand and carry out their individual roles and responsibilities during an emergency and are familiar with the equipment and layout. These simulations are typically conducted once per year and often involve more than one mode.

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Discussion based exercises such as tabletop drills are conducted at least once per year to prepare MTA personnel and participating agencies’ personnel for emergencies. These exercises involve presenting various emergency situations to teams of selected personnel from MTA as well as other applicable agencies with the purpose of allowing the teams to discuss the appropriate steps involved in resolving the accident/incident. The purpose of these drills is to ensure everyone understands their roles and responsibilities during an emergency and to check that procedures are up to date with accurate information.

Functional exercises such as full-scale exercises, and emergency drills are conducted at least once per year by the individual MTA modes. The purpose of these drills is to assure that individuals clearly understand what steps they are required to perform during an emergency. The drills also give the MTA the opportunity to further train employees on appropriate response activities. Results of these drills will be fed back into the Tabletop Drills for modifications to response activities, if necessary. Typical drills may include operators assisting passengers in de-boarding; MTA Police crowd control during an emergency; and CC personnel responding to Operator-initiated emergency call-ins. These drills may also include personnel from external law enforcement agencies.

The execution of these activities functions as part of MTA’s Internal Safety Review Process and serves to evaluate the emergency response capabilities and procedures of all involved parties. Likely scenarios are acted out to demonstrate and train MTA personnel and emergency response personnel. They are also conducted to ensure all personnel and emergency response personnel are aware of their individual roles and responsibilities. After action reports are prepared to capture lessons learned and any corrective actions that need to be implemented upon completion of full-scale exercises and emergency drills. Findings generated through these activities are documented, and corrective actions are developed and tracked through completion.

11.2.4 Response

The response phase of emergency management puts the planned emergency activities, responsibilities, and agreements into effect. EPOPs, EOPs, SOPs, and Interagency agreements (as provided through Maryland State Law) are currently in place and have been written to ensure that when an emergency or disaster occurs, MTA departments and first response agencies and organizations will break down their areas of responsibility into manageable units, assess what has happened, what can be done, and what is needed. This information is communicated to all necessary parties and sent by whatever means available to the Administrator. Response efforts focus on the preservation of lives concurrent with incident stabilization activities. These activities are conducted consistent with NIMS/ICS and will often require teamwork with other State and local emergency response agencies.

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To ensure optimum response is provided, a Crisis Management Team may be activated to assist in coordinating emergency response activities. If activated, the team consists of the Chief of Transit Police (or his/her designee), in conjunction with the Chief Safety Officer-OSQARM (or his/her designee), and the Deputy Administrator of Transit Operations (or his/her designee). The Crisis Management Team takes action within two (2) hours of notification. The Crisis Management Team's primary mission is to ensure that necessary communication and aid is provided to emergency response personnel, passengers, agencies, and the public during an emergency or disaster. At a minimum, the Crisis Management Team includes the Manager of the involved modal unit, Field Supervision from the involved modal unit, and the Deputy Administrator, or his/her designee. Other officials that may serve on the team depending on the severity of the event include:

 Transit Police  System Safety Officers  Superintendents of Transportation  Superintendents of Maintenance  Modal and Zone Managers  Director, Office of Transit Communications  Director, Office of Customer Information  Emergency response representatives  Internal and external technical specialists (if appropriate).

11.2.5 Recovery

The recovery phase of emergency management includes the restoration of normal services and conditions and the assessment and documentation of emergency response operations. Depending on the nature and severity of the event and its aftermath, restoration of normal services and conditions are dependent upon other recovery activities.

11.2.6 Notification

It is the responsibility of all MTA personnel to understand the requirements for proper notification when an emergency or disaster occurs. To minimize and control the threat to health, life, and property, it is essential that all appropriate parties be notified as quickly as possible to ensure a timely response to the disaster or emergency.

Emergencies and disasters affecting the MTA can be both internal, such as in the case of a vehicle fire or passenger injury, and external, such as in the case of a natural disaster or mass evacuation of population centers such as the city of Baltimore. Likewise, the declaration of emergencies and disasters can be both internal and external. Internal declarations most frequently occur at the modal or operational level and typically follow a bottom to top notification process where the initial assessment and declaration of an emergency or disaster is made by a

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vehicle operator or other employee(s). These individuals notify and communicate all necessary information pertaining to the emergency event to their CC or Supervisor, which in turn notifies the appropriate departments, personnel, emergency response agencies, and upper management including the Administrator.

External declarations come from an outside party such as MDOT, Maryland Emergency Management Agency (MEMA), Federal Emergency Management Agency (FEMA), the Governor’s office, etc. This type of declaration typically results in a top to bottom notification process, during which the MTA Administrator and OSQARM receive notification from an outside agency or party that a disaster or emergency event has occurred. The Administrator then coordinates with the Deputy Administrator, and other appropriate managers regarding the role the MTA will play in the response. The Deputy Administrator provides the CCs with an initial report, followed by hourly updates, regarding the event and any changing conditions.

When the determination is made that an emergency exists, all MTA employees adhere to the guidelines established in current operating rules and procedures and EPOPs. In the event that guidance and instruction from the appropriate parties is not available, employees are expected to follow the established chain of authority and apply sound judgment. The MTA has acquired Federal Government Emergency Telecommunications Service Cards (GETS cards) for key management personnel to have the ability to communicate during regional emergencies.

11.2.7 Interagency Agreements

Interagency agreements are necessary to ensure that all organizations understand their roles and responsibilities during disasters and emergencies. Although interagency agreements exist through Maryland State Law, various departments of the MTA have prepared and maintain interagency agreements between applicable organizations (e.g., MTA, local, county, and State police departments, fire departments, EMS, etc.). These agreements:

 Identify the roles and responsibilities of each organization  Identify the appropriate chain of authority  Identify the necessary contact information.

In addition to preparing these agreements, the OSQARM conducts annual reviews to ensure this information remains accurate and up to date.

11.2.8 Training of Personnel

MTA Emergency Management Training is conducted through drills, simulations, and tabletop exercises, developed by the OSQARM or MTA Police, and the Office of Transit Operations. Emergency response procedures are distributed to MTA personnel and other stakeholders as part of the training program and by departmental supervision based on the employee’s scope of

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responsibility. Select MTA staff must also attend training courses presented by the Transportation Safety Institute (TSI), Department of Homeland Security (DHS), and other industry organizations. The training includes training MTA personnel, non-MTA personnel, Accident/Incident Stabilization Training, and Return-to-Normal Operations Training. The MTA also provides resources for external industry training as necessary including Fire, Police, NIMS, EMS, government sponsored, and professional organization training.

Emergency management training for MTA personnel includes:

 Operating Territory Familiarization (i.e., types of operating environments and the hazards that can be encountered with each)  Communications Training including internal communications as well as external communications between other transit personnel, emergency response units, and the news media  Command Post Operations including the organization and personnel roles and responsibilities (as stated in EOPs)  Situational Awareness including the procedures to be taken during different types of emergencies or disasters (as stated in EOPs)  Coordination of Functions including personnel responsibilities during the event (as stated in EOPs)  Power Removal Procedures (as stated in EOPs and SOPs)  Equipment Familiarization including instruction concerning the location, function, and operation of on-board emergency equipment  Emergency Access/Egress (i.e., passenger and personnel evacuation)  Updates to Passengers, Customers, and Media  NIMS/ICS (for example, IS-100 for frontline responders, ICS-200 for supervisors, ICS- 300 for managers, etc.).

Emergency management training for non-MTA personnel (local police agencies, fire departments, etc.) includes:

 Operating Territory Familiarization (i.e., types of operating environments and the hazards that can be encountered with each)  Communications Training including communications between the CC and emergency response agencies  Command Post Operations (organizational and personnel roles and responsibilities)  Situational Awareness (i.e., the procedures to be taken during different types of emergencies or disasters)

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 Coordination of Functions (i.e., personnel responsibilities during the event)  Power Removal Procedures  Equipment Familiarization including instruction concerning the location, function, and operation of on-board emergency equipment  Emergency Access/Egress (i.e., passenger and personnel evacuation).  NIMS/ICS (for example, IS-100 for frontline responders, ICS-200 for supervisors, ICS-300 for managers, etc.).

On-the-job training for accident/incident stabilization and “return-to-normal” operations (conducted by Supervisors) includes:

 Emergency Evacuation  Re-routing of Service  Passenger and Media Updates  Testing of Systems Affected by the Event  Restoring Operations to Schedule.

11.3 GENERAL RESPONSIBILITIES

General responsibilities of personnel and departments with respect to emergency management are provided as follows:

1. It is the responsibility of all MTA personnel as directed by their department head, to obtain the appropriate emergency preparedness, response, and coordination training necessary for their job classifications. 2. It is the responsibility of each department head to ensure that all employees are familiar with emergency procedures, especially those pertaining to evacuations. 3. It is the responsibility of all personnel to follow the established emergency plans and procedures during emergencies. 4. It is the responsibility of MTA Management to continue to work with local emergency response agencies to assure interagency agreements remain effective and mutually beneficial to all parties. 5. It is the responsibility of all personnel and departments, as directed by the MTA Management, to participate in emergency drills and simulations. 6. It is the responsibility of the OSQARM to coordinate the processes that will ensure revisions and updates of the COOP and EPOP plans are accomplished in a timely manner.

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12.0 INTERNAL SAFETY REVIEWS

MTA’s Internal Safety Review Program is designed to measure the on-going effectiveness of MTA’s System Safety Program and to determine the extent to which departments, personnel and contractors are fulfilling their responsibilities under the Program. The following provides further program information and a detailed description of MTA’s safety review processes.

12.1 INTERNAL SAFETY REVIEW ELEMENTS

It is the objective of the Internal Safety Review Program to verify on an on-going basis that safety processes have been developed and implemented in accordance with MTA’s System Safety Program and this SSPP throughout MTA’s operations and services. It is also the objective of MTA’s Internal Safety Review Program, to assess the effectiveness of the safety processes; to identify process deficiencies, potential hazards and system risks; to verify that prior corrective actions are being tracked for closure and to evaluate their effectiveness; and to recommend system safety improvements. All MTA operations including MARC, Light Rail, Metro Rail, Bus, Paratransit, and contractor-provided services (i.e., Commuter Bus and Mobility) are included in the program. The program has been developed in accordance with the safety elements that are specified in 49 CFR Part 659. This section encompasses the review and evaluation of the following elements:

1. System Safety Policy Statement – entails annual review of the System Safety Policy Statement to assure consistency with the most current MTA practices and management objectives. The policy statement must describe the authority that establishes the System Safety Program and SSPP and must be signed by the MTA Administrator. 2. System Safety Program Purpose, Goals, and Objectives – entails an annual review of the SSPP to ensure the purpose of the SSPP is defined and is consistent with the most current MTA management goals and objectives. Goals must be identified to ensure that the SSPP fulfills its purpose. Objectives must be identified to monitor and assess the achievement of goals. Stated management responsibilities must also be identified. 3. Management Structure – entails an annual review of the SSPP to ensure it presents the most current management and organizational structure, including organizational charts, history and scope of services, physical characteristics, and operations and maintenance. This also includes a review of stated safety functions and how they are integrated into throughout MTA’s operations and services. 4. SSPP Plan Review and Modification – entails an annual review of the SSPP to ensure the SSPP meets the annual review requirements of 49 CFR Part 659, and review of the processes used to control changes to the SSPP, including the departments and personnel responsible for performing and approving the SSPP. This also includes an evaluation of MTA’s processes for coordinating with MDOT regarding SSPP modification.

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5. Plan Implementation – entails a review of the activities conducted by the MTA to implement and administer the System Safety Program. This includes a review of all tasks performed by position and management accountability to implement and administer the System Safety Program. 6. Hazard Management Program – entails thorough review of MTA’s process for identifying, evaluating, controlling, and tracking hazards and risks including the development and management of corrective action plans and their status. This also entails the evaluation of processes used to implement the hazard management program throughout MTA’s operations and services. 7. System Modification Review and Approval Process – includes the review of processes used to ensure that safety concerns and hazards are addressed in modifications to existing systems, vehicles, and equipment, which do not require formal safety and security certification, but which may have safety impacts. This includes early planning processes of design, construction, pre-revenue testing, operations, and maintenance to ensure safety considerations are made. 8. Safety and Security Certification – includes program development and administration for New Starts and subsequent major projects to extend, rehabilitate, or modify existing systems, or to replace vehicles and equipment applicable MTA projects to ensure safety concerns and hazards are adequately addressed prior to the initiation of passenger operations. 9. Safety Data Acquisition and Analysis – includes evaluation of the processes used to collect and analyze safety related data and the processes used to determine trends as they relate to system safety. 10. Accident/Incident Reporting and Investigation – includes evaluation of MTA’s processes for notifying outside agencies including MDOT, NTSB, FTA, FRA, and OSHA, as well as processes for identifying accident/incident causes, developing and implementing corrective actions, and coordinating corrective actions with other departments and outside agencies such as MDOT. 11. Emergency Management – includes annual review of emergency plans and procedures to ensure applicability with changes to MTA’s operations and services, social behavior, and technologies, as well as emergency response agency implications. 12. Internal Safety Reviews – entails review of the internal safety review process to ensure all 21 SSPP elements are reviewed through an established review cycle. The review includes an evaluation of practices used to develop checklists and perform internal safety reviews, document and track review findings, develop and document corrective actions, and assign responsible parties and schedules for addressing review findings. Coordination with MDOT is also evaluated for MTA’s Metro Rail and Light Rail operations.

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13. Rules/Procedures Reviews – includes review of MTA’s processes for reviewing operating and maintenance rules and procedures affecting safety to ensure they remain applicable and correct. 14. Facility and Equipment Inspections – includes identification of facilities and equipment subject to regular safety related inspections and testing, processes reporting, documenting and tracking deficiencies, hazards, and corrective actions. 15. Maintenance Audits/Inspections – includes identification of systems and facilities subject to a maintenance program, along with established maintenance cycles and required documentation of maintenance performed on these systems and facilities. This also includes inspection and audit of procedures and work practices to identify deficiencies, trends, and signs of sabotage, and the methods used to document and track deficiencies, hazards, and corrective actions. 16. Training and Certification Review/Audits – includes review of training and certification and/or re-certification policies, procedures and processes to ensure safety sensitive staff are fully qualified in all facets of their duties. 17. Configuration Management – includes review of MTA’s configuration management processes and verification of effectiveness. 18. Employee and Contractor Safety Program – includes the review MTA compliance with 29 CFR Parts 1910 and 1926; review of safety notices and programs to ensure consistency with MTA management goals and objectives; and the review of contractor safety program elements including compliance with Federal, State, and MTA requirements; and review of documentation pertaining to employee drug and alcohol programs, training records, and employee qualifications. 19. Hazardous Materials Program – includes the review of hazard communication programs, chemical storage, MSDS reviews, container labeling, etc. 20. Drug and Alcohol Program – includes the review of drug and alcohol policies to ensure consistency with State, Federal and Local regulations and MTA management policies. 21. Procurement – includes the review of MTA’s procurement processes to ensure safety principles are included to prevent the introduction of unsafe equipment and materials into MTA’s operations and services.

12.2 INTERNAL SAFETY REVIEW PROGRAM OVERSIGHT AND ADMINISTRATION

OSQARM, while fully involved in all aspects of MTA’s operations and services, serves as independent resource for each of MTA’s modal operations, maintenance, management, and administrative divisions. Because of its independent nature, the OSQARM oversees the Internal Safety Review Program to assure each MTA department implements, continually administers, and measures the effectiveness of the program.

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The MTA Administrator has overall responsibility for ensuring compliance with the program. All personnel are responsible and accountable for supporting and participating in the Internal Safety Review Program as deemed necessary by the OSQARM and/or the MTA Administrator.

The Internal Safety Review Program is administered in three ways – through formal internal safety reviews preformed to meet RSOA and FTA requirements; through informal operational reviews performed in conjunction with MTA’s day-to-day activities; and, through the OSQARM’s close and direct participation in the APTA Bus, Rail, and Commuter Rail Safety Management Programs and related APTA triennial reviews.

12.2.1 Internal Safety Reviews

MTA’s internal safety reviews entail an annual review of one-third of the 21 required system safety program elements, executed each year, for three years. At the end of the three-year cycle, after all safety program elements have been reviewed, the process is completed and the cycle begins anew the following year. Formal Internal Safety Review schedules are created by the OSQARM and the actual review dates are coordinated with the department under review.

The MTA follows the Internal Safety Review Procedure, provided in Appendix B of this plan, to perform these reviews. This procedure documents and describes MTA’s Internal Safety Review process. This includes providing requested documentation in a timely manner. MTA departs have 15 calendar days to respond back with proper requested documentation for internal safety reviews. Formal checklists are created to support the review process and are provide to RSOA for MTA’s Metro Rail and Light Rail operations at least thirty days before the internal safety review is performed. The reviews may incorporate; preventive maintenance inspections, general inspections, industrial hygiene surveys, environmental surveys, safety Inspections, and reviews of the safety policies and procedures.

The results of each internal review/audit are provided in an Internal Safety Review Report that lists a summary of the findings, finding details, recommendations to correct open items, and an initial hazard analysis. Open findings will be documented in MTA’s Corrective Action Monitoring Log, where all findings, recommendations, corrective actions, responsible departments and personnel, estimated closure dates, and status information are also maintained. For each hazard and deficiency identified a hazard risk assessment value is determined so the hazards and deficiencies can be prioritized for closure.

The MTA submits an annual report to RSOA for its Metro Rail and Light Rail operations, documenting the internal safety review activities and the status of subsequent findings and corrective actions performed during the year. The annual report is submitted with a formal letter of certification signed by the MTA Administrator indicating MTA’s compliance with the SSPP no later than January 31 of each year. If this certification cannot be made, the MTA Administrator identifies what actions will be taken to achieve compliance.

In addition to MTA’s internal safety reviews, MTA’s system safety program is audited by APTA and MDOT once every three years. At the conclusion of these reviews, a formal report is submitted to the MTA Administrator and Chief Safety Officer-OSQARM no later than 30 working

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days following the date of the outbriefing. The MTA Administrator is responsible for preparing a response to each recommendation and submitting a written reply to MDOT no later than 45 working days following receipt of the report. If the findings cannot be resolved prior to submitting MTA’s response, the MTA must develop a corrective action plan for each outstanding item. The corrective action plan must include the finding, noted by number and specific narrative, the proposed resolution of each finding, as well as interim methods to mitigate risk, the individual responsible for resolving the finding, and the estimated date of closure.

12.2.2 Internal Safety Review Schedule

The Internal Safety Review Schedule is structured to comprise 21 internal safety reviews with each correlating to a specific element of the Internal Safety Review Program. As stated in Section 12.2.1, one third of the elements are covered each year over a 3-year period, after which the cycle will restart again. The 3-year schedule is submitted to MDOT in accordance with the requirements of the MDOT RSOPS. At a minimum, OSQARM submits an annual update of the Internal Safety Review Schedule to MDOT by January 31 of each year as part of the Internal Safety Review Report. OSQARM will issue the schedule in January to those MTA departments scheduled for a review during that year. OSQARM will give 30 days notice to each department detailing the specific dates and times of the internal safety review along with a request for specific documentation to be evaluated during the review. Departments/Modes must have all requested documents submitted to the MTA reviewer(s) within fourteen (14) calendar days of the date of the request unless otherwise specified.

12.2.3 Daily Operational Reviews

MTA also evaluates the required elements of the system safety program during normal day-to- day operations and maintenance of MTA’s systems. Safety Officers for each mode actively participate in MTA’s modal operations, serving as a general resource for all other MTA departments, and performing on-going evaluations of each department’s administration of and compliance with the System Safety Program. For example, emergency drills involving MTA’s Metro operations are performed annually. Like all emergency drills, they are designed to evaluate current emergency operating procedures and response capabilities. The findings generated through drill activities are tied into the internal safety review process as the serve as a direct evaluation of MTA’s emergency management program.

Similarly, internal safety review program information is gained through other day-to-day activities such as performing facility and equipment inspections, evaluating proposed system changes and modifications, reviewing bulletins, special orders, and revisions to operating rules and procedures, and performing ride checks of the system.

All hazards and program deficiencies identified during these day-to-day activities are evaluated per MTA’s hazard management process, documented, and tracked as necessary via the MTA Corrective Action Monitoring Log. In many cases, hazards and program deficiencies identified during these daily activities are resolved through standard work processes. If a hazard or deficiency is identified, modal and departmental supervision is notified and the appropriate

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corrective actions are taken. This may include issuing a standard work order to eliminate a hazard identified in a maintenance shop, or taking disciplinary action against an employee who failed to follow proper operating procedures.

12.3 GENERAL RESPONSIBILITIES

General responsibilities of personnel and departments with respect to the Internal Safety Review Program are provided as follows:

1. It is the responsibility of the OSQARM to oversee the performance of the Internal Safety Review Program and to document all findings, corrective actions, responsible parties, and deadlines for implementing corrective actions. 2. It is the responsibility of MTA Department Managers to document and submit to the OSQARM, corrective actions, responsible parties, and deadlines for implementing corrective actions developed in response to findings of Internal Safety Reviews, and to provide monthly updates and status reports. 3. It is the responsibility of the OSQARM to notify MDOT of any internal safety review to be performed on MTA’s Metro Rail or Light Rail systems at least 30 days in advance of the review and to provide MDOT with the procedures and checklists that will be used during the review. 4. It is the responsibility of the OSQARM to annually report to MDOT, for MTA’s Metro Rail and Light Rail operations, the internal reviews performed during the reporting year and the status of corrective actions developed as a result of the reviews. 5. It is the responsibility of all personnel and departments to support and cooperate with all Internal Safety Review activities as deemed necessary by the MTA Administrator or OSQARM, while acting on behalf of the MTA Administrator. 6. It is the responsibility of the department(s) being reviewed to provide all requested information to the review team in the specified time and manner. 7. It is the responsibility of the OSQARM, and management of the department being reviewed to track the resolution of hazards, deficiencies, and corrective actions identified as a result of the internal safety review process. 8. It is the responsibility of the OSQARM, and the management of the department being reviewed to maintain records of all review findings and resolutions.

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13.0 RULES AND PROCEDURES REVIEW

MTA’s operations and services are continually growing and changing in response to passenger and system needs. These changes directly impact how MTA operates and maintains its systems, equipment, and facilities. It is therefore essential that all operating and maintenance rules and procedures remain accurate and up-to-date so that the MTA can continue to provide safe and reliable service to MTA's customers. The following sections provide a description of the processes used to perform the annual review.

13.1 RULES AND PROCEDURES REVIEW PROCESS

Each of MTA’s modal operations is responsible for annually reviewing and revising, as needed, the operating and maintenance rules and procedures applicable to their departments. Any exceptions to the annual requirement for rules and procedures reviews must be approved by the MTA Administrator and may not exceed a review period of two years.

Rules and procedures are also reviewed and revised when accident/incident investigations determine the need for a change; in response to system modifications or changes including new system and equipment procurements; in response to changing Federal, State and local regulations and requirements; and as a result of findings generate through the Internal Safety Review Program or audits performed by external agencies such as MDOT, FTA, FRA. The reviews are performed to ensure existing safety requirements are met; to verify that proposed changes due not create new hazards or present additional risks to the system; to assure the effectiveness of existing safety controls will not be reduced; and, risks to personnel, passengers, contractors, equipment, facilities, and other properties or the environment will not be increased.

Rules and procedures subject to the review process include vehicle operator rulebooks and EOPs; vehicle, system, and facility maintenance manuals and procedures; training materials and programs; human resources policies and procedures; and safety programs, plans, and procedures.

Management and administration of the rules and procedures review process is the responsibility of the Director of Operations for each mode and the Director of Training. Because the annual rules and procedures review process functions as a portion of MTA’s Internal Safety Review Process and Hazard Management Process, the Chief Safety Officer-OSQARM is responsible for overseeing the process to assure compliance with the SSPP and RSOA requirements. Each modal Director of Operations coordinates the annual review process for his/her mode, and assigns staff as necessary to ensure the completion of the review. In some cases, a small committee consisting of supervisory personnel and front-line staff may be formed to facilitate and conduct the review.

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All modal rules and procedures are reviewed in their entirety each year to assure they remain consistent and up-to-date with the most recent operating and maintenance practices. Bulletins, special orders, and notices developed and implemented during the course of the year are also reviewed to determine if they should be incorporated directly into the rule book or into a formal procedure. The proper use of these publications and documents are captured in the Employee General Rules and Regulations: Operating Rules.

Hazard and program deficiencies identified through the review process are documented in MTA’s corrective action monitoring log, evaluated and prioritized per MTA’s Hazard Management Process, and tracked through closure. All proposed changes are documented and provided to the Director of Operations, his/her Deputy Directors, Supervisors, selected front line staff, and the modal System Safety Officer for review and concurrence. Proposed changes to MTA’s Metro Rail and Light Rail rules and procedures are also provided to RSOA for review and concurrence.

Once approved, the changes are formally incorporated into the rulebook and applicable procedures and re-issued as necessary to all applicable staff. If as a result of the review it is determined that no changes to operating rules or procedures are necessary, the Director of Operations for the respective mode is responsible for notifying the Chief Safety Officer- OSQARM and the MTA Administrator, in writing, that the annual rules and procedures review has been completed and no changes are required. The Chief Safety Officer-OSQARM is responsible for reporting this information to RSOA for MTA’s Metro Rail and Light Rail operations as part of fulfilling MTA’s annual reporting requirements.

13.2 ASSESSING IMPLEMENTATION OF RULES AND PROCEDURES

Once developed, it is important to assess if rules and procedures are being implemented as intended, throughout MTA’s operations and services. If not implemented, or if implemented incorrectly, the system hazards and risks the rules and procedures have been written to address, will remain unresolved and the rules and procedures review process will have failed. It is for this reason that the MTA supports and evaluates the implementation of new and revised rules and procedures through various techniques. These include employee training, and evaluation of work practices such as Supervisor ride checks, Supervisor inspections, and increased Management oversight.

It is the responsibility of the Director of Operations for each of MTA’s modal operations to ensure all new and revised rules and procedures are implemented and followed as intended. To facilitate this process, applicable employees are notified of all new rules and procedures via special orders, bulletins, and/or notices. If the new or revised rule and/or procedure is extensive, training programs are developed and provided to all applicable personnel including contractor staff. It is the responsibility of all employees and contractors to comply with new or revised rules and/or procedures as directed by management.

MTA – System Safety Program Plan 13 - 2 January 2017 Rev 10 The controlled version of this document is available on the MTA Intranet

Employee compliance with rules and procedures is measured through MTA’s Internal Safety Review Program, which includes work practice inspections, and Supervisor oversight of employee work practices. All hazards and deficiencies identified through this process are documented, evaluated, and prioritized in accordance with MTA’s Hazard Management Program. When necessary, disciplinary action is taken to ensure compliance with the rules and procedures. Supervision’s compliance and enforcement of established rules and procedures is also measured through this process.

13.3 GENERAL RESPONSIBILITIES

General responsibilities of personnel and departments with respect to the rules and procedures review process are provided as follows:

1. It is the responsibility of all employees to adhere to all established rules and procedures. 2. It is the responsibility of the Director of Operations for each of MTA’s modes to ensure an annual review of all operating and maintenance rules and procedures is performed. 3. It is the responsibility of the Director of Operations for each of MTA’s modes to evaluate proposed changes and/or modifications to operating and maintenance rules and procedures to determine safety implications of the proposed change. 4. It is the responsibility of the Director of Operations for each of MTA’s modes to ensure appropriate personnel and departments are included in the review process. 5. It is the responsibility of the Director of Operations for each of MTA’s modes to notify all appropriate personnel and departments when a change or modification has been made to an existing operating or maintenance rule or procedures. 6. It is the responsibility of the Director of Operations for each of MTA’s modes to actively enforce all rules and procedures through immediate and consistent disciplinary action. 7. It is the responsibility of the OSQARM and the MTA Administrator to oversee this process to ensure annual reviews of operating and maintenance rules and procedures are carried out and properly documented.

MTA – System Safety Program Plan 13 - 3 January 2017 Rev 10 The controlled version of this document is available on the MTA Intranet

14.0 FACILITIES AND EQUIPMENT INSPECTIONS

Inspections of facilities and equipment are necessary to ensure MTA remains capable of fulfilling its mission of providing safe, reliable, and efficient services to its passengers. Routine inspections of MTA’s facilities and equipment are performed by MTA’s operations and maintenance staff on a daily basis. OSQARM also performs general audits and inspections of the transit system. The following sections describe MTA’s facility and equipment inspection processes.

14.1 FACILITIES AND EQUIPMENT SUBJECT TO INSPECTION

The primary purpose of performing facility and equipment inspections is to identify hazards, program deficiencies, and system risks within MTA's operations and services. The inspection process functions as a component of MTA’s Internal Safety Review Program and is therefore directly linked to MTA’s Hazard Management Program. All findings are documented, evaluated, and prioritized for closure in accordance with the Hazard Management Program.

Routine facility and equipment inspections are performed during MTA’s daily operations by MTA’s operations, maintenance, and safety staff to assure MTA’s systems remain safe and reliable. All facilities and equipment owned and operated by the MTA are included in this process. This includes MTA operations, rolling stock, track, rights-of-way, power distribution systems, communications facilities and systems, equipment, stops, structures and facilities, stations and platforms, and signals owned or operated by the MTA. The inspections are conducted to identify and document unsafe or unhealthy conditions; to evaluate compliance with the System Safety Program and other applicable safety controls; and to ensure corrective actions are developed, implemented, and proven effective. The inspections are also performed to:

 Review training materials and records  Review SDS to ensure availability for all chemicals used at a location  Record all observed hazards and violations and develop recommendations and corrective actions for their elimination or control  Ensure departments have adequate emergency and safety related supplies.

Additionally these items fall und the System Maintenance Program:

14.1.1 Rail Car:

There are 14 functional systems on a LRV. They are car body, trucks, operator’s cab, high voltage/pantograph, propulsion, auxiliary power, controls, compressed air/brakes, coupler, passenger doors, lighting, air comfort (HVAC), communications and automatic train protection (ATP). Each of these has numerous components and subassemblies. In addition MTA checks/monitors the shops for hazardous materials. All shop equipment is also monitored for safety, functionality and calibration compliance. There are two Railcar shops.

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14.1.2 Catenary:

Day Shift Inspectors

Day Shift inspectors work along with the Catenary Department using a weekly OCS inspection schedule (assigned areas) for the (2) two inspection teams. The Light Rail System is broken down into 5 segments. On a weekly basis the entire system is inspected twice for a total of 10 preventative work orders per week. The inspection teams identify discrepancies and reduce them to Maximo corrective work orders at the completion of the day.

Night Shift Maintenance Crews

The corrective work orders are addressed by the night shift maintenance crews (block by block) as they work through the Light Rail System, unless an item requires a more urgent response, then a crew is dispatched to correct any issues that night. While working through each block the maintenance crews are able to give a hands on, close up inspection of each component. Furthermore, during these efforts the maintenance crews complete Maximo preventative work orders that are generated on semi and annual bases. Listed below are those items;  Section Insulators Semi - Inspection  Balance Weight Assemblies Semi - Inspection  OCS Disconnect Switches Annual Inspection

The inspection and maintenance is covered through the general block to block scrutiny by the crew. Maximo cannot handle a preventative work order for each component. Maximo only generates preventative work orders for the 3 assemblies / units above and that creates approximately 758 work orders annually in addition to the 520 work orders for the day shift walking inspections.

14.2 REGULAR INSPECTION AND TESTING

Equipment and vehicles are inspected and tested according to appropriate preventive maintenance schedules, industry standards, and/or manufacture recommendations. Inspections are also conducted as a result of accidents/incidents, employee or passenger complaints or notifications, or safety analyses and hazard reports. Rail stations are inspected weekly for both maintenance needs and to identify safety concerns that may present a hazard to MTA's passengers, personnel, contractors, equipment, facilities, properties, and/or the environment. Work orders are generated as necessary to resolve identified issues, and the responsible maintenance divisions or contractors are notified.

Facility Supervisors and Department Managers hold the primary responsibility for ensuring facility and equipment inspections are routinely performed according to established procedures and manufacturers’ recommendations. In addition, OSQARM may also perform detailed facility and equipment inspections on the equipment and facilities that the MTA owns or operates and/or review inspection procedures, checklists, findings, and corrective actions. Preventive maintenance records maintained by the operating department may also be inspected in order to identify hazards and to verify the accuracy of inspection and testing data and methods. Internal Safety Reviews are also performed on processes to ensure control or resolution of reported

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hazards as well as to ensure compliance with applicable local, State, and Federal regulations and MTA policies and procedures.

Maintenance employees and representatives from the OSQARM inspect each MTA facility, including stations, shops, offices and other locations. These inspections are conducted utilizing the facility safety inspection form. These inspections ensure that all safety appliances are properly placed, in good condition, and being used in accordance with MTA procedures and manufacturer recommendations. The use of written checklists helps to ensure inspections are conducted in a consistent manner and that all safety and security critical items are inspected. Written reports are prepared detailing inspection findings, corrective actions, responsible parties for implementing the corrective actions, and estimated closure dates. Follow-up inspections are conducted to ensure action was taken.

MARC monitors, audits, inspects, and documents the host railroad (Amtrak and CSXT) operations, including station and facility inspections, equipment inspections, ROW, track, signal and roadbed inspections, documentation, and maintenance. OSQARM also periodically evaluates these railroads and participates in various training exercises and drills.

Managers and supervisors are responsible for immediately notifying their employees of any hazard identified in the workplace and for taking action to eliminate and/or control these hazards. It is the responsibility of the department in which the hazard was identified to notify all other departments and personnel that may be effected by or exposed to the hazard. It is also the responsibility of the department in which the inspection took place to implement and monitor the success of proposed recommendations and corrective actions and follow the MTA Hazard Management process as outlined in Section 6 of this plan. Inspection results, reports, recommendations and corrective actions, and follow-up activities taken as a result of the inspection are documented and maintained in the Corrective Action Monitoring Log. Corrective actions are tracked to closure and are included in MTA’s annual report to RSOA for its Metro Rail and Light Rail operations.

14.3 Systems Technology

14.3.1 MTA Radio Shop

The MTA Radio Shop provides services for the MTA owned Land Mobile Radio (LMR) system used for routine day-to-day communications with all MTA systems. LMR delivers emergency communications that arise within the MTA system, giving unblocked instant communication to MTA operation dispatch and Transportation Police for all safety and security concerns in real time. The MTA has taken risk and power outage mitigation seriously within this LMR system design to provide a reliable communication path with maximum up time.

14.3.2 Radio Shop Roles and Responsibilities within the LMR system

The MTA Radio Shop is responsible for the availability and continual maintenance of the LMR radio system to include all electronic devices, power back-ups, and fire suppression systems at all radio equipment enclosures and facilities to insure reliable and robust communications. The Radio Shop is responsible to maintain the operation through preventive maintenance and immediate repair of any electronic device returning the LMR system to a fully operational state in the most expeditious fashion possible. This includes but is not limited to:

MTA – System Safety Program Plan 14 - 3 January 2017 Rev 10 The controlled version of this document is available on the MTA Intranet

1. Semi Annual Preventive Maintenance: All electronic equipment at the fixed facilities in support of the LMR system.

a. Quantar Repeaters, Microwave Radios, Tensr channel banks, Site Controllers, Uninterrupted Power Supplies, Fire Suppression Equipment, and Antenna Systems.

2. Semi Annual Preventive Maintenance: Vehicles equipped with a LMR subscriber mobile unit.

a. Buses, Police, Supervisors, Mobility Vans, Light Rail and METRO Trains

3. Semi Annual Preventive Maintenance: Handheld Devices.

a. Executives, Police, Maintenance, and Operations

4. All radio programming configurations for each and every radio that the MTA owns.

14.3.3 Synchronous Optical NETwork (SONET) Rings

MTA owns and operates five (5) redundant SONET rings that transport telephone traffic, METRO station connectivity, and the MTA enterprise network. These services are the main bandwidth users of the network.

14.4 CHECKLISTS

OSQARM develops and maintains checklists for those inspections carried out by Modal Safety Officers and other staff as assigned. These checklists are to be used by OSQARM personnel only and are meant for performing safety-related inspections of facilities and equipment. These checklists are a subordinate document to the SSPP. Checklists used by maintenance personnel are developed and managed within each respective mode.

14.5 GENERAL RESPONSIBILITIES

General responsibilities of personnel and departments with regards to facility and equipment inspections are provided as follows:

1. It is the responsibility of all Facility Supervisors and Department Managers to ensure facility and equipment inspections are performed on a routine basis as required by established procedures and manufacturers’ recommendations. 2. It is the responsibility of all Facility Supervisors and Department Managers to ensure all inspection findings are properly documented and evaluated to determine the impact of system safety and performance.

MTA – System Safety Program Plan 14 - 4 January 2017 Rev 10 The controlled version of this document is available on the MTA Intranet

3. It is the responsibility of all Facility Supervisors and Department Managers to coordinate the issuance of appropriate work orders to address inspection findings that have indicated a need for facility or equipment repair. 4. It is the responsibility of each Safety Officer to ensure facility and equipment inspection findings are integrated into the hazard management program. This includes assisting in the development of corrective actions for identified hazards and deficiencies, tracking the implementation of corrective actions, and performing follow-up activities to verify the effectiveness of corrective actions. 5. It is the responsibility of each Safety Officer to perform and document periodic inspections of work areas and equipment for their mode to identify unsafe and/or unhealthy conditions, to document all inspection findings, and to work with the appropriate Facility Supervisor and Department Manager to address inspection findings. 6. It is the responsibility of all personnel to immediately report all identified hazards to their appropriate direct supervision and the OSQARM, according to the appropriate chain of command, and to take immediate action to address the hazard to prevent injury or damage to employees, contractors, passengers, or equipment that may come into contact with the hazard before it is eliminated or controlled. 7. It is the responsibility of all Facility Supervisors and Department Managers to maintain records and other associated documentation of all inspection activities. 8. It is the responsibility of all Facility Supervisors and Department Managers to monitor the success and effectiveness of corrective actions and recommendations implemented to correct inspection findings. 9. It is the responsibility of the Safety Officer for MTA’s Metro Rail and Light Rail operations, to notify MDOT of all unacceptable hazards identified during facility and equipment inspections, and to report quarterly on the status of corrective actions taken to address identified hazards and program deficiencies.

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15.0 MAINTENANCE AUDITS AND INSPECTIONS

An effective maintenance program cannot only reduce the vehicle and equipment replacement costs associated with MTA operations and services, but it also aids in fulfilling MTA's mission of providing safe, reliable, and efficient service. Applying the Internal Safety Review Program and inspection processes to MTA's maintenance activities is critical in ensuring the effectiveness of the maintenance program.

15.1 GENERAL MAINTENANCE ACTIVITIES

The MTA maintenance program is based on preventive maintenance, non-scheduled maintenance, and campaigns to improve fleet safety and reliability. This includes MTA operations, rolling stock, track, rights-of-way, power distribution systems, communications facilities and systems, equipment, stops, structures and facilities, stations and platforms, and signals owned or operated by the MTA. Maintenance activities also include performing accident/incident and vandalism repairs, and warranty work. All maintenance work is performed in accordance with the applicable preventive maintenance schedules, procedures, industry standards, and/or manufacture recommendations. Maintenance procedures and manuals are maintained in each of the maintenance facilities for each of the MTA's modes and within ProjectWise. These procedures and manuals can be found in the respective modal links listed in Section 13 of this plan. The following information briefly summarizes key standards and procedures related to maintenance safety compliance assessment and inspection processes and repairs.

 Pre-trip Inspections. It is the responsibility of all vehicle operators to perform pre-trip inspections of their vehicles prior to entering revenue service. All vehicle defects identified by the operator are noted on the applicable pre-trip inspection card and reported to maintenance personnel. If a vehicle has a defect or is damaged to the extent that the operator feels that it is unsafe for service, he/she notifies the applicable CC and maintenance department and the vehicle is repaired or replaced. If vehicles are safe for service they are operated and all non-safety/security related defects will be corrected as soon as possible. Maintenance personnel maintain a record of all operator defect reports.  Vehicle Accident/Incident and Vandalism Repairs. All accidents/incidents involving vehicles are reported to the appropriate CC upon identification. Vehicles damaged as a result of an accident/incident or vandalism are removed from revenue service, evaluated by maintenance personnel, and repaired as soon as possible, depending upon the degree of damage.

MTA – System Safety Program Plan 15 - 1 January 2017 Rev 10 The controlled version of this document is available on the MTA Intranet

 Preventive Maintenance. Scheduled maintenance activities include, but may not be limited to preventive maintenance programs tied to vehicle mileage, manufacturer recommendations, or industry standards. Preventive maintenance programs have been established for all MTA vehicles and the programs attempt to identify and eliminate potential problems and hazards prior to the need for performing corrective maintenance, which can often be much more costly.

Supervisors monitor maintenance activities and are responsible for ensuring that required inspections and repairs are conducted according to schedules and procedures. Supervisors are also responsible for ensuring that all repairs are made and documented in accordance with local, State, and Federal regulations.

15.1.1 SCADA

The SCADA system operates over a fiber optic Communications Infrastructure Backbone (CIB). The backbone has a primary and secondary path/link that is controlled and monitored from the Operations Control Center (OCC) and from the Backup Operation Control Center (BOCC). A dual backbone topology yields a network that is tolerant of a field switch failure. Each end- device are equipped with two Ethernet ports that are connected to different field switches. The connection to the Police Monitoring Facility (PMF) also has a level of control and/or monitoring to assure full integration. SCADA undergoes annual preventive maintenance and checks of Fire Alarm management and Control Panel, Fiber Distribution Panel, Elevator, Escalator and Pump systems.

15.2 SAFETY COMPLIANCE ASSESSMENT AND INSPECTION PROCESSES

Periodic quality inspections of maintenance facilities, equipment, and work practices are also conducted by maintenance technicians and supervisors as well as by representatives from the OSQARM. The OSQARM conducts facility safety assessments and inspections on a monthly basis. These inspections are conducted utilizing the facility safety inspection form OSQARM also reviews the maintenance procedures, policies, and practices during the Internal Safety Review Program.

Both the quality checks and Internal Safety Reviews include conducting:

 Interviews and discussions with personnel  Reviews of procedures and records  First hand observations of operations and maintenance activities  Visual examinations and measurements.

The information gathered when performing preventive and corrective maintenance as well as the information gathered through audits and inspections, is used to identify hazards and system

MTA – System Safety Program Plan 15 - 2 January 2017 Rev 10 The controlled version of this document is available on the MTA Intranet

risks. The process is also used to perform failure analyses on systems, vehicles, equipment, and other components of MTA operations and services to identify trends, including those caused by design and material defects; improper installation or use of parts and equipment; operating environments and conditions; operator error; other systems, subsystems, or components; or the lack of required maintenance or testing. Once identified, the trends, hazards, and system risks can be analyzed according to MTA’s Hazard Management Program, and eliminated or controlled appropriately.

Corrective actions, including the use of different parts; making modifications to systems, vehicles, equipment, or other components; revising procedures, practices, and maintenance manuals; retraining employees and vehicle operators; or increasing testing practices and procedures, are developed and tracked to closure through MTA’s Corrective Action Monitoring Log and the MDOT SSO. Regardless of the corrective action taken, it is the responsibility of the department in which the hazard was identified, and its associated maintenance department to monitor the success and effectiveness of the action. Records are maintained in a standard format of all maintenance activities. Because maintenance audits and inspections function as part of MTA’s Internal Safety Review Program, the information gathered through this process is included in MTA’s annual report to RSOA for its Metro Rail and Light Rail operations.

15.3 CHECKLISTS

OSQARM develops and maintains checklists for those inspections carried out by Modal Safety Officers and other staff as assigned. These checklists are to be used by OSQARM personnel only and are meant for performing safety-related inspections of maintenance activities. These checklists are a subordinate document to the SSPP. Checklists used by maintenance personnel are developed and managed within each respective mode.

15.4 GENERAL RESPONSIBILITIES

General responsibilities of personnel and departments with respect to maintenance audits and inspections are provided as follows:

1. It is the responsibility of Maintenance Department Managers and Supervisors to assign qualified personnel to perform preventive maintenance inspections and audits and to oversee the inspection and audit process to assure and verify that it is completed correctly. 2. It is the responsibility of Maintenance Technicians and Supervisors assigned responsibility for performing preventive maintenance inspections and audits to complete the inspections and audits in accordance with the established procedures and schedules. 3. It is the responsibility of Maintenance Technicians and Supervisors assigned responsibility for performing preventive maintenance inspections and audits to notify their direct supervision and OSQARM, according to the appropriate chain of command,

MTA – System Safety Program Plan 15 - 3 January 2017 Rev 10 The controlled version of this document is available on the MTA Intranet

and to take immediate action to address all identified hazards. Timely reporting must be accomplished in order to prevent injury or damage to employees, contractors, passengers or equipment that may come into contact with the hazard before it is eliminated or controlled. 4. It is the responsibility of Maintenance Technicians and Supervisors assigned responsibility for performing preventive maintenance inspections and audits to document all inspection and audit findings. 5. It is the responsibility of all Maintenance Department Managers to coordinate the issuance of appropriate work orders to address inspection findings that have indicated a need for repair. 6. It is the responsibility of each System Safety Officer to oversee the maintenance inspection and audit program for their respective modes, and to participate the inspections and audits as directed by management, to verify and assure that the inspections and audits are being performed in accordance with established procedures and schedules. 7. It is the responsibility of each System Safety Officer to ensure maintenance audit and inspection findings are integrated into the Hazard Management Program. This includes assisting in the development of corrective actions for identified hazards and deficiencies, tracking the implementation of corrective actions, and performing follow-up activities to verify the effectiveness of corrective actions. 8. It is the responsibility of all personnel to perform periodic inspections of their work areas to identify unsafe and/or unhealthy conditions. 9. It is the responsibility of the OSQARM, to notify MDOT of all unacceptable hazards identified during inspections and audits of MTA’s Metro Rail and Light Rail operations, and to report quarterly on the status of corrective actions taken to address identified hazards and program deficiencies.

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16.0 EMPLOYEE AND CONTRACTOR TRAINING AND CERTIFICATION

Detailed training programs are necessary to ensure policies, procedures, and programs are followed accordingly. Formal training programs entailing in class activities, curriculums, training manuals, lesson plans, field exercises, drills, computer based training, written and video communications, and testing, have been established for vehicle operators, maintenance personnel, and front-line employees. Additionally, training programs have been developed to address safety topics and concerns, which may be faced by MTA employees during the performance of their daily duties. Categories of safety-related work requiring training and certification include, but are not limited to the following:

 New Employee Orientation and Recurring Training Programs . Roadway Worker Protection (RWP) Training . Hazard Communications Training . Personal Protective Equipment Training . Blood Borne Pathogens . Drug and Alcohol Abuse Policy . Hazard identification and resolution training . State or Federally mandated training . Injury and illness prevention training . First Aid and CPR Training . ADA Laws and Regulations Compliance . System Safety Program Training . Accident/Incident/Near Miss Reporting  Operator Training and Certification . Train & Bus Operator Rules and Procedures . Para transit Operator Rules and Procedures . Supervisor Training . RWP Training  Maintenance Training . Track Maintenance . Elevator and Escalator Maintenance . Rail Car Maintenance

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. Facility and Systems Maintenance . RWP Training  Safety Rules and Compliance Program . Safety Rules and Procedures Training  Security and Emergency Preparedness . Emergency Operating Procedure Training . Emergency Response Training . NIMS/ICS training  Contractor Training . RWP Training . Jobsite Safety Briefings

The training programs received by an employee are dependent on his/her job classification and the responsibilities of his/her position. The training programs may also include on-the-job training that is monitored by a supervisor or mentor. Training efforts are first started at the initial stages of employment and are continued periodically throughout an employee's career as necessary to maintain certifications and to ensure the employee is capable of performing his/her duties in a safe and efficient manner.

The criteria and goals for training, certification and re-certification of employees and contractors of the MTA are administered through MTA’s Training Policy and Procedures, the MTA Operations Transportation and Maintenance Training Department, MTA's Administrative services, as well as each of the MTA divisions. All training programs are properly documented, regularly reviewed and updated, and appropriately controlled through these system elements. OSQARM has the right and responsibility of reviewing and approving all safety-related training programs administered by the MTA. OSQARM regularly reviews training documentation to ensure it is properly maintained and that employees are receiving required training as specified in MTA’s Training Policy and Procedures.

Contractors in which the MTA has direct oversight responsibility are required to submit training and certification documentation as it pertains to the MTA Construction Safety Plan. These materials cover the contractor's areas of operation and are reviewed by the OSQARM, to ensure conformance with professional standards for performance-based instruction.

MARC requires that the operating and host railroads comply with all FRA regulations, including Emergency Order 20, which stipulates that railroads operating passenger service directly or over their territory have SSPPs that specify employee training in safety, such as Roadway Worker Protection. MARC employees do not have a separate safety rulebook and as such they receive training and are qualified regarding applicable Amtrak and CSXT rules.

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Records are maintained for all training provided by the MTA to its employees and contractors via the LMS database. At the completion of training, employees are required to sign formal attendance sheets verifying their participation in the training program. The training, certification and re-certification records that are available for review by MTA personnel, State, or Federal authorities, and include:

 Curriculum, classroom notes, lesson plans, written tests and practical exams  Pass/fail criteria for training and certification  Efficiency test results as applied to the rules  On-the-job training programs, apprenticeship and journeyman programs  Vendor training attended by contract employees.

16.1 TRAINING PROGRAM REVIEW AND REVISION

Training programs are reviewed and revised to ensure they meet or exceed all RSOA, Federal, State, local and SSPP requirements. They are also reviewed and revised to ensure they remain up-to-date with the most current MTA operations and services. This helps to ensure that safe and reliable service is continually and consistently provided to MTA customers. Training programs are reviewed:

 At the request of the MTA Administrator, MDOT, or by request of senior management personnel  When major system, equipment, or procedure changes, modifications, or procurements occur  When accident/incident investigation data suggests that training programs, or the lack thereof, may have contributed to the accident/incident.

OSQARM reviews all proposed changes or modifications to training programs and materials to evaluate the safety impacts that the change or modification will have on MTA’s operations. If necessary, the Director of Organizational Training and Development, in conjunction with the modal Directors and supporting departments, appoints a Training Review Committee to evaluate the proposed changes or modifications. The Training Review Committee is established under the authority of the Deputy Administrator and is comprised of:

 Senior management personnel of the affected department  A representative from the OSQARM  The Directors, Operations, Transportation, Maintenance, and Office of Service Quality  A representative from the Quality Assurance Department  Any other MTA employees, MDOT representatives, or consultants deemed necessary and qualified to provide appropriate guidance in the review and revision process.

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The Director of Organizational Training and Development chairs the committee or appoints a qualified person or member of the committee to serve as Co-chair. The committee chairperson establishes the committee meeting time and place, and notifies all other committee members in writing of all pertinent details.

Proposed training program changes and modifications are thoroughly evaluated to determine their safety impact, and the impacts the changes or modifications will have on other documents and programs (i.e., through the configuration management program). Once the proposed change or modification has been thoroughly evaluated, it is implemented. Upon implementation however, all applicable personnel and departments affected by the change are notified and retraining is schedule for all appropriate personnel as necessary. Records are maintained of all revisions made to training programs.

16.2 GENERAL RESPONSIBILITIES

General responsibilities of personnel and departments with respect to training and certification are provided as follows:

1. It is the responsibility of all Directors, Managers and Supervisors to ensure all employees and contractors under their supervision are adequately trained, certified, and qualified to perform their jobs prior to commencing work. This includes ensuring all employees and contractors are trained in general safety and health work practices and emergency procedures including emergency response, communication, and evacuation. 2. It is the responsibilities of all Managers to maintain training and re-training schedules for the employees and contractors under their supervision, and to periodically assess the training needs of employees and contractors to ensure they maintain the appropriate certifications and remain qualified to safely perform the requirements of their jobs. 3. It is the responsibility of the Training Department to develop and administer training programs that are current and consistent with MTA’s operations and services and management goals and objectives. 4. It is the responsibility of the Training Department to periodically review all training materials to ensure accuracy and to communicate training program changes and modifications to all necessary personnel and departments. 5. It is the responsibility of the Training Department to work with Department Managers and Supervisors and the OSQARM to periodically audit training courses to evaluate their effectiveness. 6. It is the responsibility of the Training Department to maintain records of all personnel and contractors’ training including employee and contractor identification (i.e., names, badge numbers, and payroll numbers etc.), training dates, instructor names, subjects addressed, training aids and materials used, materials distributed, test results, and retraining schedules.

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7. It is the responsibility of the OSQARM to perform internal safety reviews of the MTA Training Program at least once every three years in accordance with the requirements of 49 CFR Part 659. 8. It is the responsibility of the Training Department to maintain a folder hierarchy of training records for all rail employees in Projectwise.

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17.0 CONFIGURATION MANAGEMENT

Effective configuration management can help to ensure that all changes and modifications made to the systems, operations, facilities, equipment, or other properties as well as policies, procedures, and/or rules used during MTA operations and services are systematically planned, evaluated, approved by the appropriate parties, and documented. MTA's configuration management processes are described herein.

17.1 CONFIGURATION MANAGEMENT DESCRIPTION

Configuration management primarily involves the control of changes and modifications made to MTA documents. This process establishes a method for formally reviewing and approving proposed modifications and changes to documents to assure proposed modifications:

 Will be compliant with applicable State, Federal, and local regulations  Will be compatible with and consistent throughout all existing policies, procedures, and rules  Will not reduce the safety and hazard controls already in place on the system  Will not introduce new hazards to the system.

Examples of the types of documentation, which are evaluated as part of the configuration management process include policies, procedures, guidelines, rulebooks, training materials, drawings, schematics, as-builts, manuals, catalogues, bulletins, notices, general orders, pamphlets, information related to replacement parts and components, or other technical data. It is the responsibility of all personnel whose duties entail the authoring and/or revising of these documents to thoroughly evaluate proposed changes and modifications to these documents to ensure the changes or modifications meet the aforementioned requirements of the review process. If it is determined through this evaluation that the proposed change or modification that does not meet one or more of the four requirements, the change or modification cannot be made.

Careful documentation and dissemination of all proposed changes and modifications are also critical elements to an effective configuration management program. Once a change or modification has been thoroughly evaluated and made to a document, it is the responsibility of that document's authoring or controlling party to disseminate the revised document to the applicable personnel and departments. It is also the responsibility of the authoring or controlling party to notify the applicable personnel and departments of what other documents have been changed or must now be revised as a result of the change or modification.

Only the pages containing the change or modification require copy and distribution as long as a memo is attached detailing the pages that must be replaced within the document(s). Depending on the extent of the change or modification, such as in the case of a new rule or procedure,

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training may be required to ensure all personnel fully understand the change or modification as well as their responsibilities as they relate to the change or modification.

The configuration management activities of the MTA have not been assigned to a specific department within the MTA, but are instead carried out by each of MTA's departments. It is therefore the responsibility of all MTA departments to not only implement the configuration management practices detailed by this SSPP, but to also maintain up-to-date files or document libraries of all of the documents pertaining to the operation and services provided by the department. It is the responsibility of all personnel to remain cognizant and up to date regarding the rules, regulations, procedures, and/or policies related to their departments, their job classifications, and the MTA.

The configuration management processes and activities of the MTA are being developed and incorporated into the “ProjectWise” System. ProjectWise is a secure document management system that also offers managed secure web-based accessibility. This will meet the MTA Configuration Management requirements in a well-controlled and accessible manner upon full implementation. Refer to MTA-GP-04-01 for details of the MTA’s Configuration Management Process using ProjectWise.

17.2 GENERAL RESPONSIBILITIES

General responsibility of personnel and departments with respect to MTA’s configuration management practices are provided as follows:

1. It is the responsibility of Department Managers to thoroughly evaluate all proposed changes and modifications made to existing and new documents used by their departments. 2. It is the responsibility of Department Managers to ensure all applicable personnel and departments are notified of all changes and modifications made to existing documents as well as issuance of new documents. 3. It is the responsibility of all personnel to remain cognizant of rules, regulations, procedures, and policies governing the department, specific job classifications, and the MTA. 4. It is the responsibility of each Department to maintain accurate documentation, files, and document libraries of all documents pertaining to the operations and services of the department and the performance of job duties. 5. It is the responsibility of all Department Managers to ensure all employees and contractors under their supervision receive training necessary to familiarize staff with the requirements of updated, revised, and new documents as applicable to ensure safety.

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18.0 EMPLOYEE AND CONTRACTOR SAFETY REQUIREMENTS

The most valuable resource of the MTA is its employees, and as such, great efforts must be put into place to ensure to the greatest extent possible, that the safety of all MTA employees is maintained. MTA's Employee Safety Program is described herein.

18.1 EMPLOYEE SAFETY PROGRAM DESCRIPTION

The Employee Safety Program of the MTA encompasses a wide range of occupational safety and health, injury and illness prevention, hazard communication, industrial hygiene, fire and life safety, emergency preparedness, operational safety, environmental, and security programs. Many of these programs have been developed in accordance with Federal, State, and local regulatory requirements, such as those of M/OSHA and the "Employee Right to Know" requirements. OSQARM in cooperation with the MTA training departments develop and maintain these programs, while facilitating their implementation throughout the MTA. Many of these programs are interrelated and based on other system safety processes such as the Hazard Management Program.

18.1.1 Employee Safety Awareness

An employee safety awareness program has been established to develop and communicate safety information to employees. The program has been developed to heighten safety awareness and encourage the identification and resolution of hazards. To facilitate these processes, the MTA has established a Safety Hotline (410-454-7150), in which safety concerns and/or hazards can be anonymously reported. Messages left on the hotline are reviewed daily and addressed appropriately.

The employee awareness program entails communicating safety concepts to employees through various methods including, but not limited to, posting and/distributing bulletins, notices, and general orders; placing safety related posters, brochures, signs, and hazard warning signs throughout work areas and vehicles; developing and presenting specific safety related training programs; and making safety topics an action item during meetings. Safety awareness is also heightened through employee rulebooks, SOPs, and operations manuals.

18.1.2 Safety Training

MTA’s safety training program for employees is based on and is consistent with Section 16 of this plan. Much of the training presented to employees is based on and specific to employee job classification. For example, maintenance employees are trained regarding the proper use of grinding wheels or vehicle repair techniques, whereas bus operators receive training regarding defensive driving or how to address a confrontational passenger. It is important to note that training efforts and programs may entail not only formal in-class training, but also on-the-job

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training that is overseen by a supervisor or manager and properly documented in the employee’s file.

It is the responsibility of all managers and supervisors to not only oversee employee work practices and performance but to also enforce rules and procedures as well as to ensure their employees are properly trained in order to perform the duties of their job classifications in a safe and efficient manner. If and when an employee’s duties change, it is the responsibility of the manager or supervisor to ensure that employee is retrained as necessary. It is also the responsibility of all managers and supervisors to ensure all personnel receive training regarding the hazards that may be associated with or encountered within employee work areas.

Managers and supervisors also ensure that all employees receive training regarding the safety program and injury and illness prevention as a Quality Control measure. This training encompasses the use of personal protective equipment (PPE), proper lifting techniques, blood borne pathogens training, the requirements of the System Safety Program, emergency preparedness including evacuation routes and procedures, and hazard identification and resolution techniques.

The frequency of training varies depending upon job classification, governing statues, as well as job performance. Employees who violate safety rules and procedures, for example, are required to take certain forms of retraining or re-certification as part of disciplinary action taken as a result of the violation. Other employees, such as bus operators, require retraining simply as a requirement of maintaining certifications and licenses.

18.1.3 Additional Safety Initiatives

Additional safety initiatives have been established to facilitate and promote safety efforts within the organization. These initiatives include safety committees, employee suggestion programs, operator and maintenance rodeos held by each mode, and employee assistance programs. All have been described below.

18.1.3.1 Safety Committees

Safety committees have been established for each of MTA's modes. The committees are chaired by representatives from the OSQARM and include personnel from each of the modes and departments. The committees meet monthly and provide employees an avenue to voice safety related concerns. The committees also serve as a management tool used by OSQARM to gather safety data as well as to distribute safety information throughout the modes and departments. Additional ad hoc committees will be implemented as deemed necessary.

Meeting minutes are developed during all safety committee meetings and action items such as those related to hazards or safety concerns are investigated and resolved according to the hazard identification and resolution process.

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18.1.3.2 Employee Suggestion Programs

An employee suggestion program has been developed to allow employees to comment and make recommendations regarding the safety program and safety initiatives. Through the program, employees can suggest changes or modifications to improve MTA’s operations and services. The program can also be used to report potential hazards or safety concerns.

18.1.3.3 Safety Warning Signs and Personal Protective Equipment (PPE)

Many hazards can be encountered throughout MTA's work areas, especially in maintenance facilities and yards where the work being performed is industrial and hazardous in nature. Although the MTA strives to eliminate hazards first through engineering means, there may be occurrences when such controls are not feasible. In such cases, other methods of control are necessary. These controls include the use of warning signs or PPE.

To heighten employee awareness in work areas and to inform personnel, contractors, or other visitors to MTA property, the MTA has installed various safety warning signs throughout its facilities and property. These signs are used to remind employees of safety requirements and procedures such as the use of personnel protective equipment or lockout/tagout devices; to communicate information about potential hazards; to limit access to restricted areas; and to designate emergency response equipment and procedures, such as fire extinguishers and evacuation routes. All personnel are responsible for obeying the information conveyed by the safety warning signs.

In addition to posting safety warning signs throughout MTA's various properties, the MTA also strives to evaluate its work areas, practices, and procedures to determine when PPE is required. Examples of such areas and practices include wearing safety glasses when performing metal grinding work or when working in or passing through various maintenance shops. PPE also includes wearing a fluorescent vest while at accident/incident scenes or while working in yards.

It is the responsibility of all MTA personnel to wear the appropriate forms of PPE, as defined by work procedures and safety policies, while performing their daily duties. It is the responsibility of all supervisors and managers to ensure that all personnel under their supervision wear and use the appropriate PPE while performing their job duties.

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18.1.3.4 Modal Rodeo

The MTA may organize operator and maintenance rodeos for each of its modal operations, in which operators and mechanics demonstrate their skills. Teams of operators and mechanics take part in competitions involving the operation of vehicles through obstacle courses containing simulated hazards. The teams also compete in repairing vehicles. The rodeos are a means of encouraging and rewarding employee performance and winners of the event are given the opportunity to participate in the APTA's international transit competition.

18.1.3.5 Employee Assistance Program

An employee assistance program has been established and is available to all MTA employees who wish to receive counseling or aid related to a personnel issue or problems they may be experiencing not only in the workplace, but also at home or elsewhere in their daily lives. Topics addressed by the program include, but are not limited to substance abuse, dealing with grief or personal loss, stress management, harassment, etc. The program provides a confidential resource to employees in need of assistance.

18.2 CONTRACTOR SAFETY COORDINATION

Many of MTA's contractors must interface with and perform work throughout MTA facilities, systems, equipment, and properties. This work often times places the contractor in direct contact with MTA's personnel as well as its customers and has a direct effect on the operations and services provided by the MTA. Consequently, it is critical that the work practices of the contractor meet the standards and safety requirements of the MTA. The MTA has developed comprehensive Contractor Safety and Health Plan Guidelines (CSHPG) pertaining to contractor operations in support of the MTA Contractor Safety Program. The (CSHPG) should be referenced here to gain a comprehensive understanding of contractor safety requirements, as the following provides only a summary of the requirements of that plan.

All contractors of the MTA must comply with all rules, regulations, and requirements of OSHA, DOT, FRA, FTA, and the MTA as well as all other State, and local regulations. In addition, contractors must comply with rules and training when performing work on or nearby to CSXT, Amtrak, or other railroads. These requirements include, but may not be limited to employee and passenger safety, fire and emergency response procedures, security procedures, and safe work practices related to MTA facilities, equipment, systems, vehicles, and/or other MTA properties. Contractor personnel who violate site safety requirements are considered unqualified to perform the contracted services or work and as such, are denied site access. Contractors who fail to control personnel actions regarding safety shall have their contract terminated. If the MTA deems the contractor/subcontractor is not complying with the

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safety regulations and requirements of the MTA, the Contracting Officer/Resident Engineer or Program Manager:

 Notifies the Contractor in writing of the non-compliance  Exercises the right to issue a suspend-work order stopping all or part of the work if the Contractor fails or refuses to take corrective action to abate the noncompliance notice in the specified time  Denies any claim or request from the Contractor for adjustment for additional time or money on the suspended work order issued under these circumstances  Requires the removal of an employee or piece of equipment or correction of a situation that is deemed to be unsafe.

As mandated by MTA procurement policies, each contractor shall have and submit a written safety program plan (including site specific safety plans), along with a letter of management’s statement of policy, to the MTA that addresses the service or work to be performed under the contract. The safety program plan shall define the duties and responsibilities of contractor employees at all levels as they pertain to the safe execution of and compliance with the MTA Contractor Safety Program and shall designate a competent Safety Engineer, Supervisor, or Manager to implement the safety program. The name and resume of the individual who has been designated to implement the Contractor Project Safety Program shall be provided to the MTA Resident Engineer for approval by the OSQARM.

The Contractor Safety Program Plan is submitted to the Contracting Officer, Resident Engineer and/or Program Manager. The plan is reviewed for comments and acceptance by the Construction Safety Department and the OSQARM with final approval required from the OSQARM prior to the start of work. The MTA reserves the right to require the contractor to modify, at any time, any portion of the program that is not in conformance with Federal, State, or Local codes and regulations, or with the MTA Contractor Safety and Health Plan Guidelines. Upon request the MTA will provide, through the OSQARM, a copy of the MTA SSPP to all contractors. The CSHPG inform the contractors, in writing, of their obligations under the MTA System Safety Program.

When necessary, the MTA may include additional requirements pertaining to safety within requests for proposals or other procurement documents. The MTA also holds its contractors and contracted railroads (i.e., Amtrak and CSXT) responsible for requesting and reviewing the safety plans of their contractors for compliance with all applicable rules and regulations, including those of the MTA.

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18.2.1 Contractor Substance Abuse Program Requirements

The use of drugs and alcohol is not tolerated on any MTA project. Contractors and subcontractors are responsible for implementing and maintaining effective Substance Abuse Programs and must submit certification of their program and the written program to the MTA for review within ten days of the execution of the contract, or ten days before mobilizing on the project, whichever occurs first. The program must address pre-engagement, periodic, for cause, and post-accident/incident testing. Any costs incurred in the adoption, implementation, or administration of the contractor/subcontractor Substance Abuse Program are the responsibility of the contractor/subcontractor.

18.2.2 Contractor Safety Training Program

It is the responsibility of all contractors to establish written safety orientation and training programs that provide contractor employees with the information required to safely execute their duties under the scope of the contract. The training programs must address employee responsibilities at all levels including the Contractor Project Safety Program; applicable safety rules and regulations; hazard identification and elimination methods; emergency procedures; and the responsibility of each employee for formally acknowledging receipt of the safety rules orientation and training prior to performing or being assigned duties on the project.

To ensure all contractors are familiar with the appropriate MTA rules and requirements of the MTA, the MTA is responsible for ensuring all contractors receive the proper instructions and training pertaining to MTA policies, procedures, rules and other requirements. The MTA is also responsible for ensuring that the contractors know and execute these policies, procedures, rules and other requirements appropriately. Contractors who have not successfully completed required MTA safety courses shall be removed from the project.

18.2.3 Contractor First Aid Preparations

Contractors shall have adequate first aid supplies on-site at all times, which have been approved by a licensed physician. The supplies shall be easily accessible to employees for immediate use. Written procedures shall be developed and implemented by the contractor to ensure that all first aid supplies are replaced promptly if used, and are not missing or depleted. The contractor shall ensure that sufficient personnel be made available at the work site(s) to render first aid. The first aid personnel shall have valid CPR and first aid certifications in accordance with the U.S. Bureau of Mines, American Red Cross, or an equivalent training program that can be verified.

18.2.4 Auditing of Contractor Operations

Any contractor of the MTA may, at any time, be subject to monitoring, auditing, inspection, and/or document review for the purposes of ensuring adherence to the MTA System Safety Program, this SSPP, and for general safety compliance. OSQARM may also, at any time, attend

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contractor on-site meetings. When involved with these activities, contractors are expected and required to cooperate with all MTA personnel and to make available for review all requested documents and other information the MTA deems necessary to accurately evaluate the contractor's operations, performance, and general safety practices. This information includes, but may not be limited to the contractor's employee injury and illness records, employee training programs, and/or policies, procedures, and program plans related to safety practices or the work being performed by the contractor. This information shall be provided in a timely fashion as specified by the MTA. If at any time, the OSQARM finds that a contractor is not complying with the above requirements, OSQARM has the right and responsibility to terminate contractor operations until full compliance is achieved.

18.2.5 Protection of the Public and Property

It is the responsibility of the contractor to ensure that the work site(s) remains safe and to take the necessary precautions to protect the general public from injury or damage to property. At a minimum, the contractor shall:

 Perform no work in an area occupied or in use by the public unless specifically permitted by the contract or in writing from the MTA or designated consultant.  Keep sidewalks, entrances to buildings, lobbies, corridors, aisles, doors, or exits that remain in use by the public clear of obstructions to permit safe ingress and egress of the public at all times.  Maintain all equipment, devices, and structures so as to not pose a hazard to the public, property, or employees, and to perform their intended functions properly at all times.  Provide sidewalk shed canopies, catch platforms, and appropriate fences when it is necessary to maintain public pedestrian traffic adjacent to the erection, demolition, or structural alternation of outside walls on any structure.  Post appropriate warnings, signs and other instructional safety signs where necessary. In addition, a signalman shall control the movement of motorized equipment in areas where the public might be endangered.  Maintain public use of work areas where necessary involving sidewalks, entrances to buildings, lobbies, corridors, aisles, stairways, and vehicular roadways, by protecting the public with appropriate guardrails, barricades, temporary fences, overhead protection, temporary partitions, shields, and adequate visibility. Such protection shall guard against harmful radioactive rays or particles, flying materials, falling or moving materials and equipment, hot or poisonous materials, explosives and explosive atmospheres, flammable or toxic liquids and gases, open flames, energized electric circuits, or other harmful exposures.  Provide temporary fences around the perimeter of above ground operations adjacent to public areas except where a sidewalk shed or fence is provided by the contract (or as required in the second bullet of this list). Perimeter fences shall be at least 6 feet high

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and may be constructed of wood or metal frame and sheathing, wire mesh, or a combination thereof. When the fence is adjacent to a sidewalk near a street intersection, at least the upper section of the fence shall be open wire mesh from a point not over four feet above the sidewalk and extending at least 25 feet in both directions from the corner of the fence or otherwise required by local jurisdiction involved,  Provide warning signs and lights, including lanterns, torches, flares, and electric lights during periods of severely restricted visibility, and continuously from dusk to sunrise along the guardrails, barricades, temporary sidewalks, and at every obstruction to the public as needed. They shall be placed at both ends of such protection or obstructions and not over twenty feet apart alongside of such protection or obstruction.  Provide temporary sidewalks in accordance with the requirements of local ordinances when a permanent sidewalk is obstructed by the Contractor’s operations. Guardrails shall be provided on both sides of temporary sidewalks.  Provide guardrails on each side of vehicle and pedestrian, bridges, ramps, runways, and platforms. Pedestrian walkways elevated above adjoining surfaces, or walkways within six feet of the top of excavated slopes or vertical banks shall be protected with guardrails, except where sidewalk sheds or fences are provided. Guardrails shall be made of rigid materials capable of withstanding a force of at least two hundred pounds applied in any direction at any point in their structure. Their height shall be approximately forty-two inches. Top rails and posts may be 2 inches by 4 inches (2 x 4) dressed wood or equal materials. Posts shall not be more than 8 feet apart.  Prohibit fuel-burning types of lanterns, torches, flares or other open flame devices.  Provide barricades where sidewalk sheds, fences, or guardrails as referenced above, are not required between work areas and pedestrian walkways, roadways, or occupied buildings. Barricades shall be secured against accidental displacement and shall be maintained in place except where temporary removal is necessary to perform the work. When a barricade is temporarily removed, a watchman shall be placed at all openings.

18.3 SAFETY OVERSIGHT OF CONTRACTOR OPERATIONS

The MTA is subject to the requirements of the SSPP and the RSOPS for its Metro and Light Rail operations. All MTA contractor operations that directly impact the safety of MTA passengers, MTA rolling stock or any other MTA equipment shall meet or exceed the requirements of the MTA SSPP and be subject to MTA oversight for Quality Control purposes. MTA safety oversight of contractor operations includes:

1. Scheduled and non-scheduled audits and inspections of work policies, procedures, and practices (including those related to maintenance activities performed under the contract). Records and signatures verifying work orders and practices will be reviewed for accuracy. The MTA may also request at any time an investigation of accidents/incidents related to or affecting MTA operations and services.

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2. Audits of employee and train crew qualifications, training, and present and past operating records of personnel directly involved with MTA operations and services. It is the responsibility of MTA's contracted railroads (i.e., Amtrak and CSXT) to randomly review crew records for current qualifications, training, and operating records. It is also the responsibility of the contracting railroad to inform the MTA of these reviews and to investigate any irregularities or disparities found. 3. Development and implementation of training agendas for employees and train crews. Training may address a variety of topics, but as a minimum will pertain to the correct use of emergency equipment, emergency preparedness, response and recovery procedures (including those related to hazardous material situations), and communications. Regulatory requirements for testing and certification will be maintained. 4. Participation in developing and implementing MTA’s EPOPs, SOPs, and EOPs. Training and updates will be developed and provided as necessary to ensure all personnel remain cognizant of the most accurate and up to date information. 5. Training related to passenger safety, awareness, and passenger security. 6. Training involving the System Safety Program, the SSPP, and the Security and Emergency Preparedness Program. 7. Participation in emergency response management drills with local emergency response providers such as local police and fire departments. 8. Periodic audits and inspections of stations, outlying yard and maintenance facilities, and other properties deemed necessary by the MTA. Periodic ride checks may also be conducted on trains to assess crew performance and equipment condition. 9. Review and comment on proposed system changes that may have an impact on MTA operations and services.

18.4 GENERAL RESPONSIBILITIES

General responsibilities of personnel and departments with respect to MTA’s Employee and Contractor Safety Program are provided as follows:

1. It is the responsibility of all Department Managers and Supervisors to administer, participate in, and support the development, implementation, and maintenance of MTA safety programs. 2. It is the responsibility of all Department Managers, Supervisors, and Contractors (working on MTA property) to ensure proper training is given to and received by employees and contractors under their supervision to ensure they can perform the duties of their jobs in a safe and efficient manner that does not pose a hazard or present risk to other employees or operations.

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3. It is the responsibility of all Department Directors, Managers Supervisors, and Contractors (working on MTA property) to ensure all employees and contractors under their supervision are informed of and receive training pertaining to the hazards that may be encountered in their work areas in accordance with the hazard communication program. 4. It is the responsibility of all employees and contractors to acquire, maintain, and use the appropriate safety equipment necessary for safely performing assigned job duties. 5. It is the responsibility of the Department Managers to assist in the development and implementation of safety communications such as brochures, notices, pamphlets, signs, procedures, policies, etc. 6. It is the responsibility of all Department Directors, Managers, Supervisors, and Contractors (working on MTA property), to ensure all employees and contractors under their supervision understand and are held accountable for performing the safety related responsibilities of their jobs, including those pertaining to occupational safety and health programs and the MTA System Safety Program. 7. It is the responsibility of all Managers, Supervisors and Contractors (working on MTA property) to take immediate, appropriate, and consistent action as necessary when violations of safety rules and procedures are witnessed. 8. It is the responsibility of Managers and Supervisors to participate in or assign personnel to participate in and support safety committee activities. 9. It is the responsibility of Department Directors, Managers, and Supervisors to establish appropriate safety-related standards of performance for positions and tasks as warranted. 10. It is the responsibility of all Department Directors, Managers, Supervisors, and Contractors (working on MTA property) to ensure employees, contractors, equipment, facilities, operations, and services under their supervision comply with all safety and health rules, regulations, procedures, and policies including those of, or referenced by the MTA System Safety Program. 11. It is the responsibility of all Department Directors, Managers, Supervisors, and Contractors (working on MTA property) to ensure that all employees and contractors under their supervision, and all affected departments are notified of operational or procedural changes including those made to systems, equipment, facilities, procedures, polices, and rules. 12. It is the responsibility of the OSQARM and each Department Directors, Managers, Supervisors, and Contractors (working on MTA property) to maintain complete, accurate, and readily accessible records pertaining to:  Safety Committee Meetings  Bulletins, notices, pamphlets, etc.  The employee suggestion program and safety hotline

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 Inspections and audits  Training and retraining programs  Certification and re-certification programs  Hazard identification and resolution processes  Rules and procedures  Accident/incident investigations . Appropriate action taken as a result of safety violations. 13. It is the responsibility of all employees and contractors to make complete and truthful statements in all reports and inquiries pertaining to their duties and activities regarding the MTA. 14. It is the responsibility of all vehicle operators to carry on their person, while on duty, items including, but not be limited to:  A valid commercial driver’s license – all operators/employees operating Administration vehicles must carry the required valid licenses (and medical certifications as required) at all times. It is the employee’s responsibility to determine and maintain a valid license. If for any reason their license has been refused, revoked, suspended, or lost, it must be reported to the employee's appropriate supervisor  An accurate time piece – a reliable watch, denoting the hour, minutes, and second, must be carried when on duty. This watch must be set to the correct time as displayed on the clock in the operating division  An employee identification card/badge – when on duty, the operator must have his/her identification card on their person. 15. It is the responsibility of the Engineering/Construction or Maintenance Department Project Manager/Resident Engineer to obtain and supply to the OSQARM with a copy of the contractor's safety program plan prior to the commencement of work. 16. It is the responsibility of all personnel to report to the OSQARM, all instances in which contractors are witnessed violating MTA or Federal, State, or local rules regulations, policies, and procedures. It is the responsibility of all personnel and departments to participate in and support internal safety reviews and inspections related to contractor activities as directed by management

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19.0 HAZARDOUS MATERIALS PROGRAM

Improper labeling, storage, and handling of hazardous materials can result in catastrophic consequences that not only endanger the lives of MTA personnel, contractors, and the surrounding public, but can also endanger MTA facilities, properties, equipment, systems and operations, and surrounding public properties. These consequences may also have catastrophic impact on the environment. An effective hazardous materials program is therefore essential to eliminating or reducing these potential consequences. Information regarding MTA's hazardous materials program has been provided below.

19.1 HAZARDOUS MATERIALS PROGRAM

Proper labeling, storage, handling of hazardous materials is critical to maintaining safety throughout MTA's operations and services. Materials that are not labeled properly have the potential of being used and stored in combination with other incompatible materials, the results of which can be catastrophic. The MTA hazardous materials program therefore applies to and affects all MTA personnel and departments that buy, store, handle, and/or use hazardous materials. It is the responsibility of these personnel and departments, under the hazardous materials program to remain cognizant of the hazards and precautions associated with the hazardous materials they buy, store, handle, and/or use. Fulfillment of this responsibility is accomplished through:

 Training programs  Review and distribution of Safety Data Sheets (SDSs)  Review of container labeling  The development of specification and procurement requirements  The development of hazardous substances lists.

The MTA also requires its contractors, including Amtrak and CSXT, to have and properly administer a hazardous materials program as well as a manual of procedures for reporting hazardous material accidents/incidents.

19.2 HAZARD COMMUNICATION

It is the responsibility of the MTA to ensure all personnel and contractors are informed regarding the hazards that may be encountered in their work areas prior to the start of the employee's initial assignment. These hazards include those presented by hazardous materials and substances. It is the responsibility of department managers and supervisors to determine the training requirements necessary to ensure employees can perform their duties in a safe and efficient manner. This training must include a discussion of the hazards presented by hazardous materials and substances, and the precautions and controls that must be taken or implemented to ensure safety when buy, storing, handling and/or using the materials. Training must also be provided to personnel who perform work on pipes and vessels, as well as to employees, who perform hazardous or non-routine tasks, such as performing confined space entries.

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To facilitate the identification of training needs, site-specific hazardous substances lists (Chemical Information List) are developed and maintained for the agency as a whole indicating locations of hazardous substances within various departments.

19.3 SAFETY DATA SHEETS (SDS)

The OSQARM reviews and approves all chemicals or hazardous materials maintained by the department(s) in which the material is stored, handled, or used, prior to their purchase. SDS for all chemicals and hazardous materials are made easily accessible to all employees of the applicable department and work area. Because determining whether or not a material is hazardous often requires knowledge of the substance's chemical composition, SDS are required for all liquids, pastes, adhesives, waxes, powders, greases, gases, gels, and granulated materials. SDS are also required for all solid materials, which may release fumes, dust, or other contaminants during a work process. SDS also provide valuable information regarding the substance's flammability, reactivity, toxicity and other health hazards; including its intended use; consequences of accidental release; personal protective equipment requirements; other special precautions required; volatile organic content; and disposal requirements.

Materials are thoroughly evaluated in accordance with MTA’s Hazard Communication Program prior to their purchase and use. Whenever possible, other less hazardous products are evaluated and, when feasible, used in place of the original material.

19.4 HAZARDOUS MATERIAL LABELING AND STORAGE

Many departments throughout MTA's operations have chemical storage locations. It is the responsibility of department managers and supervisors to ensure all hazardous materials are properly labeled and stored according to the requirements and recommendations of the MSDSs and material labels. Emphasis is placed on ensuring incompatible materials are not stored in the same location. This requirement applies not only to the storage facilities themselves, but also to all work areas in which the materials are used. Storage locations are designed to appropriately accommodate, contain, and maintain material stability (both chemical and physical). All material containers must be properly labeled regarding their contents. The label also provides appropriate hazard warnings, and the name, telephone number, and address of the manufacturer.

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19.5 ENVIRONMENTAL PROTECTION

All activities involving hazardous materials also comply with applicable Federal, State, and local environmental protection laws and regulations, including those contained in the following:  Clean Water Act (CWA)  Clean Air Act (CAA)  Resource Conservation and Recovery Act (RCRA)  Comprehensive Environmental Response and Compensation and Liability Act. (CERCLA)

The MTA has established specific procedures pertaining to the disposal hazardous materials/wastes as well as specific Standard Operating Procedures (SOP’s) related to hazardous material spills and/or releases. These procedures define personnel and department responsibilities when responding to emergency events involving hazardous materials/wastes as well as responsibilities for the accumulation, recycling, and disposal of these materials. MTA procedures are followed when handling hazardous waste. These procedures cover hazardous waste such as spent engine fluids transmission fluid, hydraulic fluid, and antifreeze;

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corrosive solid waste; non-hazardous waste; spent oil filters; fluorescent light tubes, batteries; and scrap tires. The Environmental Compliance Program manages the accumulation and disposal of any waste determined to be a hazardous waste. Knowledge of Threshold Planning Quantities (TPQ) of hazardous materials stored at MTA facilities is made available to the public through the CERCLA Community Right to Know program.

19.5.1 Environmental Policy Statement

The Maryland Transit Administration’s (MTA) ability to conduct its mission requires daily operation that includes processes and handling of products that inherently may impact the environment. In addition, the MTA is a part of, and plays an integral role in providing services to the local community; therefore, stewardship of the environment is an important part of MTA’s role in accomplishing its mission.

It is MTA’s policy to conduct its mission in a manner that is protective of human health and the environment. MTA will achieve this policy through the implementation of a comprehensive Environmental Management System. Thus, it is incumbent on each employee to perform his or her duties in a manner that protects the environment, prevents pollution, and supports conservation of our natural and cultural resources.

Through this policy MTA commits to:  Comprehensive environmental protection and continual environmental process improvement.  Early introduction of environmental protection and pollution prevention in the planning stages of new programs and in all work conducted at MTA facilities.  Full compliance with all Federal, State and local environmental regulations and policies, supported by regularly scheduled internal assessments.  Evaluation of the effectiveness of MTA’s environmental policy through application and review of the Environmental Management System to ensure that established objectives and targets are met.  Promotion of a spirit of collaboration, cooperation and responsiveness both internally and with State and local regulators.  Communication of MTA’s environmental policy to all employees and interested parties.  Proactive, sound environmental stewardship.

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19.6 GENERAL RESPONSIBILITIES

General responsibilities of personnel and departments with respect to the Hazardous Materials Program are provided as follows:

 It is the responsibility all Department Directors, Managers, Supervisors, the MTA Procurement Manager, and Contractors (working on MTA property) to thoroughly evaluate materials with regards to the hazard management program prior to purchase and use.  It is the responsibility of all Department Directors, Managers, Supervisors, the MTA Procurement Manager, and Contractors (working on MTA property) to ensure SDS’s are obtained and that the OSQARM evaluates all chemicals or hazardous materials maintained by the department(s) in which the material is stored, handled, or used on MTA property.  It is the responsibility of the OSQARM to evaluate all chemicals or hazardous materials prior to their purchase and before the material is stored, handled, or used.  It is the responsibility of all Department Directors, Managers, Supervisors, and Contractors to ensure all employees under their supervision receive the proper training with regards to the hazardous materials present in their work areas.  It is the responsibility of all Facility Managers, Supervisors, and Contractors to ensure that all hazardous materials in the areas under their supervision are properly labeled, stored, used and maintained.  It is the responsibility of all Facility Managers, Supervisors, and Contractors to ensure that SDS’ are easily accessible to all employees under their supervision for all hazardous materials used in work areas under their supervision  It is the responsibility of all Facility Managers, Supervisors, and Contractors, with the assistance of the Environmental Compliance Group, to ensure that all hazardous materials/wastes are properly disposed to negate any environmental impact

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20.0 DRUG AND ALCOHOL ABUSE PROGRAMS

The MTA has established a formal drug and alcohol policy in accordance with Federal and State regulations. The policy has been developed to not only meet the requirements of these regulations but also to emphasize MTA's commitment to its employees as well as to providing safe, reliable, and efficient services. MTA's drug and alcohol substance abuse prevention policy is summarized in the following sections.

20.1 DRUG AND ALCOHOL ABUSE PROGRAM

As required by DOT regulations, the MTA has developed a substance abuse prevention policy, which applies to all MTA personnel. The policy is current and consistent with 49 CFR Parts 40 and 655, as amended. The policy:

 Complies with the Federal Drug Free Work Place Act.  Implements the Governor of Maryland’s Substance Abuse Policy contained in Executive Order 01.01.1991.16.  Defines the responsibilities of MTA personnel.  Identifies the circumstances under which an employee may be tested for alcohol and/or drugs.  Includes the dangerous effects of controlled substances and the consequences of violating the policy.  Informs employees of the education and treatment program (rehabilitation program), which are available to employees requiring treatment or those who seek treatment voluntarily.  Requires that all safety sensitive employees submit to random drug and alcohol testing.  Requires that all safety sensitive employees who have been absent from work for more than 90 calendar days submit to a drug and alcohol test and have a verified negative drug test result before returning to safety sensitive functions.  Requires that safety sensitive employees submit to drug and alcohol testing as a result of being involved in an accident/incident that meet the FTA threshold for post-accident testing. Supervisors trained in post accident procedures will determine if an employee must submit to a post accident drug and alcohol test.  As required by federal guidelines, procurement procedures require that MTA contractors who perform safety sensitive duties create and be in compliance with a drug and alcohol testing policy that is compliant with 49 CFR Part 40 and 655 as amended.

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20.2 EMPLOYEE ASSISTANCE PROGRAM (EAP) AND SUBSTANCE ABUSE PROGRAM (SAP)

The Department of Budget and Management manages and controls an Employee Assistance Program (EAP) which is provided to employees as a management referral for documented instances of substance abuse, absenteeism, poor performance, and behavior that impacts performance.

The MTA has implemented a Substance Abuse Education and Treatment Policy. This policy provides that the MTA Office of Human Resources (OHR), Medical Services Section is responsible for:

 Administering this policy  Initiating appropriate referral to the MTA Substance Abuse Professional (SAP)  Ensuring that before returning an employee to duty to perform safety sensitive functions the employee has successfully completed an effective substance abuse education and treatment program as determined by the SAP  Ensuring that all safety sensitive employees returning to work have taken FTA drug and alcohol tests with a verified negative drug result and a confirmation alcohol reading of less than 0.02  Managing the SAP’s follow-up testing requirements  Employees who have previously been terminated for a drug and alcohol policy violation and whose return to MTA service is mandated by a higher authority or employees who have entered this Substance Abuse Education and Treatment Program will not be returned to any duty status without successfully participating in this program.

20.3 GENERAL RESPONSIBILITIES

General responsibilities of personnel and departments with respect to MTA’s Drug and Alcohol Substance Abuse Prevention Policy are provided as follows:

1. It is the responsibility of the MTA OHR to develop and maintain an up-to-date drug and alcohol policy that is consistent with Federal and State regulations and MTA management policies. 2. It is the responsibility of the MTA OHR to maintain and provide information regarding the drug and alcohol policy to all employees. 3. It is the responsibility of the MTA OHR, in conjunction with Office of Administrative Training, to ensure that all employees receive training on the drug and alcohol policy. 4. It is the responsibility of all employees and contractors to immediately notify their direct supervisor of any occurrence in which another employee or contractor is witnessed using drugs or alcohol on MTA property.

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5. It is the responsibility of all Department Directors, Managers, and Supervisors to enforce the requirements of the Drug and Alcohol Substance Abuse Prevention Policy in a consistent and appropriate manner.

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21.0 PROCUREMENT

The procurement and implementation of services, equipment, and other materials has a direct impact on the safety of MTA's operations and services. It is therefore of the utmost importance to ensure that the procurement process takes into account and evaluates the safety aspects of the procurement on MTA's operations and services. Information pertaining to the safety aspects of the procurement process is provided herein.

21.1 PROCUREMENT PROCESS

Whenever feasible, the MTA addresses safety requirements within the procurement process. MTA's procurement process attempts to ensure that services, equipment, and other materials obtained by the MTA will not degrade the safety of MTA's operations and services. These requirements are met by: including safety requirements in technical specifications and contracts; evaluating impacts on MTA's operations and services in accordance with the hazard identification and resolution process; requesting MSDSs for new chemicals in accordance with the hazardous materials program; requesting and analyzing insurance requirements; requiring the submittal of certificates of compliance stating that all work has been performed in compliance with the technical specification; evaluating replacement parts and sub-components; and monitoring contractor performance. When procuring services, equipment, and other materials the MTA strives to ensure that these elements meet or exceed all applicable Federal, State, and local requirements.

MTA's procurement process establishes written selection procedures for procurement transactions. These procedures ensure that a clear and accurate description of the technical requirements (including those related to safety) for the services, equipment, or other materials to be procured, is included in all solicitations. Examples of technical requirements which may be included in a request for proposals include requirements related to a contractor’s performance and safety records, demonstrated experience within a specific discipline, warranty coverage, or information pertaining to training and certification programs. Depending on the nature and extent of the procurement, various MTA personnel and departments may be involved in developing and reviewing procurement requirements as well as in selecting the services, equipment, or other materials.

21.1.1 Project Managers

Essential to the procurement process, are the MTA Project Managers who oversee and are responsible for the activities and daily technical administration related to the contracted services, equipment, or materials. The responsibilities of the Project Manager may vary depending on the nature and extent of the procurement. These responsibilities however, will as a minimum include:

 Monitoring the performance of the procured services, equipment, or other materials.

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 Monitoring the performance of a contractor in his/her performance of the contract including complying with the technical requirements of the contract as well as with applicable Federal, State, local, and MTA rules, regulations, policies, and procedures.  Serving as a technical expert regarding all matters pertaining to the contract.  Defining the work area of the contractor and what MTA facilities, buildings, or other properties the contractor will be given access to. Access to MTA's operations and services will be limited to the greatest extent possible to reduce the risk of injury to contractor personnel and to limit the interference with MTA's daily operations and services.  Ensuring storeroom and purchasing requirements are fulfilled correctly.

Typically, all problems related to the procured services, equipment, or other materials, such as equipment malfunctions or failures or a contractor's poor performance, are to be submitted to the Project Manager for review. It is the responsibility of the Project Manager to then review all provided information and to make the initial request for remedial action. When necessary, such as when a life-threatening situation exists, additional members of MTA management such as the Contracts Administrator and the OSQARM may become involved.

21.1.2 Emergency Procurements

There have been instances in the past, in which the immediate procurement of services, equipment, or other materials was necessary to maintain safety as well as MTA's operations and services. These situations are considered emergency conditions and as such special procedures are enacted to respond to and control the event. Examples of emergency conditions or events, which may require the emergency procurement of services, equipment, or other materials include, but are not limited to:

 Severe weather conditions (i.e., flooding, tornadoes, hurricanes, etc.)  Riots  Terrorist attacks  Emergency response and recovery activities related to accidents/incidents  Equipment failures and malfunctions  Employee strikes or work stoppages  Any other reason declared by the MTA Administrator, which may create an immediate threat to public health, welfare, or safety.

In all cases, whether under normal or emergency conditions, the procurement process is conducted in accordance with the proper policies and procedures of the MTA as well as the Hazard Management Program described throughout this plan. All decisions regarding the procurement process are made with regards to safety and the effects and impacts the

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procurement will have on the safety of MTA's operations and services must be thoroughly evaluated. Every effort is made to ensure the procurement of new services and equipment will not diminish the effectiveness of current safety processes or hazard controls, or create new or additional hazards within the system. All parties involved with or affected by the procurement are notified and continually informed regarding the procurement.

21.1.3 Quality Assurance and Warranties

The evaluation of contractor services, equipment, and other materials is essential not only to maintaining safety, but also to maintaining quality. Therefore, whenever feasible, the MTA includes quality requirements, including warranty clauses, in the procurement process. Contractors are responsible for controlling and ensuring the quality of their services and at any time must be able to demonstrate to the MTA that contract quality requirements have been met. Contractor responsibilities also encompass the work performed and the equipment and materials supplied by subcontractors. The following are examples of quality control elements, which may be implemented to monitor, evaluate, and control quality of contractor services:

 Auditing and inspecting manufacturing processes, work practices, policies, procedures, program plans, specifications, drawings, and engineering changes to ensure products are produced to meet the contract's technical requirements  Conducting tests and inspections on all contracted services, equipment, components and sub-components, and other materials to ensure that all reliability, maintainability, and serviceability requirements have been met  Developing and implementing a formal correspondence log to track project documentation including, but not limited to: – Drawings, specifications, handbooks, manuals, warranty information and requirements, or other technical publications – Test plans, procedures, and reports including test results – Work orders and work authorizations – Engineering difficulties encountered throughout the course of the project and how they were resolved – Packaging, labeling, shipping, storage, and recommended use requirements.

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21.1.4 Additional Procurement Requirements

As a recipient of Federal assistance, various federal laws and regulations apply to the MTA's procurement and contracting program. These laws and regulations, in many cases, directly impact the safety of MTA's operations and services. Examples of these federal laws and regulations include, but may not be limited to the following:

 American with Disabilities Act (ADA) of 1990  Americans with Disabilities (ADA) Accessibility Specifications for Transportation Vehicles, as implemented by U.S. DOT regulations (49 CFR, Part 38)  Bus Testing, as implemented by FTA regulations (49 CFR Part 665).  Buy America Requirements, as implemented by FTA regulations (49 CFR, Part 661)  Clean Water Act (42 U.S.C. 7401)  Contract Work Hours and Safety Standards Act (40 U.S.C. 327-333) as implemented by United States Department of Labor (U.S. DOL) regulations (29 CFR, Part 5)  Drug Free Workplace Requirements, as implemented by U.S. DOT regulations (49 CFR, Part 29)  Equal Employment Opportunity as supplemented by U.S. DOL regulations (41 CFR, Part 60)  Federal Water Pollution Control Act (33 U.S.C. 1251)  Pre-award and Post Delivery Audits of Rolling Stock Purchases (49 CFR, Part 663)  Prevention of Alcohol Misuse in Transit Operations, as implemented by FTA regulations (49 CFR, Part 654)  Prevention of Prohibited Drug Use in Transit Operations, as implemented by FTA regulations (49 CFR, Part 653)  Rehabilitation Act of 1973, Section 504, as implemented by U.S. DOL regulations (49 CFR, Part 27)  Transportation Services for Individuals with Disabilities (ADA) as implemented by U.S. DOT regulations (49 CFR, Part 37)

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21.2 GENERAL RESPONSIBILITIES

General responsibilities of personnel and departments with respect to MTA’s procurement practices are provided as follows:

1. It is the responsibility of Department Directors, in coordination with the OSQARM, to evaluate the safety impacts and aspects of planned procurements in accordance with the hazard management program to ensure procured services, equipment, or other materials will not degrade the safety of MTA operations or services. 2. It is the responsibility of all personnel and departments to comply with the procedures and policies established by the MTA Administrator and the MTA Office of Procurement’s Contracts Administration and Materials Management Sections. 3. It is the responsibility of all personnel and departments to adhere to the safety procedures related to the acquisition, handling, storage, disposal, and record keeping of hazardous materials. 4. It is the responsibility of all personnel and departments to follow the established quality assurance and control practices to ensure safety and quality (i.e., testing of components, supervisors overseeing employee work practices and procedures, etc.).

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APPENDIX A ACRONYM LIST

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APPENDIX A – LIST OF ACRONYMS

ADA - Americans with Disabilities Act ADU - Aspect Display Unit AIB - Accident Investigation Board ANSI - American National Standards Institute APTA - American Public Transportation Association ARS - Accident Reporting System ASTM - American Society for Testing and Materials ATC - Automatic Train Control ATO - Automatic Train Operation ATP - Automatic Train Protection BWI - Baltimore Washington International-Thurgood Marshall Airport (Airport Station) CBD - Central Business District CC - Control Center CFR - Code of Federal Regulations CIL - Certifiable Items List CLRL - Central Light Rail Line COOP - Continuity of Operations Plan CO/CS Core Operations / Core Support CSHPG - Contractor Safety and Health Plan Guidelines CWI - Crossing Warning Indicators DHS - Department of Homeland Security DOT - Department of Transportation DSHA - Detailed System Hazard Analysis EAP - Employee Assistance Program EMS - Emergency Management Service ENS - Emergency Notification System EOC - Emergency Operations Center EOP - Emergency Operating Procedures EPA - Environmental Protection Agency EPOP - Emergency Preparedness Operations Plans ESSSC - Executive Safety and Security Standing Committee FEMA - Federal Emergency Management Agency

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FMCSA - Federal Motor Carrier Safety Administration FMVSS - Federal Motor Vehicle Safety Standards FRA - Federal Railroad Administration FTA - Federal Transit Administration GETS - Government Emergency Telecommunications Service GIS - Geographical Information System HSEEP - Homeland Security Exercise and Evaluation Program ICS - Incident Command System IPP - Inspection Program Plan IWIF - Injured Workers’ Insurance Fund LMS - Learning Management System LRV - Light Rail Vehicle M/OSHA - Maryland/Occupational Safety and Health Administration MARC - Maryland Area Regional Commuter MBTE - Mean Time Between Events MDOT - Maryland Department of Transportation MEMA - Maryland Emergency Management Agency MSDS - Material Safety Data Sheets MTA - Maryland Transit Administration NFPA - National Fire Protection Association NIMS - National Incident Management System NS - Norfolk Southern NTD - National Transit Database NTSB - National Transportation Safety Board OCS - Overhead Catenary System OHA - Operating Hazard Analysis OHR - Office of Human Resources OSHA - Occupational Safety and Health Administration OSQARM - Office of Safety, Quality Assurance, and Risk Management OTD - Organizational Training and Development PA - Public Address PHA - Preliminary Hazard Analysis PPE - Personal Protective Equipment RSOA - Rail Safety Oversight Agency

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RSOPS - Rail Safety Oversight Program Standard SAP - Substance Abuse Program/Professional SEPP - Security and Emergency Preparedness Plan SHA - Subsystem Hazard Analysis SOP - Standard Operating Procedures SSCC - Safety and Security Certification Committee SSCP - Safety and Security Certification Program SSCPP - Safety and Security Certification Program Plan SSCVR - Safety and Security Certification Verification Report SSMP - Safety and Security Management Plan SSO - State Safety Oversight SSPP - System Safety Program Plan SSVTL - Safety and Security Verification Tracking Log TSA - Transportation Security Administration TSI - Transportation Safety Institute WMATA - Washington Metropolitan Area Transit Authority

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APPENDIX B MTA INTERNAL SAFETY REVIEW PROCEDURE

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APPENDIX B MTA INTERNAL SAFETY REVIEW PROCEDURE

1.0 INTRODUCTION

Internal Safety Reviews are performed to evaluate MTA’s departmental compliance with the System Safety Program Plan (SSPP), established operating rules and procedures, and applicable Federal, State and local regulations. MTA performs internal safety reviews of all its operations and services, including modal operations and maintenance, management and administrative processes, training, engineering, procurement, and system modifications, in accordance with the following procedure.

1.1 PRE-REVIEW PREPARATION

For each internal safety review, the Chief Safety Officer- OSQARM is responsible for reviewing the methods used by the MTA and the OSQARM to conduct, document, track, and report internal safety reviews. In addition to the on-going reviews conducted by modal Safety Officers and those conducted by MTA Departments, OSQARM reviews the methods used by the MTA to comply with the 21 safety elements required by 49 CFR Part 659. Using the internal Safety Review Schedule, the MTA will review 7 of the 21 elements each year over a 3-year cycle, covering all 21 elements required by the SSPP. The Internal Safety Review Schedule will be disseminated no later than January of the year in which the review is to occur. A notice specifying the specific dates and times of the review and documentation to be evaluated will be issued by OSQARM to the specific department within 30 days of conducting the review. The Internal Safety Review Schedule and any subsequent updates of the schedule will also be submitted to MDOT. The reviews are conducted to determine if the methods used to meet the goals and objectives of the MTA System Safety Program are achieved and adequate. Typical examples of items that may be part of the Internal Safety Review process are listed below:

 Operating rulebooks, bulletins, and procedures  Maintenance manuals and procedures for vehicles, track, and signals  MTA/departmental procedures for identifying, documenting, evaluating, and correcting unacceptable hazards  System design criteria and project engineering procedures for extensions and modifications  Internal and external audit reports for the previous three years  Corrective action plans for accidents/incidents and unacceptable hazardous conditions reported to the Oversight Agency (MDOT) during the previous 3 years  NTSB accident investigation reports, other agency peer review reports, etc. prepared during the previous three years.

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The MTA Internal Safety Review of Bus, Paratransit, MARC, and Commuter Bus services may be substituted with or incorporated into the APTA Safety Management Program Audit, provided all 21 SSPP elements are reviewed and OSQARM directly participates in the review with the APTA Team.

OSQARM submits the required document list in advance of the Internal Safety Review in order to ensure required documents can be evaluated during the internal review. Departments/Modes must have all requested documents submitted to the MTA reviewer(s) within fourteen (14) calendar days of the date of the request unless otherwise specified.

The Chief Safety Officer-OSQARM, or his/her designee is also responsible for notifying MDOT no less than thirty (30) days prior to any MTA Internal Safety Review performed on MTA’s Metro or Light Rail systems. With his/her notification, the Chief Safety Officer-OSQARM provides MDOT, for review and approval, with the procedures and checklists to be used during the internal safety review. At its discretion, MDOT may participate in and/or observe any internal safety review performed on MTA’s Metro and Light Rail systems.

1.2 INTERNAL SAFETY REVIEW

The lead reviewer compares the document request list with the documents received prior to the review. A request for any missing or additional documents may occur. Only documents that are relevant to the scope and purpose of the review are requested. The attendance list is examined by the review team upon their arrival to ensure the appropriate personnel are present. The review is conducted in an interview format using the aforementioned checklists to verify conformance to selected requirements against the specified reference criteria. Verification is accomplished through:

 Interviews and discussion with personnel  Review of procedures and records  First hand observations of operations and maintenance activities  Visual examinations and measurements.

The checklists identify minimum methods of verification, but do not restrict the review team from performing additional investigations when initial findings appear to warrant further inquiry to verify conformance with specified safety requirements. Additional documents needed for verification are requested in the interviews and a written list of these requested documents is provided to the interviewees at the conclusion of the review session, or within one week, if immediate written request is not possible.

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At all times, the review team(s):

 Performs a fact based, verified audit, which focuses on the SSPP requirements and the department’s compliance with the MTA’s and Department/Mode specific System Safety Management Program  Identifies areas of safety improvements, which although in compliance, will be recommendations for consideration for implementation by the audited department or contractor  Operates without personal bias or personal interest and without placing or identifying blame  Uses open-ended questions and interview techniques to elicit discussion of safety programs, attitudes, and practices  Illuminates good practices culled from successful safety practices in the industry  Provides professional support for corrective actions and safety program development.

Findings of non-compliance and recommendations are discussed with interviewees in the interview setting. All findings that the review team determines to have the possibility of resulting in a high or serious risk category are addressed immediately and brought to the attention of the Chief Safety Officer-OSQARM and Senior Management as appropriate. The review team also indicates its support in providing assistance with program development and expertise in achieving compliance. When the review results identify a deficiency or discrepancy that is not corrected and verified to be in conformance with the referenced acceptance criteria within thirty (30) days, the finding will have to be documented in the audit report. During the interview, the review team leader may offer the participants an opportunity to comment on and provide any additional information they may have that might affect the review results and review finding reports. Verifications and corrections are accepted for up to thirty (30) days after the internal safety review.

All findings rated “2 – Meets Plan Requirements (with comments)” or “3 – Needs Improvement” if not corrected immediately or within thirty (30) days, are evaluated in accordance with MTA’s hazard management process and a hazard risk index is assigned to each so the findings can be prioritized for closure. A findings report is developed and includes the review team’s recommendation for correcting deficiencies revealed during the internal safety review. The respective department or contractor has the ultimate responsibility for developing, approving, and implementing an appropriate corrective action plan under the approval/acceptance level required for the category of hazard. When corrective action is required, MTA Department Managers document and submit to OSQARM, corrective action plans, responsible parties, and deadlines for implementing the corrective actions. The need for participation by OSQARM or review team may be needed to examine the scope and extent of the underlying causes that led to the review findings.

All internal review findings and recommendations are logged an Excel “Corrective Action Monitoring Log” where they are tracked through completion by the Departments/Modes; OSQARM; and MDOT (for MTA’s Metro and Light Rail Operations). All Metro and Light Rail

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corrective action plans are required to be reviewed and approved by MDOT. Findings that are determined to be unacceptable hazardous conditions (i.e., catastrophic and critical hazards) identified as priority 1 or 2 that are within MTA’s Light rail and Metro Rail operations and services are reported to the MTA within 2 hours and are entered into MTA’s hazard tracking log. The corrective action plans for these findings are to be approved by MDOT in accordance with Section 7 of the SSPP. An Excel “Corrective Action Monitoring Log” also provides the OSQARM with current status of findings and baseline information for performing future internal safety reviews.

MTA will provide ongoing reporting of ail safety and security hazards to MDOT at the quarterly RSOA meetings. This will be accomplished using the Excel “Corrective Action Monitoring Log” for all Light Rail and Metro related hazards.

1.3 POST REVIEW MEETING

The post review meeting is held as an informational meeting to present review findings and recommended corrective actions. It is not a component of the appeal process and at no time will appeals of findings be presented at the meeting. All appeals must be presented in writing according to the procedures contained herein. The meeting serves to clarify findings, discuss recommendations and corrective actions, and serve as a forum to increase understanding of the Internal Safety Review Program.

The meeting is attended by the review team and the department/division manager or the contractor liaison, and is held at the conclusion of each internal safety review to discuss the results and findings. OSQARM is responsible for scheduling the post review meeting. The meeting is held immediately after the review if possible, but no more than thirty (30) calendar days after the review.

The lead reviewer, in coordination with the Chief Safety Officer-OSQARM, has the discretion to request the attendance at the post review meeting of members of the ESSSC; MDOT; or any other person whose attendance is deemed to benefit the MTA and the internal safety review process. The post review meeting consists of the following agenda:

 Review of findings  Review of items the review team was unable to evaluate  Review of recommendations as appropriate  Follow-up actions by the review team and others, as appropriate  Corrective action plan format and due date  Review of appeal process  Review of extension request procedures  Question and answer period  Summary of post review meeting  Adjournment.

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The internal safety review team leader distributes the draft Internal Review Report to all attendees, the Chief Safety Officer, OSQARM, and MDOT (for Metro and Light Rail) within thirty (30) days of the meeting. The Chief Safety Officer-OSQARM provides the ESSSC a status summary of open safety hazards and the priority for closing based on the risk category.

1.4 FINAL INTERNAL SAFETY REVIEW REPORT

Following the completion of the post review meeting, the review team prepares a draft Internal Safety Review Element Finding Report, which includes a summary of the findings, finding details, recommendations to correct open items, an initial hazard analysis, and any other pertinent information. Additionally, all checklists used to conduct the internal safety review will be provided. Once the draft report is prepared, it is reviewed and approved by the Chief Safety Officer-OSQARM and then submitted to the subject department or contractor for review and comment no later than forty five (45) calendar days after the on-site review has been completed.

The Department/Mode or contractor is asked to specifically respond to the recommendations made in the internal safety review reports. All findings that are not in dispute and that have not been corrected immediately or within thirty (30) days are documented in the Excel “Corrective Action Monitoring Log” with an appropriate plan and schedule of corrective actions, and with a responsible party named to prevent a recurrence of the described findings. The Department or contractor is given a maximum of forty-five (45) calendar days to respond to the draft report with its comments and corrective actions.

Upon receipt of the corrective action plan, the internal safety review team leader prepares and submits a final report to the Chief Safety Officer-OSQARM of the current status of all open items from the review. This report contains the review team's findings and recommendations as well as the corrective action plan and schedule for corrective action. Copies are transmitted to the ESSSC and other applicable management as deemed appropriate by the Administrator, the ESSSC, or the Chief Safety Officer-OSQARM.

1.5 APPEALS

If resolution cannot be reached on a finding of non-compliance that is in dispute, it may be appealed in writing. An appeal may only be filed if factual verification can be produced that a finding of non-compliance is erroneous. Factual verification for the purposes of appeal is, as in the internal safety review process, properly controlled documentation of proof of physical existence. Any factual evidence produced as part of the appeal process must be verified by the lead reviewer and confirmed by the Chief Safety Officer-OSQARM.

If a finding is appealed, the appeal is first presented in writing to the lead reviewer. If the lead reviewer declines the appeal, the appeal may be presented in writing to the Chief Safety Officer- OSQARM. A third written appeal may be made to the ESSSC. The ESSSC's decision is final.

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The appeal process in no way affects the delivery dates of reports or corrective action plans unless a written request for extension of time is submitted and granted under the provisions herein. No recommendations may be appealed as they are considered reasonable guidelines provided for the specific purpose of assisting in the development of corrective actions.

1.6 EXTENSIONS OF TIME

If for any reasonable extenuating circumstances, either OSQARM or the subject department or contractor needs an extension of time to deliver a report, corrective action, or other documentation in support of or fulfillment of the Internal Safety Review Program, a request is submitted in writing to extend the due date by a period of time not to exceed sixty (60) calendar days. The MTA, the ESSSC, and OSQARM, have the responsibility, under proper administration of the Internal Safety Review Program, to grant all reasonable requests for extensions in order to facilitate implementation of the program in the least invasive fashion acceptable within the dictates of this SSPP. This must be weighed against the risk category of the hazard and any mitigation plans that can/will be implemented.

If OSQARM requests an extension, the request is forwarded to the ESSSC, with a copy to the audited Department/Mode. If the reviewed Department/Mode requests an extension, it must be forwarded to OSQARM in care of the Chief Safety Officer-OSQARM, with a copy to the ESSSC. Confirmation of the extension or denial thereof is made within seven (7) calendar days of receipt of the request.

Repeated extensions to develop a corrective action plan may be granted for reasonable circumstances. Reasonable circumstances for an extension of time include, but are not limited to:

 Staffing shortages  Significant organizational changes (as defined by the ESSSC)  Lack of expertise/consulting services needed  Large number of non-compliances  Budget/financial planning needed to address corrective action  Operational changes  Accident/incident requiring a lengthy investigation  Sudden departure of staff  Request of the ESSSC  Appeals based on reasonable and factual considerations.

MTA – System Safety Program Plan Appendix B - 6 January 2017 Rev 10 The controlled version of this document is available on the MTA Intranet

1.7 NON-COMPLIANCE WITH THE PROVISIONS OF THE INTERNAL REVIEW PROGRAM

If at any time, a reviewed Department/Mode or contractor fails to reasonably comply with the Internal Safety Review Program as prescribed herein, it is considered as non-compliance with this SSPP and the requirements of MTA’s System Safety Program, and as such a hazardous condition. The Chief Safety Officer-OSQARM has the responsibility to request that the Administrator call a meeting of the ESSSC for a briefing. The meeting is used to determine the appropriate action necessary in light of the severity of the hazard or review finding. The Administrator has the authority to make the final decision in case of disagreement among the Committee members.

1.8 EXECUTIVE SAFETY AND SECURITY STANDING COMMITTEE

The ESSSC, chaired by the Chief Safety Officer-OSQARM, is required to meet and review the Internal Safety Review program annually, at the beginning of the MTA's fiscal year, upon receipt of the fourth quarter's activities. This meeting is held to assess the efficiency of the program, recommend changes and modifications to the program as necessary, and to provide support to the program. The ESSSC Chair, Vice-Chair, or designee provides all notifications of ESSSC meetings, and provides for administrative support necessary in excess of reports and documentation submitted by OSQARM.

The ESSSC receives quarterly reports from the Chief Safety Officer-OSQARM within thirty (30) days of the close of each fiscal quarter. These reports describe Internal Safety Review activities and provide all supporting documentation, including review reports, pre-review notifications, minutes of all meetings, pertinent memoranda, corrective action plans received, open items, closed items, and areas of concern. The Committee evaluates the activities each quarter, indicate deficiencies (if any) in the program, and most importantly, provides the authoritative support to the Internal Safety Review activities that are necessary to ensure the success of the program.

The quarterly reviews may be completed electronically and responses filed electronically according to MTA document control procedures. No special agenda item to review the Internal Safety Review Program is necessary for activity for quarters 1, 2, and 3 unless the Committee feels there is sufficient business to merit such an agenda. If so, the Chair formally requests an agenda item for the Internal Safety Review Program, or calls a special session of the ESSSC.

MTA – System Safety Program Plan Appendix B - 7 January 2017 Rev 10

STATE OF MARYLAND DEPARTMENT OF TRANSPORTATION

MARYLAND TRANSIT ADMINISTRATION

GENERAL PROVISIONS FOR CONSTRUCTION CONTRACTS

OCTOBER, 2001

T-0000-0000 TABLE OF CONTENTS GENERAL PROVISIONS

Section Item Page

GP - SECTION 1 DEFINITIONS AND TERMS ...... 1 1.01 General ...... 1 1.02 Organizational Structure ...... 1 1.03 Organizational Definitions ...... 1 1.04 Abbreviations ...... 2 1.05 Definitions ...... 3

GP - SECTION 2 BIDDING REQUIREMENTS AND CONDITIONS ...... 7 2.01 Bid Irrevocable ...... 7 2.02 Contents of Bid Forms ...... 7 2.03 Interpretation of Quantities in Bid Schedule ...... 7 2.04 Site Investigation ...... 7 2.05 Taxes - Responsibility for Payment, Exemptions Forms to File, etc...... 8 2.06 Preparation of Bid ...... 8 2.07 Proposal Guaranty ...... 9 2.08 Delivery of Bids ...... 9 2.09 Communications and Interpretations - Prior to Bid Openings ...... 9 2.10 Amendments to Invitations for Bids ...... 10 2.11 Pre-Opening Modification or Withdrawal of Bids ...... 10 2.12 Late Bids, Late Withdrawals, and Late Modification ...... 10 2.13 Opening and Recording of Bids ...... 11 2.14 Mistakes in Bids ...... 11 2.15 Minor Irregularities or Informalities ...... 12 2.16 Cancellation of Invitations for Bids ...... 13 2.17 Rejection of Individual Bids or Proposals ...... 13 2.18 Rejection of All Bids ...... 14 2.19 Bid Evaluation and Award ...... 14 2.20 Tie Bids...... 15 2.21 Resident Business Preference ...... 15 2.22 Multiple or Alternate Bids ...... 16 2.23 Bid Protests ...... 16

GP - SECTION 3 AWARD AND EXECUTION OF CONTRACT ...... 17 3.01 Award of Contract (See GP-2.19) ...... 17 3.02 Return of Proposal Guaranty ...... 17 3.03 Performance Bond and Payment Bond Requirements ...... 17 3.04 Execution of Contract ...... 17 3.05 Failure to Execute Contract ...... 18

i T-0000-0000 Section Item Page

GP - SECTION 4 SCOPE OF WORK ...... 19 4.01 Intent of Contract ...... 19 4.02 General Provisions Controlling ...... 19 4.03 Entire Contract ...... 19 4.04 Variations in Estimated Quantities ...... 19 4.05 Differing Site Conditions...... 20 4.06 Changes ...... 20 4.07 Negotiated Payment Provision ...... 22 4.08 Unauthorized Work ...... 22 4.09 Final Clean Up ...... 22 4.10 Warranty of Construction ...... 22

GP - SECTION 5 CONTROL OF THE WORK ...... 24 5.01 Authority of the Procurement Officer ...... 24 5.02 Conformity with Contract Requirements ...... 24 5.03 Discrepancies in the Contract Documents ...... 24 5.04 Cooperation by Contractor ...... 25 5.05 Cooperation with Utilities ...... 25 5.06 Cooperation Between Contractors ...... 25 5.07 Authority and Duties of Inspectors ...... 26 5.08 Inspection of Work ...... 26 5.09 Removal of Defective Work ...... 27 5.10 Load Restrictions ...... 27 5.11 Maintenance of Work During Construction ...... 28 5.12 Failure to Maintain Entire Project ...... 29 5.13 Acceptance for Maintenance ...... 29 5.14 Claims ...... 30 5.15 Disputes ...... 31

GP - SECTION 6 CONTROL OF MATERIAL ...... 33 6.01 General ...... 33 6.02 Storage and Handling of Materials ...... 33 6.03 Unacceptable Materials ...... 33 6.04 Administration Furnished Material ...... 34

GP - SECTION 7 LEGAL RELATIONS AND RESPONSIBILITY TO PUBLIC ...... 35 7.01 Compliance with Laws ...... 35 7.02 Permits and Licenses ...... 35 7.03 Patented Devices, Materials and Processes ...... 35

ii T-0000-0000 Section Item Page

7.04 Federal Participation ...... 36 7.05 Construction Safety and Health Standards ...... 36 7.06 Public Convenience and Safety ...... 36 7.07 Detours ...... 37 7.08 Barricades and Warning Signs ...... 37 7.09 Flagging of Motor Vehicle Traffic ...... 38 7.10 Maintenance of Traffic ...... 38 7.11 Preservation and Restoration of Property ...... 38 7.12 Land, Air and Water Pollution ...... 39 7.13 Responsibility for Damage Claims ...... 39 7.14 Liability Insurance ...... 40 7.15 Use and Possession Prior to Completion ...... 40 7.16 Contractor's Responsibility for Work ...... 40 7.17 Contractor's Responsibility for Utility Property and Services ...... 41 7.18 Personal Liability of Public Officials ...... 41 7.19 No Waiver of Legal Rights ...... 42 7.20 Nondiscrimination in Employment ...... 42 7.21 Sanctions Upon Improper Acts ...... 43 7.22 Nonhiring of Employees ...... 43 7.23 Choice of Law ...... 44 7.24 Contingent Fee Prohibition ...... 44 7.25 Multi-Year Contracts Contingent Upon Appropriations ...... 44 7.26 Cost and Price Certification ...... 45 7.27 Corporate Registration and Tax Payment Certification ...... 45 7.28 "Buy American Steel" Act ...... 45 7.29 Minority Business Enterprise and Affirmative Action...... 45 7.30 Prevailing Wage Contracts for Public Works ...... 46 7.31 Small Business Procurements ...... 46 7.32 Financial Disclosure ...... 46 7.33 Political Contribution Disclosure ...... 46 7.34 Conflict of Interest Law ...... 47 7.35 Pre-Existing Regulations ...... 47 7.36 Retention of Records ...... 47

GP - SECTION 8 PROSECUTION AND PROGRESS ...... 48 8.01 Subcontracting ...... 48 8.02 Notice to Proceed ...... 48 8.03 Prosecution of the Work ...... 48 8.04 Progress Schedule ...... 49 8.05 Limitations of Operation ...... 49 8.06 Character of Workmen, Methods and Equipment ...... 49 8.07 Suspension of Work ...... 50

iii T-0000-0000 Section Item Page

8.08 Termination for Default-Damages for Delay- Time Extensions ...... 51 8.09 Liquidated Damages ...... 52 8.10 Termination for Convenience of the State ...... 53 8.11 Successful Termination of Contractor's Responsibility ...... 58

GP - SECTION 9 PAYMENT ...... 59 9.01 Scope of Payment ...... 59 9.02 Force Account Work ...... 59 9.03 Progress Payments ...... 62 9.04 Final Acceptance and Final Payment ...... 64 9.05 Late Payments ...... 66

GP - SECTION 10 MARYLAND DRIVER/VEHICLE LAWS AND REGULATIONS ...... 68 10.01 Conformance with Maryland Driver/Vehicle Laws & Regulations ...... 68

iv T-0000-0000 INDEX

Item Section Page

A Abbreviations ……………………………………………………... 1.01 2 Acceptance for Maintenance ……………………………………… 5.13 29 Accidents ………………………………………………………….. 7.14 40 Acknowledgements ……………………………………………….. 2.10 10 Administration …………………………………………………….. 1.03 1 Administration Furnished Materials ………………………………. 6.04 34 Administrator ……………………………………………………... 1.03 1 Amendments to Invitations for Bids ………………………………. 2.10 10 Authority and Duties of Inspectors ………………………………... 5.07 26 Authority of the Procurement Officer ……………………………... 5.01 24 Award ……………………………………………………………... 1.05 3 Award of Contract ………………………………………………… 3.01 17

B Barricades and Warning Signs ……………………………………. 7.08 37 Bids Amendments to Invitation for ……………………………………. 2.10 10 Bond ……………………………………………………………... 1.05 3 Bidder ……………………………………………………………. 1.05 3 Confirmation of ………………………………………………….. 2.14 11 Delivery of ……………………………………………………….. 2.08 9 Evaluation and Award …………………………………………… 2.19 14 Form ………………………………………………………………1.05 3 Invitation for ……………………………………………………... 1.05 5 Irrevocable ……………………………………………………….. 2.01 7 Late ………………………………………………………………. 2.12 10 Mistakes in ………………………………………………………. 2.14 11 Multiple or Alternate …………………………………………….. 2.22 16 Opening and Recording of ………………………………………. 2.13 11 Preparation of ……………………………………………………. 2.06 8 Protests …………………………………………………………... 2.23 16 Rejection of All ………………………………………………….. 2.18 14 Samples and Descriptive Literature ……………………………… 2.06 8 Schedule …………………………………………………………. 2.03 7 Board ……………………………………………………………… 1.05 3 Bond Requirements …………………………………………………….. 3.03 17 Business …………………………………………………………… 1.05 3 Buy American Steel Act …………………………………………... 7.28 45

C Calendar Day ……………………………………………………… 1.05 3

v T-0000-0000 INDEX

Item Section Page

Cancellation of Invitation for Bids ………………………………... 2.16 13 Changes …………………………………………………………… 4.06 20 Change Order ……………………………………………………... 1.05 3 Character of Workmen, Methods and Equipment …………………. 8.06 49 Choice of Law …………………………………………………….. 7.23 44 Claims …………………………………………………………….. 5.14 30 Communications and Interpretations Prior to Bid Opening ……………………………………………... 2.09 9 Compensation ……………………………………………………... 9.02 59 Compliance with Federal Law …………………………………….. 7.20 42 Compliance with Laws ……………………………………………. 7.01 35 Compliance with State Laws and Regulations …………………….. 7.20 42 Confidential Data …………………………………………………. 2.13 11 Confirmation of Bid ………………………………………………. 2.14 11 Conflict of Interest Law …………………………………………… 7.34 47 Conformity with Contract Requirements ………………………….. 5.02 24 Construction ………………………………………………………. 1.05 3 Warranty of ………………………………………………………. 4.10 22 Construction Safety and Health Standards ………………………… 7.05 36 Content of Written Protest ………………………………………… 2.23 16 Contents of Bid Forms ……………………………………………. 2.02 7 Contingent Fee Prohibition ………………………………………... 7.24 44 Contract Award and Execution ……………………………………………. 3.00 17 Conformity with Requirements ………………………………….. 5.02 24 Documents ……………………………………………………….. 1.05 4 Drawings ………………………………………………………….1.05 4 Failure to Execute ………………………………………………... 3.05 18 Intent of ………………………………………………………….. 4.01 19 Item (Pay Item) …………………………………………………... 1.05 4 Modification ……………………………………………………... 1.05 4 Notice to Proceed ………………………………………………… 1.05 5 Subcontracting …………………………………………………… 1.05, 8.01 5, 48 Contractor Cooperation ……………………………………………………… 5.04, 5.06 25, 25 Fixed Fee ………………………………………………………… 9.02 59 Responsibility for Utility Property and Services ………………….7.17 41 Responsibility for Work …………………………………………. 7.16 40 Control of the Work ………………………………………………. 5.00 24 Cooperation with Utilities ………………………………………… 5.05 25 Corporate Registration and Tax Payment

vi T-0000-0000 INDEX

Item Section Page

Certification ……………………………………………………… 7.27 45 Cost and Price Certification ………………………………………. 7.26 45 Current Estimates …………………………………………………. 9.03 62

D Day ………………………………………………………………... 1.05 4 Damages Liquidated ………………………………………………………... 8.09 52 Responsibility for Claims ………………………………………... 7.13 39 Responsibility for Utility ………………………………………… 7.17 41 Termination ……………………………………………………… 8.08, 8.10 52, 53 Defective Work, Removal of ……………………………………… 5.09 27 Definition (Tie Bid) ………………………………………………. 2.20 15 Definitions ………………………………………………………… 1.05 3 Delivery of Bids …………………………………………………... 2.08 9 Determination of Lowest Bidder ………………………………….. 2.19 14 Detours …………………………………………………………… 7.07 35 Differing Site Conditions …………………………………………. 4.05 20 Discrepancies in the Contract Documents ………………………… 5.02 24 Disposition of Bid Security ……………………………………….. 2.11 10 Disputes …………………………………………………………… 5.15 31

E Engineer …………………………………………………………... 1.03 1 Equipment ………………………………………………………… 9.02 59 Escrow Accounts for Retained Funds ……………………………... 9.03 62 Execution of Contract ……………………………………………... 3.04 17

F Failure to Maintain Entire Project ………………………………… 5.12 29 Federal Participation ……………………………………………… 7.04 36 Final Acceptance and Final Payment ……………………………… 9.04 64 Final Clean Up ……………………………………………………. 4.09 22 Financial Disclosure ………………………………………………. 7.32 46 Fire Hydrants ……………………………………………………… 7.06, 7.17 36, 41 Flagging of Motor Vehicle Traffic ………………………………... 7.09 38 Force Account Work. ……………………………………………... 9.02 59 Form ………………………………………………………………. 2.10 10

vii T-0000-0000 INDEX

Item Section Page

G General Definitions and Terms …………………………………………… 1.01 1 Minor Irregularities or Informalities ……………………………... 2.15 12 Bid Evaluation and Award ……………………………………….. 2.19 14 Control of Material ………………………………………………. 6.01 33 General Provisions Controlling …………………………………… 4.02 19

I Inspection of Work ………………………………………………... 5.08 26 Inspectors ………………………………………………………….. 1.03, 5.07 1, 26 Insurance, Liability ………………………………………………... 7.14 40 Interpretation of Quantities in Bid Schedule ………………………………………………………….. 2.03 7

L Land, Air and Water Pollution ……………………………………. 7.12 39 Late Payments …………………………………………………….. 9.05 66 Legal Relations and Responsibility to Public ……………………... 7.00 35 Liability, Personal of Public Officials …………………………….. 7.18 41 Limitations of Operation ………………………………………….. 8.05 49 Liquidated Damages ………………………………………………. 8.09 52 Load Restrictions ………………………………………………….. 5.10 27 Lowest Bidder …………………………………………………….. 2.19 14 Lump Sum Contracts ……………………………………………… 9.03 62

M Mailboxes, Maintained or Reset …………………………………... 7.06 36 Maintenance of Traffic ……………………………………………. 7.10 38 Maintenance of Work During Construction ……………………….. 5.11 28 Maryland Driver/Vehicle Laws and Regulations ………………….. 68 Minority Business Enterprise and Affirmative Action ……………..7.29 45 Minor Irregularities or Informalities ………………………………. 2.15 12 Mistakes to be Corrected ………………………………………….. 2.14 11 Multi-Year Contracts Contingent Upon Appropriations …..……… 7.25 44

N Negotiated Payment Provision ……………………………………. 4.07 22 Non-Discrimination in Employment ……………………………… 7.20 42 Non-Hiring of Employees ………………………………………… 7.22 43 Notice to Proceed …………………………………………………. 8.02 48

viii T-0000-0000 INDEX

Item Section Page

No Waiver of Legal Rights ………………………………………... 7.19 42

O Organizational Definitions ……………………………………….. 1.03 1 Organizational Structure …………………………………………. 1.02 1 P Patented Devices, Materials and Processes ………………………... 7.03 35 Performance Bond and Payment Bond Requirements …………….. 3.03 17 Permits and Licenses ……………………………………………… 7.02 35 Plants, Seed, Sod ………………………………………………….. 7.16 40 Political Contribution Disclosure …………………………………. 7.33 47 Pre-Existing Regulations ………………………………………….. 7.35 46 Pre-Opening Modification or Withdrawal of Bids …………………2.11 10 Preservation and Restoration of Property …………………………. 7.11 38 Prevailing Wage Contracts for Public Works ……………………... 7.30 46 Progress Payments ………………………………………………… 9.03 62 Progress Schedule …………………………………………………. 8.04 49 Proposal Guaranty ………………………………………………… 2.07 9 Prosecution of the Work …………………………………………... 8.03 48 Public Convenience and Safety …………………………………… 7.06 36

R Railroad Right of Way, Operations Within ……………………….. 7.13 40 Rejection of Individual Bids or Proposals ………………………… 2.17 13 Removal of Defective Work ………………………………………. 5.09 27 Resident Business Preference ……………………………………... 2.21 15 Responsibility for Damage Claims ………………………………... 7.13 39 Restrictions Bids ……………………………………………………………… 2.06 8 Steel ……………………………………………………………… 7.28 45 Load ……………………………………………………………… 5.10 27 Public Convenience and Safety …………………………………… 7.06 36 Wage ……………………………………………………………... 7.30 46 Retention of Records ……………………………………………… 7.36 47 Return of Proposal Guaranty ……………………………………… 3.02 17

S Samples and Testing Control of Material ………………………………………………. 6.01 33 Failures …………………………………………………………... 6.03 33 Storage and Handling ……………………………………………. 6.02 33

ix T-0000-0000 INDEX

Item Section Page

Sanctions Upon Improper Acts ……………………………………. 7.21 43 Scope of Payment …………………………………………………. 9.01 59 Site Investigation ………………………………………………….. 2.04 7 Small Business Procurements ……………………………………... 7.31 46 Storage and Handling of Materials ………………………………... 6.02 33 Subcontracting …………………………………………………….. 8.01 48 Successful Termination of Contractor's Responsibility …………. 8.11 58 Suspension of Work ………………………………………………. 8.07 50 Specifications Definition ………………………………………………………... 1.05 3

T Taxes Responsibility for Payment, Exemptions, Forms to File, etc. …. 2.05 8 Termination for Convenience of the State ………………………… 8.10 53 Termination for Default, Damages for Delay, Time Extensions …... 8.08 51 Tie Bid …………………………………………………………….. 2.20 15 Traffic Control Devices …………………………………………… 7.08 37

U Unacceptable Materials …………………………………………… 6.03 33 Unauthorized Work ……………………………………………….. 4.08 22 Use and Possession Prior to Completion ………………………….. 7.15 37

V Variations in Estimated Quantities ………………………………... 4.04 19 Verbal Inquiries …………………………………………………… 2.09 9

W Work Control …………………………………………………………… 5.00 24 Force Account …………………………………………………… 9.02 59 Prosecution of ……………………………………………………. 8.03 48 Scope of ………………………………………………………….. 4.00 19 Suspension of ……………………………………………………. 8.07 50

x T-0000-0000 GENERAL PROVISIONS GP - SECTION 1 DEFINITIONS AND TERMS

GP-1.01 GENERAL

Wherever in these General Provisions or in other Contract Documents the following terms or abbreviations are used, the meaning shall be as follows:

GP-1.02 ORGANIZATIONAL STRUCTURE

The Maryland Department of Transportation is composed of the following Administrations:

(i) Maryland Port Administration (ii) Maryland Transit Administration (iii) State Highway Administration (iv) Maryland Aviation Administration (v) Motor Vehicle Administration; and (vi) Office of the Secretary, Administration

GP-1.03 ORGANIZATIONAL DEFINITIONS

Administration - The word "Administration" shall mean any one of the Administrations within the Maryland Department of Transportation, as listed in GP-1.02.

Administrator - The chief executive officer of an Administration.

Department - The word "Department" shall mean the Maryland Department of Transportation.

Engineer - Any person designated by the Administrator or the procurement officer, acting directly or through his duly authorized representative, such representative acting within the scope of the particular duties assigned to him or of the authority given him.

Inspector - The authorized representative of the procurement officer assigned to make detailed inspection of any or all portions of the work, or materials therefor.

Procurement Officer - Any person authorized by a State agency in accordance with law or regulations to formulate, enter into, or administer Contracts or make written determinations and findings with respect to them. The term also includes an authorized representative acting within the limits of authority.

Secretary - The chief executive officer of the Maryland Department of Transportation.

GP - 1 T-0000-0000

GP-1.04 ABBREVIATIONS

AAN American Association of Nurserymen AAPA American Association of Port Authorities AAR Association of American Railroads AASHTO American Association of State Highway and Transportation Officials ACI American Concrete Institute AIA American Institute of Architects AIEE American Institute of Electrical Engineers AISC American Institute of Steel Construction AISI American Iron and Steel Institute ANSI American National Standards Institute ARA American Railway Association AREA American Railway Engineering Association ASCE American Society of Civil Engineers ASHRAE American Society of Heating, Refrigeration and Air-Conditioning Engineers ASLA American Society of Landscape Architects ASME American Society of Mechanical Engineers ASTM American Society for Testing and Materials ATA American Transit Association AWWA American Water Works Association AWS American Welding Society AWPA American Wood Preservers Association AGC Associated General Contractors of America BOCA Building Officials Conference of America COMAR Code of Maryland Regulations CRSI Concrete Reinforcing Steel Institute EEI Edison Electric Institute EIA Electronic Industries Association EPA Environmental Protection Agency FAA Federal Aviation Administration, U.S. Department of Transportation FCC Federal Communications Commission FHWA Federal Highway Administration, U.S. Department of Transportation FRA Federal Railway Administration, U.S. Department of Transportation FSS Federal Specifications and Standards, General Services Administration IEEE Institute of Electrical and Electronic Engineers IES Illuminating Engineers Society IPCEA Insulated Power Cable Engineers Association IRT Institute for Rapid Transit MBMA Metal Building Manufacturers' Association MSMT Maryland Standard Method of Tests (as developed by the State Highway Administration) MUTCD Manual on Uniform Traffic Control Devices

GP - 2 T-0000-0000

NBFU National Board of Fire Underwriters NBS National Bureau of Standards NEC National Electric Code NEMA National Electrical Manufacturers' Association NFPA National Fire Protection Association OSHA Occupational Safety and Health Administration RLMI Reflector and Lamp Manufacturers' Institute SAE Society of Automotive Engineers SAWP Society of American Wood Preservers ULI Underwriters Laboratories, Incorporated UMTA Urban Mass Transportation Administration, U.S. Department of Transportation

GP-1.05 DEFINITIONS

Award - The decision by a procurement agency to execute a purchase agreement or Contract after all necessary approvals have been obtained.

Bid - A statement of price, terms of sale, and description of the supplies, services, construction or construction-related services offered by a bidder to the State in response to an Invitation for Bids.

Bid Bond - See Proposal Guaranty.

Bid Form - The approved form on which an Administration requires bids to be set forth and submitted.

Bidder - A person formally submitting a bid for the work contemplated, acting directly or through a duly authorized representative.

Board - The Board of Public Works of the State of Maryland.

Business - A corporation, partnership, individual, sole proprietorship, joint venture, or any other legal entity through which commercial activity is conducted.

Calendar Day - Every day shown on the calendar, Saturdays, Sundays and holidays included.

Change Order - A written order signed by the responsible procurement officer, directing a Contractor to make changes which the changes clause of a Contract authorizes the procurement officer to order with or without the consent of the Contractor.

Construction - The process of building, altering, repairing, improving or demolishing any structure, building, or other improvement to real property.

GP - 3 T-0000-0000

Contract - Any agreement entered into by a procurement agency for the acquisition of supplies, services, construction, construction related services, architectural services or engineering services.

Contract does not include:

(1) Collective bargaining agreements with employee organizations or agreements creating employer employee relationships, as defined in Article 4A, Section 15A(a) (3), Annotated Code of Maryland.

(2) Medicaid, Medicare, Judicare, or similar reimbursement contracts which user eligibility and cost are set by law or regulation.

Contract Documents - The written agreement executed between an Administration and the successful bidder, covering the performance of the work and furnishing of labor, equipment and materials, by which the Contractor is bound to perform the work and furnish the labor, equipment and materials, and by which the Administration is obligated to compensate him therefor at the mutually established and accepted rate or price. The Contract shall include the Invitation for Bids, Notice to Contractors, Instructions to Bidders, Proposal, Contract Forms and Bonds, General Provisions, Specifications, Supplemental Specifications, all Special Provisions, all Technical Provisions, all Plans and Notices to Proceed, also any written Change Orders and Supplemental Agreements that are required to complete the construction of the work in an acceptable manner, including authorized extension thereof.

Contract Drawings - See definition of "Plans".

Contract Item (Pay Item) - An item of work specifically described and for which a price, either unit or lump sum, is provided. It includes the performance of all work and the furnishing of all labor, equipment, and materials, described herein or described in any Supplemental Specifications or Special Provisions.

Contract Modification - Any written alteration in the Specifications, delivery point, date of delivery, Contract period, price, quantity, or other provision of any existing Contract, whether accomplished in accordance with a Contract Provision, or by mutual action of the parties to the Contract. It includes change orders, extra work orders, supplemental agreements, Contract amendments, or reinstatements.

Contractor - Any person having a Contract with a procurement agency. Contractor does not include an employee with an employment Contract, or an employee organization with a collective bargaining agreement.

Day - Calendar day unless otherwise designated.

GP - 4 T-0000-0000

Invitation for Bids - Any document, whether attached or incorporated by reference, used for soliciting bids under procurement by competitive sealed bidding and small procurement procedures including requests for quotations.

Materials - Any substances specified for use in the construction of the project and its appurtenances.

Notice to Contractors - The advertisement for Bids for all required work or materials. Such advertisement will indicate the location and magnitude of the work to be done or the character and quantity of the material to be furnished and the time and place of the opening of bids. Notice to Proceed - A written notice to the Contractor of the date on or before which he shall begin the prosecution of the work to be done under the Contract.

Payment Bond - Security as stated in COMAR 21.06.07.01B as a guarantee that Contractor will pay in full all bills and accounts for materials and labor used in the work, as provided by law.

Performance Bond - Security as stated in COMAR 21.06.07.01B, guaranteeing complete performance of the Contract.

Person - Any individual or a corporation, partnership, sole proprietorship, joint stock company, joint venture, unincorporated association, union, committee, club, or other organization or legal entity.

Plans - The official drawings issued by the Administration as part of the Contract Documents, including those incorporated in the Contract Documents by reference.

Proposal - The response by an offeror to a request for proposals issued by a procurement agency to obtain goods or labor. The response may include but is not limited to an offeror's price and terms for the proposed Contract, and description of technical expertise, work experience and other information as requested in the solicitation. As used herein the word "proposal" means "bid".

Proposal Guaranty - The security, in the form stated in COMAR 21.06.07.01B, designated in the Proposal, to be furnished by the offeror as a guaranty of good faith to enter into a Contract with the State, if the work of constructing the improvement is awarded to him.

Responsible Bidder or Offeror - A person who has the capability in all respects to perform fully the Contract requirements, and the integrity and reliability that shall assure good faith performance.

Responsive Bid - A bid submitted in response to an Invitation for Bids that conforms in all material respects to the requirements contained in the Invitation for Bids.

GP - 5 T-0000-0000

Specification - A written description of functional characteristics, or the nature of a construction item to be procured. It may include a statement of any of the user's requirements and may provide for inspection, testing, or preparation of a construction item before procurement.

State - The State of Maryland acting through its authorized representative.

Subcontractor - Any person undertaking the construction of a part of the work under the terms of the Contract, by virtue of an agreement with the Contractor, who, prior to such undertaking, receives the (consent of the surety and the) approval of the Administration.

Superintendent - The executive representative of the Contractor authorized to receive and execute instructions from the procurement officer, and who shall supervise and direct the construction.

Supplemental Specifications - Additions and revisions to the Standard Specifications. Generally include new or improved procedures, construction items or materials developed subsequent to the publication of Standard Specifications.

Surety - The corporate body bound with and for the Contractor, for the full and complete performance of the Contract, and for the payment of all debts pertaining to the work. When applying to the Bid Bond, it refers to the corporate body which engages to be responsible in the execution by the bidder of a satisfactory Contract.

Work - Work shall be understood to mean the furnishing of all labor, materials, equipment, and other incidentals necessary to the successful completion of the project and the carrying out of all the duties and obligations imposed by the Contract.

GP - 6 T-0000-0000

GP - SECTION 2 BIDDING REQUIREMENTS AND CONDITIONS

GP-2.01 BID IRREVOCABLE

Unless otherwise provided in the Invitation for Bids, bid prices are irrevocable for 90 days following bid opening.

GP-2.02 CONTENTS OF BID FORMS

All papers included in, bound thereto or attached to the bid form are necessary parts thereof and shall not be detached, separated or altered. The Plans, Specifications, Supplemental Specifications, referred to in the Specifications, and all other Contract Documents will be considered a part of the bid form whether attached thereto or not.

GP-2.03 INTERPRETATION OF QUANTITIES IN BID SCHEDULE

Where designated as estimated quantities, the quantities in the prepared bid schedule are approximate only. Payment to the Contractor will be made only for the actual quantities of work performed or materials furnished in accordance with the Contract and as provided in GP-4.04, Variations in Estimated Quantities.

GP-2.04 SITE INVESTIGATION

The Contractor acknowledges that he has investigated and satisfied himself as to the conditions affecting the work, including but not restricted to those bearing upon transportation, disposal, handling and storage of materials, availability of labor, water, electric power, roads and uncertainties of weather, river stages, tides or similar physical conditions at the site, and confirmation and conditions of the ground, the character of equipment and facilities needed preliminary to and during prosecution of the work. The Contractor further acknowledges that he has satisfied himself as to the character, quality and quantity of surface and subsurface materials or obstacles to be encountered insofar as this information is reasonably ascertainable from an inspection of the site, including all exploratory work done by the State, as well as from information presented by the drawings and specifications made a part of this Contract. Any failure by the Contractor to acquaint himself with the available information may not relieve him from responsibility for estimating properly the difficulty or cost of successfully performing the work. The State assumes no responsibility for any conclusions or interpretations made by the Contractor on the basis of the information made available by the State.

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GP-2.05 TAXES - RESPONSIBILITY FOR PAYMENT, EXEMPTIONS, FORMS TO FILE, ETC.

(a) The Contractor is responsible for, and by submitting a bid agrees to pay, all retail sales, income, real estate, sales and use, transportation and special taxes applicable to and assessable against any materials, equipment, processes and operations incident to or involved in the construction. The Contractor is responsible for ascertaining and acquainting himself with such taxes and making all necessary arrangements to pay same.

(b) The Contractor shall indicate its Federal Tax Identification or Social Security number on the face of each invoice billed to the Administration.

(c) The Administration or the Comptroller of the Treasury may withhold any payment under this Contract until the Contractor and any subcontractors performing any duties under this Contract have paid all State taxes or other obligations due the State of Maryland. The taxes or other obligations shall be resolved either by set-off of the amount due the Contractor against the amounts due the State or by direct payment.

GP-2.06 PREPARATION OF BID

(a) The bidder shall submit his bid upon the blank form(s) furnished by the Administration. The bidder shall specify a price in dollars and cents for each pay item given, and shall show the products of the respective unit prices and quantities written in figures in the column provided for that purpose, together with the total amount of the bid obtained by adding the amounts of the several items.

(b) The bid form(s) shall be filled out legibly in ink or typed. The bid, if submitted by an individual, shall be signed by such member or members of the partnership as have authority to bind the partnership; if submitted by a corporation, the same shall be signed by an officer, and attested by the corporate secretary or an assistant corporate secretary. If not signed by an officer, as aforesaid, there must be attached a copy of that portion of the By-Laws or a copy of a Board resolution, duly certified by the corporate secretary, showing the authority of the person so signing on behalf of the corporation. In lieu thereof, the corporation may file such evidence with the Administration, duly certified by the corporate secretary, together with a list of the names of those officers having authority to execute documents on behalf of the corporation, duly certified by the corporate secretary, which listing shall remain in full force and effect until such time as the Adminis- tration is advised in writing to the contrary. In any case, where a bid is signed by an Attorney in Fact, the same must be accompanied by a copy of the appointing document, duly certified. All bids shall be signed in ink. All erasures or alterations shall be initialed by the signer in ink.

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(c) Bid Samples and Descriptive Literature. If the Invitation for Bids requires the bidder to furnish samples or descriptive literature, it shall be submitted with the bid, unless the Invitation for Bids provides otherwise.

(d) Offerors shall identify those portions of their proposals which they deem to be confidential, proprietary information or trade secrets and provide any justification of why such materials should not be disclosed by the State under the Maryland Public Information Act, Section 10-611 et seq. of the State Government Article of the Annotated Code of Maryland.

GP-2.07 PROPOSAL GUARANTY

(a) No bid will be considered for any Contract in excess of $100,000 unless accompanied by a guaranty in an amount not less than 5 percent of the amount bid, or such amount as may be specified elsewhere in the bid documents and made payable to the State of Maryland.

(b) Acceptable forms of security for bid guaranty shall be:

(1) A bond in a form satisfactory to the State underwritten by a surety company authorized to do business in this State;

(2) A bank certified check, bank cashier's check, bank treasurer's check, or trust account;

(3) Pledge of securities backed by the full faith and credit of the United States government or bonds issued by the State of Maryland; or

(4) Cash - if submitted pursuant to COMAR 21.06.07.01C.

GP-2.08 DELIVERY OF BIDS

Each bid must be submitted in a sealed envelope plainly marked to indicate its contents. When sent by mail, the sealed bid must be addressed to the Administration at the address and in care of the official in whose office the bids are to be received. All bids shall be filed prior to the time and at the place specified in the Notice to Contractors. Bids received after the time for opening of bids will be treated in accordance with the provisions of GP-2.12.

GP-2.09 COMMUNICATIONS AND INTERPRETATIONS - PRIOR TO BID OPENING

Any information regarding the requirements or the interpretation of any provision of the General Provisions, Special General Provisions, Specifications or any part of the bidding documents shall be requested, in writing, from the procurement officer, and delivered no later than 10 days prior to the scheduled date of bid opening. Responses to questions or

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inquiries having any material effect on the bids shall be made by written addenda, or by written notice sent to all prospective bidders. DO NOT MAKE VERBAL INQUIRIES.

Any verbal interpretations or oral pre-bid statements made by State employees or their representatives shall not be binding upon the State.

GP-2.10 AMENDMENTS TO INVITATIONS FOR BIDS

(a) Form. Each amendment to an Invitation for Bids shall be in writing and identified as such.

(b) Acknowledgements. Unless otherwise provided, the bidder shall acknowledge receipt of all amendments.

GP-2.11 PRE-OPENING MODIFICATION OR WITHDRAWAL OF BIDS

(a) Procedure. Bids may be modified or withdrawn by written notice received in the office designated in the Invitation for Bids before the time and date set for bid opening. A telegraphic modification or withdrawal received by telephone from the receiving telegraph company office before the time and date set for bid opening shall be effective if the telegraph company confirms the telephone message by sending a written copy of the telegram showing that the message was received at the telegraph company's office before the time and date set for bid opening.

(b) Disposition of Bid Security. If a bid is withdrawn in accordance with this regulation, the bid security, if any, shall be returned to the bidder.

GP-2.12 LATE BIDS, LATE WITHDRAWALS, AND LATE MODIFICATION

(a) Policy. Any bid received at the place designated in the solicitation after the time and date set for receipt of bids is late. Any request for withdrawal or request for modification received at the place designated in the solicitation after the time and date set for receipt of bids.

(b) Treatment. A late bid, late request for modification, or late request for withdrawal may not be considered. Late bids will be returned to the bidder unopened. Upon written approval of the Office of the Attorney General, exceptions may be made when a late bid, withdrawal, or modification is received before Contract award, and the bid, withdrawal, or modification would have been timely but for the action or inaction of State personnel directing the procurement activity or their employees.

NOTE: Provision GP-2.12(b) does not apply to Federal Aid projects.

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GP-2.13 OPENING AND RECORDING OF BIDS

(a) Opening and Recording. Bids and modifications shall be opened publicly, at the time, date, and place designated in the Invitation for Bids. The name of each bidder, the bid price, and such other information as is deemed appropriate shall be read aloud or otherwise made available. This information also shall be recorded at the time of bid opening. The bids shall be tabulated or a bid abstract made. The opened bid shall be available for public inspection at a reasonable time after bid opening but in any case before Contract award except to the extent the bidder designates trade secrets or other proprietary data to be confidential as set forth in COMAR 21. Material so designated shall accompany the bid and shall be readily separable from the bid in order to facilitate public inspection of the nonconfidential portion of the bid. Prices, makes, and model or catalog numbers of the items offered, deliveries, and terms of payment shall be publicly available at a reasonable time after bid opening but in any event before Contract award regardless of any designation to the contrary at the time of bid opening.

(b) Confidential Data. The procurement officer shall examine the bids to determine the validity of any requests for nondisclosure of trade secrets and other proprietary data identified in writing. Confidential, proprietary information, and trade secrets furnished by a bidder or offeror may be disclosed to another State agency if there is a need for the information and may not be disclosed outside of State government except as provided by the Public Information Act or other applicable laws of this State.

GP-2.14 MISTAKES IN BIDS

(a) Mistakes Discovered Before Opening. A bidder may correct mistakes discovered before the time and date set for bid opening by withdrawing or correcting the bid as provided in GP-2.11.

(b) Confirmation of Bid. If the procurement officer knows or has reason to conclude that a mistake may have been made, the bidder may be required to confirm the bid. Situations in which confirmation may be requested include obvious, apparent errors on the face of the bid or a bid unreasonably lower than the other bids submitted. If the bidder alleges mistake, the bid may be corrected or withdrawn upon written approval of the Office of the Attorney General if any of the following conditions are met:

(1) If the mistake and intended correction are clearly evident on the face of the bid document, the bid shall be corrected to the intended correct bid and may not be withdrawn. Examples of mistakes that may be clearly evident on the face of the bid document are typographical errors, errors in extending unit prices, transposition errors, and arithmetical errors.

(2) A bidder may be permitted to withdraw a low bid if:

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(a) A mistake is clearly evident on the face of the bid document but the intended correct bid is not similarly evident; or (b) The bidder submits proof of evidentiary value which clearly and convincingly demonstrates that a mistake was made.

(c) Mistakes Discovered After Award. Mistakes may not be corrected after award of the Contract except when the procurement officer and the head of a procurement agency makes a determination that it would be unconscionable not to allow the mistake to be corrected. Changes in price are not permitted. Corrections shall be submitted to and approved by the Office of the Attorney General.

GP-2.15 MINOR IRREGULARITIES OR INFORMALITIES

(a) General. Minor irregularities or informalities in bids, as defined below, may be waived if the procurement officer determines that it shall be in the State's best interest. The procurement officer may either give a bidder an opportunity to cure any deficiency resulting from a technicality or minor irregularity in its bid, or waive the deficiency where it is to the State's advantage to do so.

When at any public opening of bids, a bid appears to be irregular, as herein specified, this fact may be announced when read. Said bid shall be read as other bids and then referred to the procurement officer for consideration and appropriate action thereon in accordance with these General Provisions, Law and Regulation.

A minor irregularity is one which is merely a matter of form and not of substance or pertains to some immaterial or inconsequential defect or variation of a bid or proposal from the exact requirement of the solicitation, the correction or waiver of which would not be prejudicial to other bidders or offerors. The defect or variation in the bid or proposal is immaterial and inconsequential when its significance as to price, quantity, quality, or delivery is trivial or negligible when contrasted with the total cost or scope of the supplies or services being procured and the intent and meaning of the entire bid or proposal is clear.

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GP-2.16 CANCELLATION OF INVITATIONS FOR BIDS

(a) Before opening of bids a solicitation may be canceled in whole or in part when the State determines this action is fiscally advantageous or otherwise in its best interest.

(b) When a solicitation is canceled before bid opening, the bids shall be returned to the vendors submitting them and notice of cancellation shall be included.

GP-2.17 REJECTION OF INDIVIDUAL BIDS OR PROPOSALS

(a) Any bid may be rejected in whole or in part when it is in the best interest of the State to do so.

(b) Reasons for rejection of a bid may include but are not limited to:

(1) The bid is not responsive i.e., it does not conform in all material respects to the solicitation.

(2) Unreasonable price;

(3) The bidder submitting the bid is determined to be nonresponsible. A determination of nonresponsibility may be made for, but is not limited to, any of the following reasons:

(a) Bidder debarred or ineligible and period of debarment or ineligibility not expired.

(b) The unit prices contained in a bid are unbalanced.

(d) Inadequate quantity and/or quality of experience, plant, equipment, financing, manpower or other resources required to perform the Contract.

(e) Bidder's workload which, in the judgement of the Administration, might hinder or prevent the prompt completion of the subject work if awarded.

(f) Default by the bidder on other Contracts.

(g) Failure to pay or satisfactorily settle all reasonable and just bills due for labor and material on prior or current Contracts.

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(h) The same person has an interest in more than one bid on a Contract exclusive of being named by another bidder as a subcontractor.

(i) Failure to perform satisfactorily on other Contracts awarded, and the conditions leading to unsatisfactory performance remain unresolved.

(j) Any other reason affecting the bidder's ability to perform, or record of business integrity.

(k) Bidder not otherwise qualified and eligible to receive an award under applicable laws and regulations.

(4) The bidder or offeror fails to supply information to the procurement officer promptly, after notification from the procurement officer that such information is required in connection with a determination to be made pursuant to this GP-2.17.

GP-2.18 REJECTION OF ALL BIDS

(a) After opening of bids or proposals but before award, all bids or proposals may be rejected in whole or in part when the procurement officer, with the approval of the agency head or his designee, determines that this action is fiscally advantageous or otherwise in the State's best interest.

(b) A notice of rejection of all bids shall be sent to all vendors that submitted bids, and bids which have been opened shall be retained by the Administration.

GP-2.19 BID EVALUATION AND AWARD

(a) General. The Contract is to be awarded to the responsible and responsive bidder whose bid meets the requirements and evaluation criteria set forth in the Invitation for Bids, and is either the lowest bid price or lowest evaluated bid price.

(b) Determination of Lowest Bidder. Bids shall be evaluated to determine which bidder offers the lowest cost to the State in accordance with the evaluation criteria set forth in the Invitation for Bids.

Except as otherwise provided under GP-2.14 Mistakes in Bids:

(1) The unit price will govern in the event of a discrepancy between the unit price bid and the extended price (product of unit price multiplied by the quantity).

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(2) The sum of the extended prices will govern in the event of a discrepancy between the total lump sum bid and the extended prices.

(3) The written words will govern in the event of a discrepancy between the prices written in words and the prices written in figures.

(4) If a unit price has been omitted, the unit price will be determined by dividing the extended price by the quantity.

The Administration reserves the right to make the award by item, or groups of items, or total bid if it is in the best interest of the State to do so unless the bidder specifies in his bid that a particular or progressive award is not acceptable.

(c) Award. Upon determination of the lowest bidder, review of the bid for responsiveness, and satisfaction that the bidder is responsible, the Contract may be awarded to that bidder. A Contract may be awarded to a bidder offering a higher quality item than that designated in the Invitation for Bids if that bidder is also the lowest responsive and responsible bidder.

GP-2.20 TIE BIDS

(a) Definition. Tie bids are responsive bids from responsible bidders that are identical in price, terms and conditions and which meet all the requirements and evaluation criteria set forth in the Invitation for Bids.

(b) Award. In the instance of tie bids, the award shall be made in accordance with COMAR 21.05.02.14. If identical low bids are received from an in- State and out-of-State bidder, the award shall be made to the in-State bidder. If identical low bids are received from in-State bidders or from out-of-State bidders, a drawing shall be conducted, and a witness shall be present to verify and certify the result.

GP-2.21 RESIDENT BUSINESS PREFERENCE

(a) When awarding a Contract by competitive sealed bidding, if the State in which a nonresident firm submitting the lowest responsible bid is located gives a competitive advantage to its resident businesses, a procurement agency may give an identical competitive advantage to the Maryland firm submitting the lowest responsive and responsible bid in order to determine Contract award.

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(b) A competitive advantage may include:

(1) A percentage preference;

(2) An employee residency requirement;

(3) Any other provision that favors a nonresident firm over a Maryland firm.

GP-2.22 MULTIPLE OR ALTERNATE BIDS

Unless multiple or alternate bids are requested in the solicitation, these bids may not be accepted. However, if a bidder clearly indicates a base bid, it shall be considered for award as though it were the only bid submitted by the bidder.

GP-2.23 BID PROTESTS

A bid protest must be in writing and filed with the procurement officer. Oral objections, whether or not acted on, are not protests.

(a) Time for Filing.

(1) A bid protest shall be filed not later than 7 days after the basis for protest is known or should have been known, whichever is earlier.

(2) A protest based on alleged improprieties in the solicitation which are apparent before the bid opening or the closing date for receipt of initial proposals shall be filed before the opening date or the closing date for receipt of initial proposals.

(b) Content of Written Protest.

(1) Name and address of protestor.

(2) Bid or Contract number.

(3) Reasons for protest.

(4) Supporting exhibits, evidence or documents to support claim. If not available within filing time, indicate expected availability date.

(5) Mark envelope "protest".

Bid protests will be resolved pursuant to COMAR 21.10.02.

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GP - SECTION 3 AWARD AND EXECUTION OF CONTRACT

GP-3.01 AWARD OF CONTRACT (See GP-2.19)

Written notice of award shall be sent to the successful bidder. A Notice of Award may be rescinded at any time prior to execution of the Contract by the Administrator.

GP-3.02 RETURN OF PROPOSAL GUARANTY

All proposal guaranties, except those of the three lowest bidders, will be returned immediately following opening and the review of the proposals. The guaranty of the three lowest bidders will be returned following the execution of the Contract and approval by the Board, if required. The Contractor has the right to substitute a bid bond for other bid security at any time prior to return of the proposal guaranty.

GP-3.03 PERFORMANCE BOND AND PAYMENT BOND REQUIREMENTS

(a) Acceptable security for performance and payment shall be as stated in COMAR 21.06.07.01B.

(b) Performance and Payment Bonds. A performance and payment bond is required for all construction Contracts in excess of $100,000, each in the amount equal to at least 100 percent of the Contract price. The bonds shall be delivered by the bidder to the Administration no later than the time the Contract is to be executed. If the bidder fails to deliver the required bonds, his bid shall be rejected, his bid security shall be enforced, and award of the Contract may be made to the next lowest responsive and responsible bidder.

(1) The required performance bond shall be in the form specified in COMAR 21.07.02.10, Exhibit A.

(2) The required payment bond shall be in the form specified in COMAR 21.07.02.10, Exhibit B.

GP-3.04 EXECUTION OF CONTRACT

(a) The Contract shall be effective only upon receipt by the Administration of the proper, executed Contract form, and performance and payment bonds (if required), approval by the Board of Public Works, (if required), and execution of the Contract by the Administration.

(b) After a Notice of Award, as provided in GP-3.01, has been issued to a bidder, the Administration shall forward the formal Contract form and the appropriate forms for the payment and performance bonds (if any) to the bidder for execution. The bidder will execute the Contract form and return

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same, together with fully executed payment and performance bonds (if any), to the Administration within 10 days after receipt of same. After receipt of properly executed Contract form and payment and performance bonds, (if any), the Administration will execute the Contract within 60 days and forward the bidder a copy; provided, however, that the Board has approved the Contract if such approval is required. If the Administration fails to execute the Contract and the period of irrevocability has expired, the bidder may, as its sole remedy, withdraw its bids.

GP-3.05 FAILURE TO EXECUTE CONTRACT

Failure of the bidder to execute the Contract and file acceptable security as defined in GP-3.03 within the time aforesaid shall be just cause for the annulment of the award and the forfeiture of the proposal guaranty which shall become the property of the State of Maryland, not as a penalty but in liquidation of damages sustained. Award may then be made to the next lowest responsive, responsible bidder or the work may be readvertised and constructed under Contract or otherwise, as the Administration may decide.

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GP - SECTION 4 SCOPE OF WORK

GP-4.01 INTENT OF CONTRACT

(a) The Contractor shall (within specified tolerances) perform all work in accordance with the lines, grades, typical cross sections, dimensions, and other data shown on the Plans or as modified by written orders including the furnishing of all materials, implements, machinery, equipment, tools, supplies, transportation, labor, and all other things necessary to the satisfactory prosecution and completion of the project in full compliance with the Contract requirements.

(b) The documents composing the Contract Documents are intended to be complementary, and to describe the construction and completion of the work. Anything mentioned in the Specifications and not shown on the Contract drawings, or shown on the Contract drawing and not mentioned in the Specifications shall be of like effect as if it is shown or mentioned in both.

(c) Omissions from the drawings or Specifications or the misdescription of details of work which are manifestly necessary to carry out the intent of the drawings and Specifications or which are customarily performed shall not relieve the Contractor from performing such omitted or misdescribed details of work, but they shall be performed as if fully and correctly set forth and described in the drawings and Specifications.

GP-4.02 GENERAL PROVISIONS CONTROLLING

In the event of a conflict between these General Provisions and any other provision of the Contract Documents, these General Provisions shall prevail unless such other provision expressly provides to the contrary.

GP-4.03 ENTIRE CONTRACT

The Contract Documents represent the entire and integrated agreement between the parties hereto and supersedes all prior negotiations, representations or agreements either written or oral.

GP-4.04 VARIATIONS IN ESTIMATED QUANTITIES

Where the quantity of a pay item in this Contract is an estimated quantity and where the actual quantity of such pay item varies more than 25 percent above or below the estimated quantity stated in this Contract, an equitable adjustment in the Contract price shall be made upon demand of either party. The equitable adjustment shall be based upon any increase or decrease in costs due solely to the variation above 125 percent or below 75 percent of the estimated quantity. If the quantity variation is such as to cause an increase in the time

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necessary for completion, the procurement officer shall, upon receipt of a written request for an extension of time within 10 days from the beginning of the delay, or within a further period of time which may be granted by the procurement officer before the date of final settlement of the Contract, ascertain the facts and make the adjustment for extending the completion date as in his judgment the findings justify.

GP-4.05 DIFFERING SITE CONDITIONS

(a) The Contractor shall promptly, and before such conditions are disturbed, notify the procurement officer in writing of:

(1) Subsurface or latent physical conditions at the site differing materially from those indicated in this Contract; or

(2) Unknown physical conditions at the site of an unusual nature, differing materially from those ordinarily encountered and generally recognized as inherent in work of the character provided for in this Contract. The procurement officer shall promptly investigate the conditions, and if he finds that such conditions do materially so differ and cause an increase or decrease in the Contractor's cost of, or the time required for, performance of any part of the work under this Contract, whether or not changed as a result of such conditions, an equitable adjustment shall be made and the Contract modified in writing accordingly.

(b) No claim of the Contractor under this clause shall be allowed unless the Contractor has given the notice required in (a) above; provided however, the time prescribed therefor may be extended by the State.

(c) No claim by the Contractor for an equitable adjustment hereunder shall be allowed if asserted after final payment under this Contract.

GP-4.06 CHANGES

(a) The procurement officer may unilaterally, at any time, without notice to the sureties, if any, by written order designated or indicated to be a change order, make any change in the work within the general scope of the Contract, including but not limited to changes:

(1) In the Specifications (including drawings and designs);

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

(3) In the State-furnished facilities, equipment, materials, services, or site; or

(4) Directing acceleration in the performance of the work.

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(b) Any other written order or an oral order including a direction, instruction, interpretation or determination from the procurement officer that causes any such change, shall be treated as a change order under this clause, provided that the Contractor gives the procurement officer written notice stating the date, circumstances, and source of the order and that the Contractor regards the order as a change order.

(c) Except as herein provided, no order, statement, or conduct of the procurement officer shall be treated as a change under this clause or entitle the Contractor to an equitable adjustment hereunder.

(d) Subject to paragraph (f), if any change under this clause causes an increase or decrease in the Contractor's cost of, or the time required for, the performance of any part of the work under this Contract, whether or not changed by any order, an equitable adjustment shall be made and the Contract modified in writing accordingly. Provided, however, that except for claims based on defective specifications, no claim for any change under (b) above shall be allowed for any costs incurred more than 20 days before the Contractor gives written notice as therein required; and provided further, that in the case of defective Specifications for which the State is responsible, the equitable adjustment shall include any increased cost reasonably incurred by the Contractor in attempting to comply with such defective Specifications.

(e) If the Contractor intends to assert a claim for an equitable adjustment under this clause, he shall, within 30 days after receipt of a written change order under (a) above or the furnishing of written notice under (b) above, submit to the procurement officer a written statement setting forth the general nature and monetary extent of such claim, unless this period is extended by the State. The statement of claim hereunder may be included in the notice under (b) above.

(f) Each Contract modification or change order that affects Contract price shall be subject to the prior written approval of the procurement officer and other appropriate authorities and to prior certification of the appropriate fiscal authority of fund availability and the effect of the modification or change order on the project budget or the total construction cost. If, according to the certification of the fiscal authority, the Contract modification or change order will cause an increase in cost that will exceed budgeted and available funds, the modification or change order may not be made unless sufficient additional funds are made available or the scope of the project is adjusted to permit its completion within the project budget.

(g) No claim by the Contractor for an equitable adjustment hereunder shall be allowed if asserted after final payment under this Contract.

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GP-4.07 NEGOTIATED PAYMENT PROVISION

If the Contractor is entitled to an equitable adjustment, the Contractor shall be allowed to add the following maximum percentages for overhead and profit to his costs for labor and materials:

(a) Twenty percent may be added by the Contractor for overhead and profit for work performed by his own forces.

(b) Fifteen percent may be added by the subcontractor for overhead and profit for work performed by the subcontractor; the Contractor may add an additional 5 percent of the subcontractor's costs for labor and materials.

(c) The provisions of paragraphs (a) and (b) above apply only to price adjustments negotiated prior to completion of the added or changed work and do not apply to work performed on a force account basis as provided for in paragraph GP-9.02 or Variations In Estimated Quantities as provided for in GP-4.04.

GP-4.08 UNAUTHORIZED WORK

Work done contrary to or regardless of the instructions of the procurement officer; work done beyond the lines and grades shown on the Contract Drawings, or as given; or any extra work done without written authority will be considered as unauthorized and at the expense of the Contractor and will not be measured or paid for. Work so done may be ordered removed and/or replaced at the Contractor's expense.

GP-4.09 FINAL CLEAN UP

Upon completion of the work specified in the Contract and before final payment will be made, the construction area and all other adjoining areas, other than those owned by him, occupied by the Contractor during the construction of said Contract shall be cleaned of all surplus and discarded materials, spilled materials, excess materials left deposited on the permanent work as a result of the Contractor's operations, false work, and rubbish and temporary structures and buildings, that were placed thereon by the Contractor. The adjoining areas mentioned above, outside the normal pay limits for seeding, will be reshaped, seeded and mulched, or otherwise restored as directed by the procurement officer at the Contractor's expense.

GP-4.10 WARRANTY OF CONSTRUCTION

(a) In addition to any other warranties at law or set out elsewhere in this Contract, the Contractor warrants for one year after final acceptance of the work, that work performed under this Contract conforms to the Contract requirements and is free of any defect of equipment, material or design furnished, or workmanship performed by the Contractor or any of his subcontractors or suppliers at any tier. With respect to any part of the work which the State takes possession of prior to final acceptance,

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such warranty shall continue for a period of one year from the date the State takes possession. Under this warranty, the Contractor shall remedy at his own expense any such failure to conform or any such defect. In addition, the Contractor shall remedy at his own expense any damage to State owned or controlled real or personal property, when that damage is the result of the Contractor's failure to conform to Contract requirements or any such defect of equipment, material, workmanship, or design. The Contractor shall also restore any work damaged in fulfilling the terms of this clause. The Contractor's warranty with respect to work repaired or replaced hereunder will run for one year from the date of such repair or replacement.

(b) The State shall notify the Contractor in writing within a reasonable time after the discovery of any failure, defect, or damage.

(c) Should the Contractor fail to remedy any failure, defect, or damage described in (a) above within a reasonable time after receipt of notice thereof, the State shall have the right to replace, repair, or otherwise remedy such failure, defect, or damage at the Contractor's expense.

(d) In addition to the other rights and remedies provided by this clause, all subcontractors', manufacturers', and suppliers' warranties expressed or implied, respecting any work and materials shall, at the direction of the State, be enforced by the Contractor for the benefit of the State. In such case if the Contractor's warranty under (a) above has expired, any suit directed by the State to enforce a subcontractor's, manufacturer's or supplier's warranty shall be at the expense of the State. The Contractor shall obtain any warranties which the subcontractors, manufacturers, or suppliers would give in normal commercial practice.

(e) If directed by the procurement officer, the Contractor shall require any such warranties to be executed in writing to the State.

(f) Notwithstanding any other provision of this clause, unless such a defect is caused by the negligence of the Contractor or his subcontractors or suppliers at any tier, the Contractor shall not be liable for the repair or any defects of material or design furnished by the State nor for the repair of any damage which results from any such defect in State furnished material or design.

(g) The warranty specified herein shall not limit the State's rights under GP-5.13 Acceptance clause of this Contract.

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GP - SECTION 5 CONTROL OF THE WORK

GP-5.01 AUTHORITY OF THE PROCUREMENT OFFICER

(a) The procurement officer shall decide all questions which may arise as to the quality and acceptability of materials furnished and work performed and as to the rate of progress of said work; all questions which may arise as to the interpretation of any or all Plans and Specifications; and all questions as to the acceptable fulfillment of the Contract on the part of the Contractor.

(b) The procurement officer shall determine the amount and quantity of work performed and materials which are to be paid for under the Contract.

(c) The procurement officer shall have the authority to suspend the work wholly or in part due to the failure of the Contractor to carry out provisions of the Contract.

GP-5.02 CONFORMITY WITH CONTRACT REQUIREMENTS

All work performed and all materials furnished shall be in conformity with the Contract requirements.

In the event the procurement officer finds the materials or the finished product in which the materials are used or the work performed are not in reasonably close conformity with the Contract requirements and have resulted in an inferior or unsatisfactory product, the work or materials shall be removed and replaced or otherwise corrected by and at the expense of the Contractor.

In the event the procurement officer finds the materials or the finished product in which the materials are used are not in conformity with the Contract requirements but that acceptable work has been produced, he shall then make a determination if the work shall be accepted. In this event, the procurement officer will document the basis of acceptance by a change order which will provide for an appropriate adjustment in the Contract price. Any action taken pursuant to this paragraph may not result in an increase of the Contract price.

GP-5.03 DISCREPANCIES IN THE CONTRACT DOCUMENTS

In the event the Contractor discovers any discrepancies in the Contract Documents, he shall immediately notify the procurement officer. The procurement officer will then make such corrections and interpretations as may be deemed necessary for fulfilling the intent of the Contract.

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GP-5.04 COOPERATION BY CONTRACTOR

The Contractor will keep available on the project site at all times one complete set of Contract Documents. The Contractor shall give the work the constant attention necessary to facilitate the progress thereof, and shall cooperate with the procurement officer and his inspectors in every way possible.

The Contractor shall assign to the Contract as his agent, a competent superintendent capable of communicating in English and capable of reading and thoroughly understanding the Contract Documents and thoroughly experienced in the type of work being performed, who shall receive instructions from the procurement officer or his authorized representatives. The superintendent shall have full authority to execute the order or directions of the procurement officer without delay, and to promptly supply such materials, equipment, tools, labor and incidentals as may be required. Such superintendence shall be furnished irrespective of the amount of work sublet. Said superintendent shall be on the project site at all times when the work is in progress.

GP-5.05 COOPERATION WITH UTILITIES

It is understood and agreed that the Contractor has considered in his bid all of the permanent and temporary utility appurtenances in their present or relocated positions and that no additional compensation will be allowed for delays, inconvenience, or damage sustained by him due to any interference from the said utility appurtenances or the operation of moving them.

The Contractor shall have responsibility for notifying all affected utility companies prior to the necessity of performing any work on their utilities and shall cooperate with them in achieving the desired result. All damage to utility facilities caused by the Contractor's operations shall be the responsibility of the Contractor.

GP-5.06 COOPERATION BETWEEN CONTRACTORS

(a) Separate Contractors on adjoining or overlapping work shall cooperate with each other as necessary. Such cooperation shall include:

(1) Arrangement and conduct of work;

(2) Storage and disposal of materials, etc., by each in such manner as to not unnecessarily interfere with or hinder the progress of the work being performed by other Contractors. Contiguous work shall be joined in an acceptable manner.

(b) The Administration and Department shall have the right, at any time, to Contract for and perform other work on, near, over or under the work covered by this Contract. In addition, other work may be performed under the jurisdiction of another Administration or State agency. In such cases, when a dispute arises among Contractors, the procurement officer will

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decide which of the procurement officers will have jurisdiction over said dispute. The Contractor shall cooperate fully with such other Contractors and carefully fit his own work to such other work as may be directed by the procurement officer.

(c) The Contractor agrees that in the event of dispute as to cooperation the procurement officer will act as referee. The Contractor agrees to make no claims against the Administration for any inconvenience, delay or loss experienced by them because of the presence and operations of other Contractors.

GP-5.07 AUTHORITY AND DUTIES OF INSPECTORS

Inspectors shall be authorized to inspect all work done and all material furnished. Such inspection may extend to all or any part of the work and to the preparation, fabrication or manufacture of the materials to be used. The inspector is not authorized to revoke, alter or waive any requirements of the Contract, nor is he authorized to approve or accept any portion of the complete project. He is authorized to call the attention of the Contractor to any failure of the work or materials to conform to the Contract. He shall have the authority to reject materials or suspend the work until any questions at issue can be referred to and decided by the procurement officer. Inspectors shall perform their duties at such times and in such manner as will not unnecessarily impede progress on the Contract.

The inspector shall in no case act as foreman or perform other duties for the Contractor, nor interfere with the management of the work by the latter. Any advice, instruction, direction or other order which the inspector may give the Contractor shall not be construed as binding the procurement officer in any way, or releasing the Contractor from fulfilling all of the terms of the Contract.

Where there is disagreement between the Contractor (or his representative) and the inspector, such as refusal by the Contractor to use properly approved material, performing work not in compliance with Plans and Specifications, and/or refusing to suspend work until problems at issue can be referred to and decided by the procurement officer, the inspector will immediately direct the procurement officer's attention to the issues of disagreement. If the Contractor still refuses to make corrections, comply or suspend work, the procurement officer will prepare and deliver in writing to the Contractor, by mail or otherwise, a written order suspending the work and explaining the reason for such shutdown. As soon as the inspector is advised of the delivery of the shutdown order, the inspector shall immediately leave the site of the work and any work performed during the inspector's absence will not be accepted or paid for and may be required to be removed and disposed of at the Contractor's expense.

GP-5.08 INSPECTION OF WORK

All materials and each part or detail of the work shall be subject at all times to inspection by the procurement officer or his authorized representative, and the Contractor will be held strictly to the materials, workmanship, and the diligent execution of the Contract. Such inspection may include mill, plant or shop inspection, and any material furnished under the

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Contract is subject to such inspection. The procurement officer, or his representative, shall be allowed access to all parts of the work and shall be furnished with such information and assistance by the Contractor as is required to make a complete and detailed inspection.

If the procurement officer requests it, the Contractor, at any time before acceptance of the work, shall remove or uncover such portions of the finished work as may be directed. After examination, the Contractor shall restore said portions of the work to the standards required by the Contract. Should the work thus exposed or examined prove acceptable, adjustments in Contract time and price will be made pursuant to Section GP-4.06 for the uncovering or removing, and the replacing of the covering or making good of the parts removed. Should the work so exposed or examined prove unacceptable, the uncovering, or removing and replacing, shall be at the Contractor's expense.

When the United States Government or any railroad, corporation or other agency is to pay a portion of the cost of the work covered by this Contract, their respective representatives shall have the right to inspect the work.

GP-5.09 REMOVAL OF DEFECTIVE WORK

All work and materials which do not conform to the requirement of the Contract will be considered unacceptable, unless otherwise determined acceptable under the provisions in GP-5.02.

Any defective work, whether the result of poor workmanship, use of defective materials, damage through carelessness or any other cause, found to exist shall be removed and replaced by work and materials which shall conform to the Specifications or shall be remedied otherwise in an acceptable manner authorized by the procurement officer.

Upon failure on the part of the Contractor to comply promptly with any order of the procurement officer, made under the provisions of these General Provisions the procurement officer shall have authority to cause defective work to be remedied or removed and replaced and unauthorized work to be removed and to deduct the costs from any monies due or to become due the Contractor under this Contract.

GP-5.10 LOAD RESTRICTIONS

(a) The Contractor shall comply with all State and local requirements pertaining to speed, size and weight of motor vehicles.

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(b) The Administration may indicate in the Contract load restrictions on any road or structure within the vicinity of the project.

(c) The Contractor shall take into account any and all posted bridges, the crossing of which might be contemplated by the work on the Contract. No loads in excess of posted limits will be allowed in the prosecution of the work on any Contract, unless the required permits are obtained from the appropriate State and local governmental agencies.

(d) The Contractor shall consider possible detrimental effects of operating heavy paving and grading equipment contiguous to retaining walls, pipe culverts, arches, forms for concrete work as well as construction existing prior to this Contract.

(e) The procurement officer shall have the right to limit passage of heavy equipment (plus loads) when such passage or usage is causing apparent or visible damage to embankments, paving, structures or any other property.

(f) Within the Baltimore City limits, the Department of Transit and Traffic of the City of Baltimore has jurisdiction for oversize and overweight vehicle movements. Permits are obtainable from the Transit and Traffic Department.

GP-5.11 MAINTENANCE OF WORK DURING CONSTRUCTION

(a) The Contractor shall maintain the work during construction and until acceptance. This maintenance shall constitute continuous and effective work prosecuted as required with adequate equipment and forces to the end that all parts of the work be kept in satisfactory condition at all times.

(b) Particular attention shall be given to drainage, both permanent and temporary. The Contractor shall use all reasonable precautionary measures to avoid damage or loss that might result from accumulations and concentrations of drainage water, and material carried by such water and such drainage shall be diverted or removed when necessary to prevent damage to excavation, embankments, surfacing, structures or property. Suitable measures shall be taken by the Contractor to prevent the erosion of soil in all construction areas where the existing ground cover has been removed.

(c) All cost of maintenance work during construction and before final acceptance shall be included in the price bid and the Contractor will not be paid additional amount for such work, except as otherwise provided.

(d) In the event that the Contractor's work is ordered shutdown for failure to comply with the provisions of the Contract, the Contractor shall maintain the entire project as provided herein, and provide such ingress and egress for local residents or tenants adjacent to the project site, for tenants of the

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(e) project site, and for the general public as may be necessary during the period of suspended work or until the Contract has been declared in default.

(f) On projects where traffic flow is maintained, the Contractor shall be responsible for repair of all traffic damages to the work, either partially or totally completed, until such time as the work is accepted by the procurement officer. Responsible, as used here, shall mean the responsibility for restoration, and the cost thereof unless otherwise expressly provided for in the Special Provisions.

GP-5.12 FAILURE TO MAINTAIN ENTIRE PROJECT

Failure on the part of the Contractor, at any time, to comply with the provisions of GP-5.11 above, will result in the procurement officer's immediately notifying the Contractor to comply with the required maintenance provisions. In the event that the Contractor fails to remedy unsatisfactory maintenance within 24 hours after receipt of such notice, the procurement officer will immediately proceed with adequate forces and equipment to maintain the project, and the entire cost of this maintenance will be deducted from monies due the Contractor.

GP-5.13 ACCEPTANCE FOR MAINTENANCE

(a) Partial Acceptance for Maintenance. If at any time during the performance of the work the Contractor substantially completes a unit or portion of the work, he may request the procurement officer to make final inspection of that unit. If the procurement officer finds upon inspection that the unit has been satisfactorily completed in compliance with the Contract, he may accept that unit as being completed and the Contractor may be relieved of further maintenance responsibility for that unit. Generally, partial acceptance for maintenance will only be considered when the Administration feels that such action is in the public interest. Such partial acceptance for maintenance shall in no way void or alter any of the terms of the Contract.

(b) Final Acceptance for Maintenance. Upon due notice from the Contractor of presumptive completion of the entire project, the procurement officer shall make a construction inspection and if at such inspection all construction provided for and contemplated by the Contract is found completed, such inspection shall constitute the final inspection and the procurement officer shall make the acceptance for maintenance as of that date, and the Contractor shall be notified of such acceptance in writing. After acceptance for maintenance the Administration will assume responsibility for maintenance except where otherwise provided by the Contract.

(c) If, however, at any construction inspection any work in whole or in part is found unsatisfactory, the procurement officer shall give the Contractor the necessary instructions as to the work required for final completion and acceptance for maintenance. The Contractor forthwith shall comply with and execute such instructions. Upon completion of such work, another

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inspection shall be made which shall constitute the final inspection if the said work is found to have been completed satisfactorily. In such event, the procurement officer shall make the acceptance for maintenance and the Contractor shall be notified as aforesaid. After final acceptance for maintenance, the Administration will assume responsibility for maintenance except where otherwise provided by the Contract.

(d) Unless otherwise provided in this Contract, acceptance by the State shall be made as promptly as practicable after completion and inspection of all work required by this Contract, or that portion of the work that the procurement officer determines can be accepted separately. Acceptance shall be final and conclusive except as regards latent defects, fraud, such gross mistakes as may amount to fraud or the State's rights under any warranty or guarantee or any claims or counter claims reserved by the State.

GP-5.14 CLAIMS

Unless a shorter period is prescribed by law or elsewhere in this Contract,

(a) The Contractor shall file a written notice of claim for extension of time, equitable adjustment, extra compensation, damages, or any other matter (whether under or relating to this Contract) with the procurement officer within 30 days after the basis for the claim is known or should have been known, whichever is earlier.

(b) Contemporaneously with or within 30 days of the filing of a notice of a claim, but no later than the date that final payment is made, a Contractor shall submit the claim to the appropriate procurement officer. The claim shall be in writing and shall contain:

(1) An explanation of the claim, including reference to all Contract provisions upon which it is based;

(2) The amount of the claim;

(3) The facts upon which the claim is based;

(4) All pertinent data and correspondence that the Contractor relies upon to substantiate the claim; and

(5) A certification by a senior official, officer, or general partner of the Contractor or subcontractor, as applicable, that, to the best of the person's knowledge and belief, the claim is made in good faith, supporting data are accurate and complete, and the amount requested accurately reflects the Contract adjustment for which the person believes the Administration is liable.

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(c) The claim shall also contain itemized supporting data for the elements of cost the Contractor claims to have incurred or it will incur. This data shall be in sufficient detail to permit analysis by the Administration of material, labor, equipment, subcontract and overhead costs as well as profit and shall include all work covered by the claim, whether deleted, added, or changed. Subcontract cost shall be supported by similar detailed data.

(d) A notice of claim or a claim that is not filed within the prescribed time shall be dismissed.

GP-5.15 DISPUTES

(a) This Contract is subject to the provisions of Title 15, Subtitle 2, State Finance and Procurement Article (Dispute Resolution) of the Annotated Code of Maryland and COMAR 21.10 (Administrative and Civil Remedies).

(b) Except as otherwise may be provided by law, all disputes arising under or as a result of a breach of this Contract that are not disposed of by mutual agreement shall be resolved in accordance with this clause.

(c) As used herein, "claim" means a written demand or assertion by one of the parties seeking, as a legal right, the payment of money, adjustment or interpretation of Contract terms, or other relief, arising under or relating to this Contract.

A voucher, invoice, or request for payment that is not in dispute when submitted is not a claim under this clause. However, if the submission subsequently is not acted upon in a reasonable time, or is disputed either as to liability or amount, it may be converted to a claim for the purpose of this clause.

(d) A claim shall be made in writing and submitted to the procurement officer for decision in consultation with the Office of the Attorney General.

(e) When a claim cannot be resolved by mutual agreement, the Contractor shall submit a written request for final decision to the procurement officer. The written request shall set forth all the facts surrounding the controversy.

(f) The Contractor, at the discretion of the procurement officer, may be afforded an opportunity to be heard and to offer evidence in support of his claim.

(g) The procurement officer shall render a written decision on all claims within 180 days of receipt of the Contractor's written claim, unless the time is extended by mutual agreement of the parties. If a decision is not issued within 180 days, the procurement officer shall notify the Contractor of the time within which a decision shall be rendered and the reasons for such time extension. The decision shall be furnished to the Contractor, by certified mail, return receipt requested, or by any other method that provides evidence GP - 31 T-0000-0000

of receipt. The procurement officer's decision shall be deemed the final action of the State. (h) The procurement officer's decision shall be final and conclusive unless the Contractor mails or otherwise files a written appeal with the Maryland State Board of Contract Appeals within 30 days of receipt of the decision.

(i) Pending resolution of a claim, the Contractor shall proceed diligently with the performance of the Contract in accordance with the procurement officer's decision.

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GP - SECTION 6 CONTROL OF MATERIAL

GP-6.01 GENERAL

All materials shall meet all quality requirements of the Contract. In order to expedite the inspection and testing of the materials, the Contractor shall notify the procurement officer in writing of the sources from which he proposes to obtain all materials requiring approval, testing, inspection, or certification prior to incorporation into the work as soon as possible after receipt of notification of award of the Contract.

GP-6.02 STORAGE AND HANDLING OF MATERIALS

Materials shall be so stored as to assure the preservation of their quality and acceptability for the work. Stored materials, even though approved before storage, may again be inspected prior to their use in the work. Stored materials shall be located so as to facilitate their prompt inspection. Approved portions of the right-of-way or project site may be used for storage purposes and for the placing of the Contractor's plant and equipment; such storage areas must be restored to their original condition by the Contractor at his expense. Any additional space required must be provided by the Contractor at his expense.

Materials shall be handled in such a manner as to preserve their quality and acceptability for the work.

GP-6.03 UNACCEPTABLE MATERIALS

(a) Materials represented by samples taken and tested in accordance with the specified tests and failing to meet required values shall be considered to be defective regardless of prior tests or approvals.

(b) Unless otherwise allowed by the procurement officer as set forth below, defective materials shall be removed from the site with any tags, stamps or other markings implying conformance with Specifications removed or obliterated.

(c) Where defects can be corrected, the Contractor may propose such corrective action as he deems appropriate to the procurement officer. The procurement officer may approve the corrective action but in so doing does not assume responsibility for the success thereof. Retests will be made to determine the acceptability of the material after corrective measures have been taken. No person other than the procurement officer may change any provision of the Specifications or the Contract without written authorization.

(d) The cost of replacing, correcting and/or removal of defective material will be the responsibility of the Contractor.

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(e) The cost of repairing or replacing other materials damaged by the installation, correction and/or removal of defective materials will be the responsibility of the Contractor.

GP-6.04 ADMINISTRATION FURNISHED MATERIAL

The Contractor shall furnish all materials required to complete the work, except those specified to be furnished by the Administration. Materials furnished by the Administration will be delivered or made available to the Contractor at the point or points specified in the Special Provisions. The cost of handling and placing all materials, after they are delivered to the Contractor, shall be considered as included in the Contract price for the item in connection with which they are used.

The Contractor shall be held responsible for all material delivered to him, and deductions will be made from any monies due him to make good any shortages and deficiencies, from any cause whatsoever, and for any damage which may occur after such delivery, and for any demurrage charges.

In cases where materials are supplied by the Administration and incorporated in the Contract work by the Contractor, materials inspection and acceptance will not be prerequisite for acceptance of the final product as the product pertains to these items.

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GP - SECTION 7 LEGAL RELATIONS AND RESPONSIBILITY TO PUBLIC

GP-7.01 COMPLIANCE WITH LAWS

The Contractor hereby represents and warrants that:

(a) It is qualified to do business in the State of Maryland and that it will take such action as, from time to time hereafter, may be necessary to remain so qualified;

(b) It is not in arrears with respect to the payment of any monies due and owing the State of Maryland, or any department or unit thereof, including, but not limited to the payment of taxes and employee benefits, and that it shall not become so in arrears during the term of this Contract;

(c) It shall comply with all Federal, State and local laws, regulations and ordinances applicable to its activities and obligations under this Contract, including the provisions of COMAR Title 21 that are applicable to construction Contracts and which are incorporated herein by reference; and

(d) All requirements set forth in Federal assistance instruments applicable to this Contract shall be satisfied. Therefore, to the extent that the requirements which are specified in the assistance instrument conflict with regulations adopted under COMAR Title 21, the former shall control.

GP-7.02 PERMITS AND LICENSES

(a) The Contractor shall procure at his own expense such permits, licenses, insurance and governmental approval as may be necessary in order to comply with Federal, State and local laws, ordinances and regulations in performance of the work. He shall further give all notices necessary and incidental to the due and lawful prosecution of the work.

(b) Federal permits, from the U.S. Corps of Engineers, Environmental Protection Agency, and/or United States Coast Guard, for erection of structures in tidal waters will be obtained by the Administration and the Contractor shall comply with the requirements of such permits. Any required Federal permits, however, desired by the Contractor for temporary structures such as docks, piers, anchorages, etc., must be applied for and obtained by the Contractor.

GP-7.03 PATENTED DEVICES, MATERIALS AND PROCESSES

If the Contractor is required or desires to use any design, device, material, or process covered by letters of patent or copyright, he shall provide for such use by suitable legal agreement with the patentee or owner and a copy of such agreement shall be filed with the Administration; if no such agreement is made or filed as noted, the Contractor and the surety

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shall indemnify and save harmless the State, any affected third party, or political subdivision from any and all claims for infringement by reason of the use of any such patented design, device, materials or process, or any trademark or copyright, and shall indemnify, protect and save harmless the State, its officers, agents and employees with respect to any claim, action, cost or judgement for patent, trademark or copyright infringement, arising out of purchase or use of materials, construction, supplies, equipment or services covered by this Contract.

GP-7.04 FEDERAL PARTICIPATION

When the United States Government pays all or any portion of the cost of a project, the work shall be subject to the inspection of the appropriate federal agency. Such inspection shall in no sense make the federal government a party to this Contract, and will not interfere, in any way, with the rights of either party hereunder.

GP-7.05 CONSTRUCTION SAFETY AND HEALTH STANDARDS

It is a condition of this Contract, and shall be made a condition of each subcontract entered into pursuant to this Contract, that the Contractor and any subcontractor shall not require any laborer or mechanic employed in performance of the Contract to work in surroundings or under working conditions which are unsanitary, hazardous, or dangerous to his health or safety, as determined under construction safety and health standards and regulations (Title 29, Code of Federal Regulations, Part 1926, formerly Part 1518, as revised from time to time) promulgated by the United States Secretary of Labor, in accordance with Section 107 of the Contract Work Hours and Safety Standard Act, (83 Stat. 96) and under any construction safety and health standards and regulations promulgated by the Commissioner of Labor and Industry in accordance with the Maryland Occupational Safety and Health Act, Article 89, Section 28 thru 49A, inclusive, Annotated Code of Maryland (as the same may be amended from time to time).

The Contractor and each subcontractor shall permit inspection without delay and at any reasonable time on any premises where the work is being performed by a federal or state inspector authorized to investigate compliance with the above mentioned federal and state statutes and regulations.

The Contractor further agrees to correct any violations found to exist during such inspection within a reasonable time after the issuance of any citation, unless he contests the validity thereof through the appropriate administrative and judicial process.

GP-7.06 PUBLIC CONVENIENCE AND SAFETY

The Contractor at all times shall conduct the work in such a manner as to ensure the least practicable obstruction to all forms of traffic. The convenience of the general public, tenants, and of the residents along and/or adjacent to the improvement shall be provided for. Equipment and/or materials stored upon the project shall be placed so as to cause a minimum of obstruction to the public. Sprinkling shall be performed at the direction of the procurement officer. The Contractor shall, unless otherwise specified, provide and maintain in passable condition such temporary access, roads and bridges as may be necessary to

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accommodate traffic diverted from the project under construction, or using the project under construction and shall provide and maintain in a safe condition temporary approaches to, and crossings of the project. Existing Department facilities planned to be removed, but which might be of service to the public during construction are not to be disturbed until other and adequate provisions are made. Existing mailboxes shall be maintained or reset in positions accessible to the public and to mail deliveries during construction and subsequent to construction in their final locations in a satisfactory condition. On Department facilities occupied by railroad tracks, temporary platforms for the entrance and exit of passengers to and from the railway cars shall be provided and maintained in an approved manner by the Contractor. Fire hydrants on or adjacent to the project shall be kept accessible to fire apparatus at all times, and no material or obstruction shall be placed within 15 feet of any such hydrant. All footways, gutters, sewer inlets and portions of the project adjoining the work under construction shall not be obstructed more than is absolutely necessary. Work closed down for the winter or at any other times shall be left entirely accessible at all points to fire apparatus.

GP-7.07 DETOURS

Detours may be indicated in the Contract Documents, or at the Contractor's request traffic may be detoured over approved routes along existing roads when acceptable to the procurement officer. Detours over existing State roads will be designated, marked and maintained by the appropriate Administrations. All other detours will be the responsibility of the Contractor.

GP-7.08 BARRICADES AND WARNING SIGNS

The Contractor shall provide, erect and maintain all necessary barricades, suitable and sufficient lights, danger signals, signs and other traffic control devices, and shall take all necessary precautions for the protection of the work and safety of the public. All highways and other Department facilities closed to vehicular traffic shall be protected by effective barricades, and obstructions shall be illuminated during hours of darkness with electric lights.

The Contractor shall erect warning signs in advance of any place on the project where operations may interfere with the use of the facility by vehicular traffic, and at all other points where the new work crosses or coincides with an existing roadway or traffic lane(s). Such warning signs shall be constructed and erected in accordance with the Manual on Uniform Traffic Control Devices, or as directed.

The Contractor shall furnish, erect and maintain warning and direction signs in the number required by the procurement officer and at locations designated by the procurement officer throughout the limits of the project. For street and highway type traffic, the signs shall conform in every respect to the requirements of the Manual on Uniform Traffic Control Devices (MUTCD) for Streets and Highways. Signs must be freshly painted and adequately reflectorized before being placed on any project. No work may be performed or begun unless an adequate number of signs of the proper category are in place.

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In cases where the Contractor's sequence of operations results in grade differentials which would be hazardous to vehicular traffic the Contractor shall, at the direction of the procurement officer provide suitable substantial traffic barriers to the extent determined by the procurement officer.

GP-7.09 FLAGGING OF MOTOR VEHICLE TRAFFIC

For all construction Contracts requiring the flagging of motor vehicles licensed for operation on the highways of Maryland, said flagging shall be conducted as specified in the Manual on Traffic Control Devices for Streets and Highways.

GP-7.10 MAINTENANCE OF TRAFFIC

Unless otherwise noted in the Special Provisions, it shall be the Contractor's responsibility to maintain pedestrian and vehicular traffic safely, adequately and continuously on all portions of existing facilities affected by his work. In addition to existing facilities undergoing improvement, this also applies to crossroads, approaches, crossovers and entrances affected or made necessary by his work.

GP-7.11 PRESERVATION AND RESTORATION OF PROPERTY

(a) The Contractor shall not enter upon public or private property (outside of the right-of-way or project area) for any purpose without obtaining permission and he shall be responsible for the preservation of all public and private property, trees, monuments, signs and markers and fences thereon, and shall use every precaution necessary to prevent damage or injury thereto.

All Department signs and markers that are affected by the work shall be carefully removed when grading operations begin and delivered to the procurement officer. The Contractor shall take suitable precaution to prevent damage to underground or overhead public utility structures; shall protect carefully from disturbances or damages all land monuments and property marks until the procurement officer has referenced their location; and shall replace them as directed by the procurement officer.

(b) The Contractor shall be responsible for all damage or injury to property of any character during the prosecution of the work, resulting from any act, omission, neglect or misconduct in his manner or method of executing said work, or at any time due to defective work or materials, and said responsibility shall not be released until the work shall have been completed and accepted. When or where any direct or indirect damage or injury is done to public or private property by or on account of any act, omission, neglect or misconduct in the execution of the work or in consequence of the nonexecution thereof on the part of the Contractor, he shall restore, at his own expense, such property to a condition similar to, or equal to, that existing before such damage or injury, in an acceptable manner. In case of the failure on the part of the Contractor to restore such property or make good such damage or injury, the procurement officer may, upon 48 hours

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notice, proceed to repair, rebuild or otherwise restore such property as may be deemed necessary and the cost thereof will be deducted from any monies due or which may become due the Contractor under this Contract.

GP-7.12 LAND, AIR AND WATER POLLUTION

(a) The Contractor shall incorporate all permanent erosion control features into the work at the earliest practicable time as required by the Contract Documents. Temporary pollution control measures will be used to correct conditions that develop during construction that were not foreseen during design; that are needed prior to installation of permanent pollution control features; or that are needed temporarily to control erosion that develops during normal construction practices, but are not associated with permanent control features on the project.

(b) The Contractor's attention is directed to the fact that temporary pollution control may include control measures outside the right-of-way or project site where such work is necessary as a direct result of project construction. The procurement officer shall be kept advised of all such off-site control measures taken by the Contractor. This shall not relieve the Contractor of the basic responsibilities for such work.

(c) In case of failure on the part of the Contractor to control erosion, pollution or siltation, the procurement officer reserves the right to employ outside assistance or to use his own forces to provide the necessary corrective measures. All expenses incurred by the procurement officer in the performance of such duties for the Contractor shall be withheld from monies becoming due to the Contractor.

(d) Contractors and suppliers must submit evidence to the Administration that the governing Federal, State and local air pollution criteria will be met. This evidence and related documents will be retained by the Administration for on-site evaluation.

GP-7.13 RESPONSIBILITY FOR DAMAGE CLAIMS

(a) The Contractor shall indemnify and save harmless the State and all of its representatives from all suits, actions, or claims of any character brought on account of any injuries or damages sustained by any person or property in consequence of any neglect in safeguarding the work or through the use of unacceptable materials in the construction of the improvement, or on account of any act or omission by the said Contractor, or as a result of faulty, inadequate or improper temporary drainage during construction, or on account of the use, misuse, storage or handling of explosives, or on account of any claims or amounts recovered for any infringement of patent, trademark, or copyright, or from any claims or amounts arising or recovered under the Workmen's Compensation Laws, or any other State or local law, bylaw, ordinance, regulation, order or decree whether by himself or his

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employees or subcontractors. The Contractor shall be responsible for all damage or injury to property of any character during the prosecution of the work resulting from any act, omission, neglect or misconduct, in the manner or method of executing said work satisfactorily or due to the nonexecution of said work or at any time due to defective work or materials and said responsibility shall continue until the improvement shall have been completed and accepted.

(b) The Contractor shall conduct his operations upon the right of-way of any railroad company fully within the rules, regulations and requirements of the railroad company. The Contractor shall be responsible for acquainting himself with such requirements as the railroad company may demand.

(c) The Contractor shall be held responsible for any accidents that may happen to the railroad company as a result of his operations.

(d) The Contractor shall not be held responsible for any claims arising from accidents incurred because of any traffic or general use permitted during the time the project or any section thereof is open to traffic under the terms of GP-7.15 except from accidents which are attributable to his negligence.

GP-7.14 LIABILITY INSURANCE

Prior to the start of work on this Contract, the Contractor shall submit to the procurement officer a certificate of insurance indicating that he carries comprehensive general public liability and property damage insurance in the amounts specified elsewhere in the Contract.

GP-7.15 USE AND POSSESSION PRIOR TO COMPLETION

The Administration shall have the right to take possession of or use any completed or partially completed part of the work. Such possession of or use shall not be deemed an acceptance of any work not completed in accordance with the Contract. While the Administration is in such possession, the Contractor shall be relieved of the responsibility for loss or damage to that portion of the work in possession of the Administration, other than that resulting from the Contractor's fault or negligence. If such prior possession or use by the Administration delays the progress of the work or causes additional expense to the Contractor, an equitable adjustment in the Contract price or the time of completion will be made and the Contract shall be modified in writing accordingly.

GP-7.16 CONTRACTOR'S RESPONSIBILITY FOR WORK

(a) Except as herein elsewhere provided, until final acceptance of the work by the Administration, the Contractor shall have the charge and care thereof and shall take every reasonable precaution against injury or damage to any part thereof by the action of the elements, or from any other cause, whether rising from the execution or from the nonexecution of the work. The Contractor, except as herein elsewhere provided, shall rebuild, repair, restore, and make good all injuries or damages to any portion of the work occasioned by any of

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the above causes before final acceptance and shall bear the expense thereof. Material lost or structures damaged as a result of faulty temporary drainage during construction or the action of the elements shall be replaced or repaired by the Contractor at no cost to the Administration. The Contractor shall make good or replace at his own expense and as required any Administration furnished material which may be broken, lost through fire, theft, or otherwise damaged, or in any way made useless for the purpose and use intended subsequent to delivery to the Contractor by the Administration and prior to final acceptance of the work even though such breakage, damage, loss or uselessness may result from causes beyond the control of the Contractor.

(b) In case of suspension of work for any cause whatever, the Contractor shall be responsible for the project and shall take such precautions as may be necessary to prevent damage to the work, provide for normal drainage and shall erect any necessary temporary structures, signs, or other facilities at his expense. During such period of suspension of work, the Contractor shall properly and continuously maintain in an acceptable growing condition all living material in newly established plantings, seedings, and soddings furnished under this Contract, and shall take adequate precautions to protect new growth and other important vegetative growth against injury.

GP-7.17 CONTRACTOR'S RESPONSIBILITY FOR UTILITY PROPERTY AND SERVICES

At points where the Contractor's operations are adjacent to properties of railway, telegraph, telephone, and power companies, or are adjacent to other property, damage to which might result in expense, loss or inconvenience, work shall not be commenced until all arrangements necessary for the protection thereof have been made by the Contractor.

The Contractor shall cooperate with the owners of any underground or overhead utility lines in their removal and rearrangement operations in order that these operations may progress in a reasonable manner, that duplication or rearrangement work may be reduced to a minimum and that services rendered by those parties will not be unnecessarily interrupted.

In the event of interruption to utility services as a result of accidental breakage or as a result of being exposed or unsupported, the Contractor shall promptly notify the proper authority and shall cooperate with the said authority in the restoration of service. No work shall be undertaken around fire hydrants until provisions for continued service have been approved by the local fire authority.

GP-7.18 PERSONAL LIABILITY OF PUBLIC OFFICIALS

In carrying out any of the provisions of the Contract, or in exercising any power or authority granted to them by or within the scope of the Contract, there shall be no liability upon the Administrator, procurement officer or other authorized representatives, either personally or as officials of the State, it being understood that in all such matters they act solely as agents and representatives of the State.

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GP-7.19 NO WAIVER OF LEGAL RIGHTS

The Administration shall not be precluded or estopped by any measurement, estimate, or certificate made either before or after the completion and acceptance of the work and payment therefore, from showing the true amount and character of the work performed and materials furnished by the Contractor, nor from showing that any such measurement, estimate or certificate is untrue or is incorrectly made, nor from showing that the work or materials do not in fact conform to the Contract. The Administration shall not be precluded or estopped, notwithstanding any such measurement, estimate or certificate and payment in accordance therewith, from recovering from the Contractor or his sureties, or both, such damage as it may sustain by reason of his failure to comply with the terms of the Contract. Neither the acceptance by the Administration, or any representative of the Administration, nor any payment for or acceptance of the whole or any part of the work, nor any extension of time, nor any possession taken by the Administration, shall operate as a waiver of any portion of the Contract or of any power herein reserved, or of any right to damages.

The waiver of any breach of the Contract shall not be held to be a waiver of any other or subsequent breach.

GP-7.20 NONDISCRIMINATION IN EMPLOYMENT

(a) Compliance with State Law and Regulations

(1) State Law

The Contractor agrees:

(a) Not to discriminate in any manner against an employee or applicant for employment because of race, color, religion, creed, age, sex, marital status, national origin, ancestry, or physical or mental handicap unrelated in nature and extent so as reasonably to preclude the performance of such employment;

(b) To include a provision similar to that contained in subsection (a), above, in any subcontract except a subcontract for standard commercial supplies or raw materials; and

(c) To post and to cause subcontractors to post in conspicuous places available to employees and applicants for employment, notices setting forth the substance of this clause. (2) Sanctions for Noncompliance

In the event of the Contractor's noncompliance with the nondiscrimination provisions of this Agreement, the Department shall impose such sanctions as it may determine to be appropriate, including but not limited to:

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(a) Withholding of payment to the Contractor under the agreement until the Contractor complies, and/or

(b) Cancellation, termination or suspension of the Agreement in whole or in part.

(b) Compliance with Federal Law

Contractors providing materials, equipment, supplies, or services to the State under this Contract herewith assure the State that they are conforming to the provisions of the Civil Rights Act of 1964 and Section 202 of Executive Order 11246 of the President of the United States of America as amended by Executive Order 11375, as applicable.

The Contractor shall comply with all applicable Federal laws pertaining to nondiscrimination in employment.

GP-7.21 SANCTIONS UPON IMPROPER ACTS

In the event the Contractor, or any of its officers, partners, principals or employees, is convicted of a crime arising out of, or in connection with, the procurement of work to be done or payment to be made under this Contract, the Contract may, in the discretion of the Department, be terminated for default under GP-8.O8.

Section 16-203 of the State Finance and Procurement Article of the Annotated Code, and COMAR 21.08.01, which relate to Contracts with persons convicted of bribery, attempted bribery or conspiracy to bribe are incorporated in this Contract by reference.

Section 11-205 of the State Finance and Procurement Article and COMAR 21.08.03 relating to collusion for purposes of defrauding the State are incorporated into this Contract by reference.

Section 16-101 of the State Finance and Procurement Article and COMAR 21.08.04 relating to debarment for offenses other than bribery are incorporated into this Contract by reference.

GP-7.22 NONHIRING OF EMPLOYEES

No employee of the State of Maryland or any unit thereof, whose duties as such employee include matters relating to or affecting the subject matter of this Contract, shall, while so employed, become or be an employee of the party or parties hereby contracting with said State of Maryland or any unit thereof.

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GP-7.23 CHOICE OF LAW

The Parties hereby agree that:

(a) This Contract was made and entered into in Maryland, and under the laws of Maryland.

(b) The law of Maryland shall govern the resolution of any issue arising in connection with this Contract, including, but not limited to, all questions concerning the validity of this Contract; the capacity of the parties to enter therein; any modification or amendment thereto; and the rights and obligations of the parties hereunder.

GP-7.24 CONTINGENT FEE PROHIBITION

(a) The Contractor warrants that it has not employed or retained any person, partnership, corporation, or other entity, other than a bona fide employee or agent working for the Contractor, to solicit or secure this Contract, and that it has not paid or agreed to pay any person, partnership, corporation, or other entity, other than a bona fide employee or agent, any fee or any other consideration contingent on the making of this Contract.

(b) For breach or violation of this warranty, the Administration shall have the right to terminate this Agreement without liability, or, in its discretion, to deduct from the Contract price or consideration, or otherwise recover, the full amount of such fee, commission, percentage, brokerage fee, gift or contingent fee.

GP-7.25 MULTI-YEAR CONTRACTS CONTINGENT UPON APPROPRIATIONS

If the General Assembly fails to appropriate funds or if funds are not otherwise made available for continued performance for any fiscal period of this Contract succeeding the first fiscal period, this Contract shall be canceled automatically as of the beginning of the fiscal year for which funds were not appropriated or otherwise made available; provided, however, that this will not affect either the State's rights or the Contractor's rights under any termination clause in this Contract. The effect of termination of the Contract hereunder will be to discharge both the Contractor and the State from future performance of the Contract, but not from their rights and obligations existing at the time of termination. The Contractor shall be reimbursed for the reasonable value of any nonrecurring costs incurred but not amortized in the price of the Contract. The State shall notify the Contractor as soon as it has

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knowledge that funds may not be available for the continuation of this Contract for each succeeding fiscal period beyond the first.

GP-7.26 COST AND PRICE CERTIFICATION

(a) The Contractor by submitting cost or price information certifies that, to the best of its knowledge, the information submitted is accurate, complete, and current as of a mutually determined specified date prior to the conclusion of any price discussions or negotiations for:

(1) A negotiated Contract, if the total Contract price is expected to exceed $100,000 or a smaller amount set by the procurement officer.

(2) A change order or Contract modification, expected to exceed $100,000 or a smaller amount set by the procurement officer.

(b) The price under this Contract and any change order or modification hereunder, including profit or fee, shall be adjusted to exclude any significant price increase occurring because the Contractor furnished cost or price information which, as of the date agreed upon between the parties, was inaccurate, incomplete, or not current.

GP-7.27 CORPORATE REGISTRATION AND TAX PAYMENT CERTIFICATION

Corporations are required to execute a certification of corporation registration and tax payment in the form included in the Contract Documents.

GP-7.28 BUY AMERICAN STEEL ACT

The Provisions of COMAR 21.11.02 pertaining to implementation of the "Buy American Steel" Act (Subtitle 3 of Title 17 of the State Finance and Procurement Article of the Annotated Code of Maryland) are incorporated in this Contract by reference.

GP-7.29 MINORITY BUSINESS ENTERPRISE AND AFFIRMATIVE ACTION

(a) This Contract is subject to Executive Order 01.01.170.15, December 9, 1970; amended by Order 01.01.1976.05, July 9, 1976 (Code of Fair Practices), and COMAR 21.11.04 Contractor's Affirmative Action Plan Review/Approval and Compliance Monitoring Process-DOT. This Contract is also subject to the applicable provisions of Title 14, Subtitle 3 of the State Finance and Procurement Article of the Annotated Code of Maryland; COMAR 21.11.03 Minority Business Enterprise Policies; and provisions of COMAR 11.01.10 which incorporate by reference the current revision of the Minority Business Enterprise Program. Copies of the Minority Business Enterprise Program may be obtained from the Department of Transportation Fair Practices Officer, P.O. Box 548, Hanover, Maryland 21076. This Contract is also subject to all applicable

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Federal and State laws and regulations pertaining to Minority Business Enterprise and Affirmative Action.

(b) To the extent any of the above laws or regulations are applicable to this Contract they are specifically incorporated herein.

GP-7.30 PREVAILING WAGE CONTRACTS FOR PUBLIC WORKS

(a) The Provisions of Subtitle 2 of Title 17 of the State Finance and Procurement article of the Annotated Code of Maryland and COMAR 21.11.11 pertaining to Prevailing Wage for Public Works are incorporated in construction Contracts of $500,000 or more by reference.

(b) When all or a portion of the cost of a project is funded by the U.S. Government, and the cost of the project exceeds $2,000 the minimum wage rates and benefits paid to workmen under the Contract shall be those prevailing in the locality as predetermined by the Secretary of Labor pursuant to the Davis-Bacon Act (40 USC 276a to a-7) and Regulations (29 CFR, Part 5) promulgated thereunder. Davis Bacon rates applicable to this agreement, if any, are specified elsewhere in the Contract Document.

GP-7.31 SMALL BUSINESS PROCUREMENTS

If the solicitation for bid indicates that this procurement has been designated for a small business preferences, the appropriate provisions of COMAR 21.11.01 pertaining to small business preferences shall apply and are incorporated herein by reference.

GP-7.32 FINANCIAL DISCLOSURE

The Contractor shall comply with the provisions of Section 13-221 of the State Finance and Procurement Article of the Annotated Code of Maryland which requires that every business that enters into Contracts, leases or other agreements with the State of Maryland or its agencies during a calendar year under which the business is to receive in the aggregate $100,000 or more, shall, within 30 days of the time when the aggregate value of these Contracts, leases or other agreements reaches $100,000, file with the Secretary of the State of Maryland certain specified information to include disclosure of beneficial ownership of the business.

GP-7.33 POLITICAL CONTRIBUTION DISCLOSURE

The Contractor shall comply with the provisions of Article 33, Sections 30-1 through 30-4 of the Annotated Code of Maryland which require that every person that enters into Contracts, leases, or other agreements with the State of Maryland or a political subdivision of the State, including its agencies, during a calendar year under which a person receives in the aggregate $10,000 or more, shall on or before February 1 of the following year file with the Secretary of State of Maryland certain specified information to include disclosure of political contributions in excess of $100 to a candidate for elective office in any primary or general election.

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GP-7.34 CONFLICT OF INTEREST LAW

It is unlawful for any State officer, employee, or agent to participate personally in his official capacity through decision, approval, disapproval, recommendation, advice, or investigation in any Contract or other matter in which he, his spouse, parent, minor child, brother, or sister has a financial interest or to which any firm, corporation, association, or other organization in which he has a financial interest or in which he is serving as an officer, director, trustee, partner, or employee is a party, or to which any person or organization with whom he is negotiating or has any arrangement concerning prospective employment, is a party, unless such officer, employee, or agent has previously complied with the provisions of Article 4OA, Subsection 3-101 et seq of the Annotated Code of Maryland.

GP-7.35 PRE-EXISTING REGULATIONS

In accordance with the provisions of Section 11-206 of the State Finance and Procurement Article, Annotated Code of Maryland, the regulations set forth in Title 21 of the Code of Maryland Regulations (COMAR Title 21) in effect on the date of execution of this Contract are applicable to this Contract.

GP-7.36 RETENTION OF RECORDS

(a) The Contractor shall retain and maintain all records and documents, including, but not limited to, cost or pricing data, relating to this Contract for three years after final payment by the State hereunder or any applicable statute of limitations, whichever is longer, and shall make them available for inspection and audit by authorized representatives of the State, including the procurement officer or his designee at all reasonable times.

(b) The Contractor shall include the provisions of paragraph (a) in every subcontract.

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GP-SECTION 8 PROSECUTION AND PROGRESS

GP-8.01 SUBCONTRACTING

Except as may be provided elsewhere in the Contract, the Contractor to whom a Contract is awarded shall perform with his own organization and with the assistance of workmen under his immediate supervision, work of a value of not less than 50 percent of the total original value of the Contract.

No portion of the Contract shall be subcontracted, assigned or otherwise disposed of except with the written consent of the procurement officer. Any assignment, subcontract or other disposition of all or part of this Contract without the express written consent of the procurement officer shall be null and void. Consent to subcontract, assign or otherwise dispose of any portion of the Contract shall not be construed to relieve the Contractor or surety of any responsibility for the fulfilling of all the requirements of the Contract. The Contractor shall incorporate by reference or otherwise include these General Provisions in every subcontract issued pursuant to or under this Contract.

GP-8.02 NOTICE TO PROCEED

After the Contract has been executed, the Administration will, within the time limit specified by the Administration elsewhere in the Contract Documents, issue to the Contractor a "Notice to Proceed" and this notice will stipulate when the Contractor is expected to begin work. The specified Contract time shall begin on the date stipulated in the Notice to Proceed or, if an earlier start is authorized in the Notice to Proceed, on the day work (other than the erection of the inspection office, construction stakeouts and mobilization) actually starts. Work done prior to receipt of the Notice to Proceed is unauthorized and will not be measured or paid for.

GP-8.03 PROSECUTION OF THE WORK

(a) The Contractor shall begin work promptly within the time specified by the procurement officer and shall notify the procurement officer at least 48 hours before starting work.

(b) After the work has once been started, it shall be prosecuted continuously on all acceptable working days without stoppage until the entire Contract is complete.

(c) Should the prosecution of the work for any reason be discontinued, the Contractor shall notify the procurement officer of his intention to stop and shall also notify the procurement officer at least 24 hours in advance of resuming operations. Said notification shall be confirmed in writing.

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GP-8.04 PROGRESS SCHEDULE

(a) Within 30 days after Notice to Proceed, the Contractor shall furnish the procurement officer a "Progress Schedule" showing the proposed order of work and indicating the time required for the completion of the work. Said progress schedule shall be used to establish major construction operations and to check on the progress of the work. The Contractor shall submit revised progress schedules as directed by the procurement officer.

(b) If the Contractor fails to submit the progress schedule within the time prescribed, or the revised schedule within the requested time, the procurement officer may withhold approval of progress payment estimates until such time as the Contractor submits the required progress schedules or may terminate the Contract for default.

(c) If, in the opinion of the procurement officer, the Contractor falls significantly behind the approved progress schedule, the Contractor shall take any and all steps necessary to improve his progress. This may require the Contractor to increase the number of shifts, initiate or increase overtime operations, increase days of work in the work week, or increase the amount of construction plants, or all of them. The procurement officer may also require the Contractor to submit for approval supplemental progress schedules detailing the specific operational changes to be instituted to regain the approved schedule, all without additional cost to the Administration.

(d) Failure of the Contractor to comply with the requirements of the procurement officer under this provision shall be grounds for determination by the procurement officer that the Contractor is not prosecuting the work with such diligence as will insure completion within the time specified. Upon such determination, the procurement officer may terminate the Contractor's right to proceed with the work, or any separable part thereof, in accordance with GP-8.O8 of these General Provisions.

GP-8.05 LIMITATIONS OF OPERATION

The Contractor shall conduct the work at all times in such a manner and in such sequence as will assure the least interference with the public.

GP-8.06 CHARACTER OF WORKMEN, METHODS AND EQUIPMENT

The Contractor shall employ sufficient labor and equipment for prosecuting the several classes of work to full completion in the manner and time required by the Contract.

Workmen must have sufficient skill and experience to perform properly the work assigned to them. All workmen engaged in special work or skilled work shall have sufficient experience in such work and in the operation of the equipment required to perform all work properly and satisfactorily.

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Any person employed by the Contractor or by any subcontractor who, in the opinion of the procurement officer, does not perform his work in a proper manner or is intemperate or disorderly shall, at the written request of the procurement officer, be removed forthwith by the Contractor or subcontractor employing such foreman or workman, and shall not be employed again in any portion of the work without the approval of the procurement officer.

Should the Contractor fail to remove such person or persons as required above, or fail to furnish suitable and sufficient personnel for the proper prosecution of the work, the procurement officer may withhold estimates which are or may become due on the Contract until a satisfactory understanding has been reached.

Equipment to be used on the work shall meet the requirements of the work and produce a satisfactory quality of work. The procurement officer may order the removal and require replacement of any unsatisfactory equipment.

When the methods and equipment to be used by the Contractor in accomplishing the construction are not prescribed in the Contract, the Contractor is free to use any methods or equipment that he demonstrates to the satisfaction of the procurement officer will accomplish the Contract work in conformity with the requirements of the Contract. When the Contract specifies that the construction be performed by the use of certain methods and equipment, such methods and equipment shall be used unless others are authorized by the procurement officer in writing. If the Contractor desires to use a method or type of equipment other than those specified in the Contract, he may request authority from the procurement officer to do so. The request shall be in writing and shall include a full description of the methods and equipment proposed to be used and an explanation of the reasons for desiring to make the change. If approval is given, it will be on the condition that the Contractor will be fully responsible for producing construction work in conformity with Contract requirements. If, after trial use of the substituted methods or equipment, the procurement officer determines that the work produced does not meet Contract requirements, the Contractor shall discontinue the use of the substituted method or equipment and shall complete the remaining construction with the specified methods and equipment. The Contractor shall remove the deficient work and replace it with work of specified quality, or take such other corrective action as the procurement officer may direct. No change will be made in basis of payment for the construction items involved nor in Contract time as the result of authorizing a change in methods or equipment under these provisions.

GP-8.07 SUSPENSION OF WORK

(a) The procurement officer unilaterally may order the Contractor in writing to suspend, delay, or interrupt all or any part of the work for a period of time as he may determine to be appropriate for the convenience of the State.

(b) If the performance of all or any part of the work is for an unreasonable period of time, suspended, delayed, or interrupted by an act of the procurement officer in the administration of this Contract, or by his failure to act within the time specified in this Contract (or if no time is specified, within a reasonable time), an adjustment shall be made for any increase in the cost of performance of this Contract (excluding profit) necessarily caused by an

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unreasonable suspension, delay, or interruption and the Contract modified in writing accordingly. However, no adjustment shall be made under this clause for any suspension, delay, or interruption to the extent that performance would have been so suspended, delayed, or interrupted by any other cause, including the fault or negligence of the Contractor; or for which an equitable adjustment is provided for or excluded under any other provisions of this Contract.

No claim under this clause shall be allowed:

(1) For any costs incurred more than 20 days before the Contractor shall have notified the procurement officer in writing of the act or failure to act involved (but this requirement shall not apply as to a claim resulting from a suspension order); and,

(2) Unless the claim, in an amount stated, is asserted in writing as soon as practicable after the termination of a suspension, delay, or interruption, but not later than the date of final payment under the Contract.

GP-8.08 TERMINATION FOR DEFAULT - DAMAGES FOR DELAY - TIME EXTENSIONS.

(a) If the Contractor refuses or fails to prosecute the work, or any separable part thereof, with such diligence as shall insure its completion within the time specified in this Contract, or any extension thereof, or fails to complete said work within this time, the State may, by written notice to the Contractor, terminate his right to proceed with the work, or the part of the work as to which there has been delay. In this event the State may take over the work and prosecute the same to completion, by Contract or otherwise, and may take possession of and utilize in completing the work the materials, appliances, and plant as may be on the site of the work and necessary therefore. Whether or not the Contractor's right to proceed with the work is terminated, he and his sureties shall be liable for any damage to the State resulting from his refusal or failure to complete the work within the specified time.

(b) If fixed and agreed liquidated damages are provided in the Contract and if the State so terminates the Contractor's right to proceed, the resulting damage shall consist of such liquidated damages until a reasonable time as may be required for final completion of the work together with any increased costs occasioned the State in completing the work.

(c) If fixed and agreed liquidated damages are provided in the Contract and if the State does not so terminate the Contractor's right to proceed, the resulting damage shall consist of these liquidated damages until the work is completed or accepted.

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(d) The Contractor's right to proceed may not be so terminated nor the Contractor charged with resulting damages if:

(1) The delay in the completion of the work arises from unforeseeable causes beyond the control and without the fault or negligence of the Contractor, including but not restricted to, acts of God, acts of the public enemy, acts of the State in either its sovereign or contractual capacity, acts of another Contractor in the performance of a Contract with the State, fires, floods, epidemics, quarantine, restrictions, strikes, freight embargoes, unusually severe weather, or delays of subcontractors or suppliers arising from unforeseeable causes beyond the control and without the fault or negligence of both the Contractor and the subcontractors or suppliers; and,

(2) The Contractor, within 10 days from the beginning of any such delay (unless the procurement officer grants a further period of time before the date of final payment under the Contract), notifies the procurement officer in writing of the causes of delay. The procurement officer shall ascertain the facts and the extent of the delay and extend the time for completing the work when, in his judgment, the findings of fact justify such an extension, and his findings of fact shall be final and conclusive on the parties, subject only to appeal as provided in the "Disputes" clause of this Contract.

(e) If, after notice of termination of the Contractor's right to proceed under the provisions of this clause, it is determined for any reason that the Contractor was not in default under the provisions of this clause, or that the delay was excusable under the provisions of this clause, the rights and obligations of the parties shall, if the Contract contains a clause providing for termination for convenience of the State, be the same as if the notice of termination had been issued pursuant to the clause. If, in the foregoing circumstances, this Contract does not contain a clause providing for termination for convenience of the State, the Contract shall be equitably adjusted to compensate for the termination and the Contract modified accordingly; failure to agree to any such adjustment shall be a dispute concerning a question of fact within the meaning of the clause of this Contract entitled "Disputes".

(f) The rights and remedies of the State provided in this clause are in addition to any other rights and remedies provided by law or under this Contract.

(g) As used in paragraph (d)(1) of this clause, the term "subcontractors or suppliers" means subcontractors or suppliers at any tier.

GP-8.09 LIQUIDATED DAMAGES

Time is an essential element of the Contract and it is important that the work be vigorously prosecuted until completion.

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For each day that any work shall remain uncompleted beyond the time specified elsewhere in the Contract, the Contractor and/or his surety shall be liable for liquidated damages in the amount provided for in the solicitation, provided, however, that due account shall be taken of any adjustment of specified completion time for completion of work as granted by approved change orders.

GP-8.10 TERMINATION FOR CONVENIENCE OF THE STATE

(a) The performance of work under this Contract may be terminated by the State in accordance with this clause in whole, or from time to time in part, whenever the procurement officer shall determine that such termination is in the best interest of the State. Any such termination shall be effected by delivery to the Contractor of a Notice of Termination specifying the extent to which performance of work under the Contract is terminated, and the date upon which such termination becomes effective.

(b) After receipt of Notice of Termination, and except as otherwise directed by the procurement officer, the Contractor shall:

(1) Stop work under the Contract on the date and to the extent specified in the Notice of Termination;

(2) Place no further orders or subcontracts for materials, services or facilities, except as may be necessary for completion of the portion of the work under the Contract as is not terminated;

(3) Terminate all orders and subcontracts to the extent that they relate to the performance of work terminated by Notice of Termination;

(4) Assign to the State in the manner, at the times, and to the extent directed by the procurement officer, all of the right, title, and interest of the Contractor under the orders and subcontracts so terminated, in which case the State shall have the right, in its discretion, to settle or pay any or all claims arising out of the termination of such orders and subcontracts;

(5) Settle all outstanding liabilities and all claims arising out of the termination of orders and subcontracts, with the approval or ratification of the procurement officer, to the extent he may require, which approval or ratification shall be final for all the purposes of this clause;

(6) Transfer title and deliver to the State, in the manner, at the times and to the extent, if any, directed by the procurement officer, (a) the fabricated or unfabricated parts, work in process, completed work, supplies, and other material produced as a part of, or acquired in connection with the performance of the work terminated by the Notice of Termination, and (b) the completed or partially completed GP - 53 T-0000-0000

plans, drawings, information, and other property which, if the Contract had been completed, would have been required to be furnished to the State;

(7) Use its best effort to sell, in the manner, at the times, to the extent, and at the price or prices directed or authorized by the procurement officer, any property of the types referred to in (6) above; provided, however, that the Contractor (a) may not be required to extend credit to any purchaser, and (b) may acquire any such property under the conditions prescribed by and at a price or prices approved by the procurement officer; and provided further that the proceeds of any such transfer or disposition shall be applied in reduction of any payments to be made by the State to the Contractor under this Contract or shall otherwise be credited to the price or cost of the work covered by this Contract or paid in such other manner as the procurement officer may direct;

(8) Complete performance of such part of the work as may not have been terminated by the Notice of Termination; and

(9) Take any action that may be necessary, or as the procurement officer may direct, for the protection and preservation of the property related to this Contract which is in the possession of the Contractor and in which the State has or may acquire an interest. The Contractor shall submit to the procurement officer a list, certified as to quantity and quality, of any or all items of termination inventory not previously disposed of, exclusive of items the disposition of which has been directed or authorized by the procurement officer, and may request the State to remove such items or enter into a storage agreement covering them. Not later than 15 days thereafter, the State shall accept title to such items and remove them or enter into a storage agreement covering the same; provided, that the list submitted shall be subject to verification by the procurement officer upon removal of the items, or if the items are stored, within 45 days from the date of submission of the list, and any necessary adjustment to correct the list as submitted shall be made prior to final settlement.

(c) After receipt of a Notice of Termination, the Contractor shall submit to the procurement officer his termination claim, in the form and with certification prescribed by the procurement officer. This claim shall be submitted promptly but in no event later than one (1) year from the effective date of termination, unless one or more extensions in writing are granted by the procurement officer, upon request of the Contractor made in writing within the one year period or authorized extension thereof. However, if the procurement officer determines that the facts justify such action, he may receive and act upon any such termination claim at any time after the one year period or any extension thereof. Upon failure of the Contractor to submit his termination claim within the time allowed or any extension

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thereof, the procurement officer may determine, on the basis of information available to him, the amount, if any, due to the Contractor by reason of the termination and shall thereupon pay to the Contractor the amount so determined.

(d) Subject to the provisions of paragraph (c), the Contractor and the procurement officer may agree upon the whole or any part of the amount or amounts to be paid to the Contractor by reason of the total or partial termination of work pursuant to this clause, which amount or amounts may include a reasonable allowance for profit on work done; provided, that such agreed amount or amounts, exclusive of settlement costs, shall not exceed the total Contract price as reduced by the amount of payments otherwise made and as further reduced by the Contract price of work not terminated. The Contract shall be amended accordingly, and the Contractor shall be paid the agreed amount. Nothing in paragraph (e) of this clause, prescribing the amount to be paid to the Contractor in the event of failure of the Contractor and the procurement officer to agree upon the whole amount to be paid to the Contractor by reason of the termination of work pursuant to this clause, shall be deemed to limit, restrict, or otherwise determine or affect the amount or amounts which may be agreed upon to be paid to the Contractor pursuant to this paragraph.

(e) In the event of the failure of the Contractor and the procurement officer to agree as provided in paragraph (d), upon the whole amount to be paid to the Contractor by reason of the termination of work pursuant to this clause, the procurement officer shall pay to the Contractor the amounts determined by the procurement officer as follows, but without duplication of any amounts agreed upon in accordance with paragraph (d):

(1) For completed supplies or services accepted by the State (or sold or acquired as provided in paragraph (b)(7) above) and for which payment has not theretofore been made, a sum equivalent to the aggregate price for the supplies or services computed in accordance with the price or prices specified in the Contract, appropriately adjusted for any saving of freight or other charges;

(2) The total of:

(a) The costs incurred in the performance of the work terminated, including initial costs and preparatory expense allocable thereto, but exclusive of any costs attributable to supplies or services paid or to be paid for under paragraph (e)(1) hereof;

(b) The cost of settling and paying claims arising out of the termination of work under subcontracts or orders, as provided in paragraph (b)(5) above, which are properly chargeable to the termination portion of the Contract (exclusive of amounts paid or payable on account of supplies or materials delivered

GP - 55 T-0000-0000

or services furnished by subcontractors or vendors before the effective date of the Notice of Termination, which amounts shall be included in the costs payable under (a) above); and

(c) A sum, as profit on (a) above, determined by the procurement officer to be fair and reasonable; provided, however, that if it appears that the Contractor would have sustained a loss on the entire Contract had it been completed, no profit shall be included or allowed under this subdivision (c) and an appropriate adjustment shall be made reducing the amount of the settlement to reflect the indicated rate of loss; and

(d) The reasonable cost of settlement accounting, legal, clerical, and other expenses reasonably necessary for the preparation of settlement claims and supporting data with respect to the terminated portion of the Contract and for the termination and settlement of subcontracts thereunder, together with reasonable storage, transportation, and other costs incurred in connection with the protection or disposition of property allocable to this Contract.

The total sum to be paid to the Contractor under (1) and (2) of this paragraph shall not exceed the total Contract price as reduced by the amount of payments otherwise made and as further reduced by the Contract price of work not terminated. Except for normal spoilage, and except to the extent that the State shall have otherwise expressly assumed the risk of loss, there shall be excluded from the amounts payable to the Contractor as provided in (e)(1) and (a) above, the fair value, as determined by the procurement officer, of property that is destroyed, lost, stolen, or damaged so as to become undeliverable to the State or to a buyer pursuant to paragraph (b)(7).

(f) Costs claimed, agreed to, or determined pursuant to (c), (d), (e) and (i) hereof shall be in accordance with COMAR 21.09 (Contract Cost Principles and Procedures) as in effect on the date of this Contract.

(g) The Contractor shall have the right of appeal, under the clause of this Contract entitled "Disputes", from any determination made by the procurement officer under paragraph (c), (e), or (i) hereof, except that if the Contractor has failed to submit his claim within the time provided in paragraph (c) or (i) hereof, and has failed to request extension of such time, he shall have no such right of appeal. In any case where the procurement officer has made a determination of the amount due under paragraph (d), (e), or (i) hereof, the State shall pay to the Contractor the following:

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(1) If there is no right of appeal hereunder or if no timely appeal has been taken, the amount so determined by the procurement officer; or,

(2) If an appeal has been taken, the amount finally determined on such appeal.

(h) In arriving at the amount due the Contractor under this clause there shall be deducted:

(1) All unliquidated advance or other payments or account theretofore made to the Contractor, applicable to the terminated portion of this Contract;

(2) Any claim which the State may have against the Contractor in connection with this Contract; and

(3) The agreed price for, or the proceeds of sale of, any materials, supplies, or other things acquired by the Contractor or sold, pursuant to the provisions of this clause, and not otherwise recovered by or credited to the State.

(i) If the termination hereunder be partial, the Contractor may file with the procurement officer a claim for an equitable adjustment of the price or prices specified in the Contract relating to the continued portion of the Contract (the portion not terminated by the Notice of Termination), and such equitable adjustment as may be agreed upon shall be made in such price or prices. Any claim by the Contractor for an equitable adjustment under this clause shall be asserted within ninety (90) days from the effective date of the termination notice, unless an extension is granted in writing by the procurement officer.

(j) The State may, from time to time, under such terms and conditions as it may prescribe, make partial payments and payments on account against costs incurred by the Contractor in connection with the terminated portion of this Contract whenever, in the opinion of the procurement officer, the aggregate of such payments shall be within the amount to which the Contractor shall be entitled hereunder. If the total of such payments is in excess of the amount finally agreed or determined to be due under this clause, such excess shall be payable by the Contractor to the State upon demand, together with interest computed at the prime rate established by the State Treasurer for the period from the date such excess payment is received by the Contractor to the date on which the excess is repaid to the State; provided, however, that no interest shall be charged with respect to any such excess payment attributable to a reduction in the Contractor's claim by reason of retention or other disposition of termination inventory until 10 days after the date of the retention or disposition, or a later date as determined by the procurement officer by reason of the circumstances.

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(k) Unless otherwise provided for in this Contract, or by applicable statute, the Contractor shall, from the effective date of termination until the expiration of three years after final settlement under this Contract, preserve and make available to the State at all reasonable times at the office of the Contractor but without direct charge to the State, all his books, records, documents and other evidence bearing on the costs and expenses of the Contractor under this Contract and relating to the work terminated hereunder, or, to the extent approved by the procurement officer, photographs, microphotographs, or other authentic reproductions thereof.

GP-8.11 SUCCESSFUL TERMINATION OF CONTRACTOR'S RESPONSIBILITY

A Contract will be considered as successfully fulfilled when the work has been completed in accordance with the terms of the Contract; when final acceptance has occurred; when final payment has been authorized; when all of the obligations of the Contractor and his surety have been complied with; and when final payment has been made.

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GP-SECTION 9 PAYMENT

GP-9.01 SCOPE OF PAYMENT

Payment to the Contractor will be made for the actual quantities of Contract items performed in accordance with the Plans and Specifications and if, upon completion of the construction, these actual quantities show either an increase or decrease from the quantities given in the bid schedule, the Contract unit prices will still prevail, except as provided in GP-4.04 Variations in Estimated Quantities.

The payment of any partial estimate or of any retained percentage except by and under the approved final estimate and voucher, in no way shall affect the obligation of the Contractor to repair or renew any defective parts of the construction or to be responsible for all damages due to such defects.

When requested in writing by the Contractor and approved by the procurement officer, payment allowance will be made for nonperishable material to be incorporated in the work delivered and stockpiled at the work site or other approved site. Material for which payment has been made, wholly or partially, shall not be removed from the worksite or other approved site.

Payment to the Contractor under this section for materials on hand in no way will be construed as acceptance by the Administration of title to the material. Title shall remain with the Contractor until the project has been completed and accepted in accordance with GP-5.13.

Contractor shall indicate his Federal Tax Identification or Social Security Number on the face of each invoice billed to the State.

On Contracts in excess of $25,000, the Contractor, prior to receiving a progress or final payment under this Contract, shall first certify in writing that he has made payment from proceeds of prior payments, and that he will make timely payments, from the proceeds of the progress or final payment then due him, to his subcontractors and suppliers in accordance with his contractual arrangements with them and State Finance and Procurement Article, §17-106. This certification may be required by the procurement officer for Contracts of $25,000 or less.

GP-9.02 FORCE ACCOUNT WORK

When the Contractor is required to perform work as a result of additions or changes to the Contract for which there are no applicable unit prices in the Contract, the Administration and Contractor shall make every effort to come to an agreed upon price for the performance of such work. If an agreement cannot be reached, the Administration may require the Contractor to do such work on a force account basis to be compensated in accordance with the following:

GP - 59 T-0000-0000

(a) Labor. For all labor and for foremen in direct charge of the specific operations, the Contractor shall receive the actual wages for each and every hour that said labor and foremen are actually engaged in such work.

(b) Materials. For materials accepted by the procurement officer and used, the Contractor shall receive the actual cost of such materials delivered on the work, including transportation charges paid by him (exclusive of machinery rentals as hereinafter set forth).

(c) Equipment. For any machinery or special equipment (other than small tools, whether rented or owned), the use of which has been authorized by the procurement officer, the Contractor shall receive the rates agreed upon in writing before such work is begun, or the Contractor shall receive those rates which may be specified elsewhere in the Special Provisions. For the purpose of definition, equipment with a new cost of $500 or less will be considered small tools.

(d) Materials and Supplies Not Incorporated in the Work. For materials and supplies expended in the performance of the work (excluding those required for rented equipment) and approved by the procurement officer, the Contractor shall receive the actual cost of such materials and supplies used. The Contractor shall receive a reasonable allowance for materials used but not expended in the performance of the work.

(e) Subcontractors. The Contractor shall receive the actual cost of work performed by a subcontractor. Subcontractor's cost is to be determined as in (a), (b), (c), and (d) above, plus the fixed fee for overhead and profit allowance computed as in (g).

(f) Superintendence. No additional allowance shall be made for general superintendence, the use of small tools, or other costs for which no specific allowance is herein provided.

(g) Contractor's Fixed Fee. The procurement officer and the Contractor shall negotiate a fixed fee for force account work performed pursuant to this GP-9.02 by his forces and by his subcontractors, as compensation for overhead and profit for the work performed. Failure of the Contractor and the procurement officer to negotiate a fixed fee consistent with applicable cost principles in COMAR 21.09.01, shall be treated as a dispute pursuant to GP-5.15 and the Contractor shall proceed diligently with the performance of the force account work to completion. The Contractor's fixed fee shall include an amount equal to the sum of 65 percent of (a) which shall include, but not be limited to the following:

(1) Compensation for all costs paid to, or in behalf of, workmen by reason of subsistence and travel allowances, health and welfare benefits, pension fund benefits or other benefits that may be required by collective bargaining

GP - 60 T-0000-0000

agreement or other employment Contract generally applicable to the classes of labor employed in the work.

(2) Bond premiums, property damage, liability and workmen's compensation insurance premiums, unemployment insurance contributions and Social Security taxes on the force account work.

In addition, the Contractor's fixed fee may include an amount not to exceed 20 percent of (b) and 5 percent of (d), and 5 percent of (e) with the exception of that portion chargeable to equipment as defined above.

(h) Compensation. The compensation as set forth above shall be received by the Contractor as payment in full for change order work done on a force account basis. At the end of each day, the Contractor's representative and the procurement officer shall compare records of the cost of work as ordered on a force account basis.

(i) Statements. No payment will be made for work performed on a force account basis until the Contractor furnishes the procurement officer duplicate itemized statements of the cost of such force account work detailed as to the following:

(1) Name, classification, date, daily hours, total hours, rate, and extension for such laborer, or foreman.

(2) Designation, dates, daily hours, total hours, rental rate, and extension for each unit of machinery and equipment.

(3) Quantities of materials, prices and extensions.

(4) Transportation of materials.

(5) Payments of items under (i)(1) shall be accomplished by copies of certified payrolls. Under (i)(2) original receipted invoices for rentals must be provided if requested by the procurement officer. Paragraphs (i)(3) and (i)(4) shall be accompanied by original receipted invoices for materials used and transportation charges. If, however, the materials used in the force account work are not specifically purchased for such work but are taken from the Contractor's stock, then in lieu of the original invoices the statements shall contain or be accompanied by an affidavit of the Contractor which shall certify that such materials were taken from his stock, that the quantity claimed was actually used and that the price and transportation of the material as claimed represent actual cost. Any request for payment under this Section shall be submitted in the order outlined by the above.

GP - 61 T-0000-0000

GP-9.03 PROGRESS PAYMENTS

(a) Current Estimates.

(1) Lump Sum Contracts. If requested by the Administration, the Contractor shall furnish an acceptable breakdown of the lump sum Contract price showing the amount included therein for each principal category of the work. Said breakdown shall be in such detail so as to provide a basis for estimating monthly progress payments.

(2) Monthly Estimates. Each month the Administration will pay the Contractor for the Contract value of the work satisfactorily performed during the preceding calendar month, including authorized extras and additions less 5 percent. The 5 percent of the total Contract value retained by the Administration will not be released until final payment (unless partially released in a semi-final payment). Current estimates will be based upon the procurement officer's estimate of quantity (including materials and/or equipment complete in place) satisfactorily performed. In the instance of lump sum items, the procurement officer's estimate shall be the proper fraction of the lump sum items satisfactorily performed during the preceding month. All quantities, estimates and fractions will be reasonably accurate approximations and are subject to correction (a) in subsequent current estimates, (b) in any semi-final estimate and, (c) in final payment. Any and/or all partial payments may be withheld in the event current requirements of the Specifications have not been complied with by the Contractor. Should either the procurement officer or the Contractor be of the opinion that any estimates, quantities and/or fractions (either as to an individual current estimate or accumulations thereof) do not represent a reasonably accurate approximation of actual work, then details questioned shall be reviewed and then any corrections adjusted for in the next current estimate.

(3) Escrow Accounts For Retained Funds. The Contractor may elect to have retained funds paid to an escrow agent who may invest the funds in an approved interest-bearing account which, upon completion of the Contract, will be paid to the Contractor to the extent to which the Contractor is entitled. The Contractor's election to use the escrow account procedure must be indicated on the Contract Documents, and the escrow agreement must be in a form and under terms approved by the Administration. The Contractor shall forfeit his right to the use of the escrow account if he refuses or fails to indicate an election prior to execution of the Contract.

NOTE: This provision GP-9.03, (a)(3) shall not apply if it conflicts with any Federal grant or regulation affecting this Contract.

GP - 62 T-0000-0000

(b) Semi-Final Estimate Payments.

(1) Upon completion of the project and the acceptance by the Administration of the project for maintenance, the Administration, at the Contractor's request and with consent of surety, will pay the Contractor, within 30 calendar days of said request, what is hereby known as a semi-final estimate payment. Such a semi-final estimate payment will be based upon (a) quantities the Administration has computed and set up as proposed final quantities and (b) a reasonably accurate estimate for those quantities for which the Administration has not yet completed computations. The quantities which the Administration sets forth as proposed final quantities shall be so designated. To arrive at the amount of semi-final estimate payment there shall be deducted from the apparent estimated value of the Contract (a) total of all amounts previously paid to the Contractor as current estimates and (b) sums deemed chargeable against the Contractor properly deductible, including liquidated damages, and as a retainage, a sum not less than 1 percent the total value of the Contract.

(2) In cases where there has been substantial completion of the project and there are remaining only inconsequential or minor work items such as painting, seeding, mulching, or planting to be completed and such items cannot be completed for an extended period of time because of seasonal or weather conditions, there shall be made a semi-final inspection and if the work completed is found by the Administration to be satisfactory, then there is deemed to be partial acceptance on the entire project except for the uncompleted work items. Upon the above referred to partial acceptance, the Administration, within 30 days from such partial acceptance, upon request of the Contractor and with consent of surety, shall pay to the Contractor, what is hereby known as a partial semi-final estimate payment. Such a semi-final estimate payment will be based upon (a) quantities the Administration has computed and set up as proposed final quantities and (b) a reasonably accurate estimate for those quantities for which the Administration has not yet completed computations. The quantities which the Administration sets forth as proposed final quantities shall be so designated. To arrive at the amount of semi-final estimate payment, there shall be deducted from the apparent estimated value of the Contract (a) total of all amounts previously paid to the Contractor as current estimates, and (b) sums deemed chargeable against the Contractor properly deductible, including liquidated damages, and as a retainage, a sum equal to 1 percent of the total value of the Contract. (Said retainage is not to be less than $2,000).

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(3) If all retained funds have not been paid to an escrow agent, as provided for in GP-9.03, (a)(3), the Administration shall, upon payment of the semi-final estimate, place the remaining retainage in an interest-bearing escrow account, as designated and on such terms and conditions as specified by the procurement officer. At the time of final payment, any retainage due, and any interest accrued on the retainage due from the time of payment of the semi-final estimate, shall be paid to the Contractor.

GP-9.04 FINAL ACCEPTANCE AND FINAL PAYMENT

(a) When the Contractor has completed a Contract, and it has been accepted for maintenance in accordance with the provisions of GP-5.13, the Administration will promptly proceed:

(1) To make any necessary final surveys;

(2) To complete any necessary computation of quantities; and

(3) To submit to the Contractor, within 60 days after final completion and acceptance of the project by the procurement officer for maintenance, for his consideration, a tabulation of the proposed final quantities. This tabulation shall be accompanied by a statement setting forth: (a) the additional work performed under change orders and/or supplemental agreements; (b) the authorized extension of time; (c) the number of days which have been charged against the Contractor as having been used to complete the Contract, and (d) any deductions, charges or liquidated damages which have been made or imposed.

(b) The Contractor shall then have a period of 10 calendar days, dating from the date upon which he received the aforementioned tabulation from the Administration, in which:

(1) To decide whether or not he will accept final payment upon such a basis, and

(2) To notify the Administration, in writing, of his decision. The Contractor may request an additional period up to 10 calendar days in which to notify the Administration of his decision. In the event the Contractor notifies the Administration that he protests final payment on such a basis, that notification shall outline the reason(s) for said protest.

(c) Upon receipt of a notification of acceptance as provided for in paragraph (b) above, the Administration shall prepare the final estimate and final payment forms and submit them to the Contractor. These forms shall show all data noted in paragraph (a) above, together with deductions for all prior payments. GP - 64 T-0000-0000

The Contractor shall execute these forms and return them to the Administration within 30 calendar days from the date they are received for execution and payment. If such signed forms are not received by the Administration within the specified time, the Administration will prepare duplicate forms for execution and payment. Such action by the Administration shall be deemed to constitute acceptance and final payment.

(d) If, under the provisions of paragraph (b) above, the Contractor notifies the Administration of his protest and nonacceptance of the data submitted to him, the Administration shall pay the Contractor a semi-final estimate, or an additional semi-final estimate in the event a semi-final estimate has already been paid based upon the data noted in paragraph (a) above, with deductions for all prior payments. A retainage equal to 1 percent of the total value of the Contract shall be withheld by the Administration. The acceptance of such semi-final estimate, or additional semi-final estimate, shall not be considered as a waiver on the part of the Contractor of his right to pursue his protest and press for acceptance and final payment.

(e) In the event the Contractor does not accept the data submitted to him as described in paragraph (a) above and/or has outstanding a claim filed in accordance with GP-5.14, the procurement officer and the Contractor shall confer at mutually convenient times and endeavor to reconcile all points of disagreement expeditiously. If such reconciliation is accomplished, the Administration will promptly proceed with acceptance and final payment on the reconciled basis and in accordance with the provisions of paragraph (c) above. If reconciliation is not accomplished within 30 days, the decision of the procurement officer shall be reviewed by the Administrator and appropriate legal counsel. After review by the Administrator, the decision of the procurement officer is deemed to be the final action. The procurement officer shall furnish a copy of the final decision to the Contractor by certified mail, return receipt requested. This decision may be appealed by the Contractor to the Maryland State Board of Contract Appeals. This must be done by filing a written notice of appeal to the Appeals Board within 30 days from the date of the final decision. Failure to provide timely notification to the procurement officer shall constitute a waiver by the Contractor of his right under the Disputes Clause and final payment may be made by the Administrator based on the procurement officer's recommendation.

(f) All prior partial estimates and payments shall be subject to correction at the time of acceptance and final payment and if the Contractor has been previously overpaid, the amount of such overpayment shall be set forth in the Final Payment forms and the Contractor hereby agrees that he will reimburse the Administration for such overpayment within six months of receipt of such advice, and his surety will not be granted release from obligations under the terms of the Contract until reimbursement has been made in full.

(g) Payment for the full apparent value of the Contract thus determined shall become due and payable to the Contractor within ninety (90) days after

GP - 65 T-0000-0000

acceptance of the project by the procurement officer for maintenance, as hereinafter provided. As a condition precedent to final payment, the Contractor shall be required to execute a general release of all claims against the Administration arising out of, or in any way connected with, this Contract.

(h) In accordance with § 7-222 of the State Finance and Procurement Article of the Annotated Code of Maryland, certification must be obtained from the Comptroller of the Treasury, and the Employment Security Administration, that all State taxes have been paid prior to release of final payment on a construction Contract. The check will be processed and mailed only after notification is received from both departments that no State tax is owed.

GP-9.05 LATE PAYMENTS

(a) Payments to the Contractor pursuant to this Contract shall be made no later than 30 days after the State's receipt of a proper invoice from the Contractor. Charges for late payment of invoices, other than as prescribed by Title 15, Subtitle 1, of the State Finance and Procurement Article, Annotated Code of Maryland, or by the Public Service Commission of Maryland with respect to regulated public utilities, as applicable, are prohibited.

(b) A proper invoice shall include: a description of the items or services provided; the date the goods were received or the inclusive dates the services were rendered; the Contract prices(s); retention, if any; the basis for the billing; the Contract or purchase order number; the Contractor's Federal Tax Identification Number or Social Security Number; the name and address of the proper invoice recipient.

(c) In order to receive payment of interest, the Contractor must submit a proper invoice for accrued interest within 30 calendar days after the payment date of the amount on which the interest is claimed to have accrued. Interest may not be claimed for more than one year following the 31st calendar day after the date that a proper invoice was received, or on amounts representing unpaid interest, or on an amount due under a Contract remaining unpaid for any period prior to July 1, 1983, or if a claim has been filed under State Finance and Procurement Article, Title 15 of Subtitle 2 of the Code.

(d) For the purposes of this Contract an amount will not be deemed due and payable if:

(1) The amount invoiced is inconsistent with the Contract.

(2) The proper invoice has not been received by the person or office specified in the Contract.

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(3) The invoice or performance under the Contract is in dispute or the Contractor has failed to otherwise comply with the provisions of the Contract.

(4) The item or services have not been accepted.

(5) The quantity of items delivered is less than the quantity invoiced.

(6) The items or services do not meet the quality requirements of the Contract.

(7) The Contract provides for progress payments, and the proper invoice for the progress payment has not been submitted pursuant to the schedule contained in the agreement.

(8) The Contract provides for withholding a retainage and the invoice is for the retainage, all stipulated conditions for release of the retainage have not been met.

(9) The Contractor has not submitted satisfactory documentation or other evidence reasonably required by the procurement officer or by the Contract concerning performance under the Contract and compliance with its provisions.

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GP - SECTION 10 MARYLAND DRIVER/VEHICLE LAWS AND REGULATIONS

GP-10.01 Conformed with Maryland Driver/Vehicle Laws and Regulations

(a) The Contractor shall comply with all Maryland driver licensing and safety, and vehicle safety and registration laws and regulations. Any vehicle which is operated on roadways which are open to traffic must meet these requirements. The applicable laws are summarized in a booklet entitled Trucking in Maryland Handbook available from the State Highway Administration Motor Carrier Division.

(b) For general questions regarding vehicle registration and driver licensing requirements call the Motor Vehicle Administration's Customer Service Center (toll free Maryland only) 1-800-950-1682. For Driver/vehicle safety requirements for heavy trucks and buses call the State Highway Administration Motor Carrier Division at 1-800-543-4564 (Maryland only) or (410) 787-2847.

(c) While Maryland residents must register each motor vehicle or trailer driven on Maryland highways, there are some exceptions to this general requirement concerning non-residents. However, if a non-resident is operating a vehicle(s) in Maryland as described below, the vehicle(s) being operated must be titled and registered in Maryland.

(1) used for transporting persons for hire, compensation, or profit;

(2) regularly operated in carrying on business in this State;

(3) designed, used, or maintained primarily for the transportation or property, or

(4) in the custody of any resident for more than 30 days during any registration year.

(d) In addition to the titling and registration requirements for common vehicles, Maryland defines "Special Mobile Equipment" as a vehicle that:

(1) is not used primarily for highway transportation or people or property; and

(2) is operated or moved on a highway only as an incident to its non- highway use.

Special Mobil Equipment includes a road construction or maintenance machine, mobile crane, ditch digger, well driller, concrete mixer, etc., for which special registration plates (class 4) must be obtained. GP - 68 T-0000-0000

SUPPLEMENTARY

GENERAL PROVISIONS FOR

CONSTRUCTION

CONTRACTS

FEDERALLY FUNDED PROJECTS ONLY

April 2013

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SUPPLEMENTARY GENERAL PROVISIONS

FOR CONSTRUCTION CONTRACTS

TABLE OF CONTENTS

SGP PAGE NO.

Section 1 – Definitions and Terms

1.01 General 1 1.02 Definitions (GP-1.05) 1

Section 2 – Bidding Requirements and Conditions

2.01 General 6 2.02 Taxes – Responsibility for Payment 6 Exemptions, Forms to be Filed (GP-2.05) 2.03 Arrearages 6 2.04 Non-visual Access Clause 6 2.05 Preparation of Bid (GP-2.06, SGP-10.15) 7 2.06 Competency of Bidders 7 2.07 Explanations 7 2.08 Bid Irrevocable (GP-2.01) 7

Section 3 – Award and Execution of Contract

3.01 General 8 3.02 Execution of Contract (GP-3.04) 8 3.03 Preconstruction Meeting 8

Section 4 – Scope of the Work

4.01 General 9 4.02 Value Engineering Change Proposals 9 4.03 Negotiated Payment Provision (GP-4.07) 11 4.04 Change Notices (GP-4.06) 13 4.05 Warranty of Construction (GP-4.10) 14 4.06 Negotiated Payment Provision – Professional And Technical Services 15

Section 5 – Control of the Work

5.01 General 17 5.02 Superintendence (GP-5.04) 17 5.03 Coordination and Interpretation of Contract Documents 17 5.04 Administration furnished Documents 18

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April 2013 SGP-i

SUPPLEMENTARY GENERAL PROVISIONS FOR CONSTRUCTION CONTRACTS TABLE OF CONTENTS (Continued)

SGP PAGE NO. Section 6 – Control of Material

6.01 General 19 6.02 Source of Supply and Quality of Materials 19 6.03 Storage of Materials (GP-6.02) 19

Section 7 – Legal Relations & Responsibility to Public

7.01 General 20 7.02 Patented and Copyrighted Devices, Materials 20 and Processes (GP-7.03) 7.03 Emergencies 21 7.04 Rights in Technical Data 22 7.05 Audit and Inspection of Records 24 7.06 Notice to the Administration of Labor Disputes 26 7.07 Indemnification 26 7.08 Buy American Steel Act (GP-7.28, SGP-10.15) 27 7.09 Prevailing Wage Contracts for Public Works 27 (GP-7.01D, GP-7.03B) 7.10 Contractor’s Safety Program (GP-7.05) 27 7.11 Cost and Price Certification (GP-7.26) 28

Section 8 – Prosecution and Progress

8.01 General 29 8.02 Subcontracting (GP-8.02) 29 8.03 Notice to Proceed (GP-8.02) 29 8.04 Termination for Default, Damages for Delay, 29 Time Extensions (GP-8.08) 8.05 Liquidated Damages (GP-8.09) 30

Section 9 – Payment

9.01 General 31 9.02 Force Account Labor (GP-9.02) 31 9.03 Progress Payments (GP-9.03) 36 9.04 Scope of Payment (GP-9.01) 38 9.05 Subcontractors – Prompt Payment 39

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SUPPLEMENTARY GENERAL PROVISION FOR CONSTRUCTION CONTRACTS TABLE OF CONTENTS (Continued)

SGP PAGE NO. Section 10 – Federal and State Requirements

10.01 General 40 10.02 Reserved 40 10.03 Ethics 40 10.04 Reserved 43 10.05 Civil Rights 43 10.06 MTA Affirmative Action Requirements (GP-7.29) 47 10.07 Prohibited Interest 47 10.08 Termination 47 10.09 Labor Provisions 47 10.10 Delinquent Certified Payrolls (SGP-10.09C2a) 56 10.11 Reserved 57 10.12 Reserved 57 10.13 Cargo Preference – Use of United States – Flag Vessels 57 10.14 Buy America Requirements (GP-7.01, GP-7.28) 57 10.15 Compliance With Environmental Standards 57 10.16 Energy Conservation 58 10.17 Certification Regarding Debarment 58 10.18 Fly America Requirements 58 10.19 Recycled Products/Recovered Materials 58 10.20 Seismic Safety Requirements 59 10.21 Access To Records and Reports (GP-7.36) 59 10.22 No Obligation by the Federal Government 60 10.23 This Article Not Used 10.24 This Article Not Used 10.25 This Article Not Used 10.26 This Article Not Used 10.27 Clean Water Requirements (SGP-10.18) 60 10.28 Federal Changes 60 10.29 Clean Air 60 10.30 Incorporation of Federal Transit Administration (FTA) Terms 61 10.31 Changes in Requirements 61 10.32 FTA Project Sign 61 Figure 1 - FTA Project Sign 62

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SGP– SECTION 1

DEFINITIONS AND TERMS

SGP – 1.01 General

These Supplementary General Provisions augment the requirements of the General Provisions for Construction Contracts, dated October 2001, issued by the Department of Transportation of the State of Maryland.

SGP – 1.02 Language, References, Definitions and Terms (GP-1.05)

A. Language

All work pertaining to these Specifications shall be completed as specified in the Contract Documents or as directed by the Engineer. When used in the Specifications, the term “specified” refers to requirements stated herein or included elsewhere in the Contract Documents. Refer to GP-4.01.

Terms such as directed, accepted, acceptable, approved, approval, authorized, determined, designated, established, permitted, required, satisfactory, unacceptable, unsatisfactory and unsuitable are implicitly followed by the words “by the Engineer”, to “the Engineer”, or “of the Engineer” unless the context clearly indicates a different meaning..

The word “submit” or “submittal” implies that the Contractor shall provide the applicable submittal in writing to the Engineer for approval. If otherwise, the Contract Documents will specify where to make the submittal. No applicable work may proceed without written approval. These requirements apply to all submittals, whether for details, methods, schedules, or materials.

Whenever the verbs “submit,”“designate,” “notify,” “bear,” “use,” “furnish,” “install,” “comply” and other like verbs are used without stating the subject, it shall be understood the subject is the Contractor and the action is to be the responsibility of the Contractor unless the context clearly indicates a different meaning

The word “ensure” obligates the Contractor to fulfill a specific requirement or complete an indicated action in conformity with the Contract Documents.

The phrase “remove and dispose” obligates the Contractor to assume possession of the specified material, remove it from the area, and properly dispose of it off site. Even when not specifically addressed, all waste materials shall be disposed of at the appropriate disposal facility.

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Unless otherwise specified when terms such as “repair”, “restore”, “replace”, and remove and replace are used in reference to unacceptable work, whatever the reason or cause for the work being rejected, it shall be implicitly understood that the Contractor shall perform the applicable work in conformance with the Contract Documents, in an acceptable manner, and at no additional cost to the Administration. Refer to GP-5.02, GP- 5.09, and GP-7.16.

Unless specifically stated otherwise, all material, labor, equipment, tools, and incidentals necessary to perform and complete the work as specified and detailed in the Contract Documents, including all generally recognize4d and inherent aspects of the work, shall be included in either the lump sum or unit price for the Contract (Pay) item. When specific aspects of the work are listed in Measurement and Payment, it shall be construed to be an all-inclusive list.

B. References

Unless otherwise noted: Reference to Specifications or procedures beginning with the letters M, R, or T shall be understood to be AASHTO.

Reference to Specifications or procedures beginning with the letters A, B, C, D, E, F, G, ES or P shall be understood to be ASTM.

Reference to Specifications or procedures shall be understood to be the most recently published standard in effect on the date of the opening of bids unless otherwise specified in the Contract Documents.

The words “using”, “per”, and “meet” or “meeting’, when referring to a specification or procedure, imply “in strict accordance with”.

C. Definitions (GP 1.05)

The following definitions augment Section 1 of the General Provisions:

Acceptance – The formal written acceptance by the Administration, that all work, or a specific portion thereof, under the Contract has been satisfactorily completed.

Additional Work – Work not required or provided for in the original Contract.

Addendum – Written interpretations and revisions to the Bid Documents issued by the Administration prior to opening of Bids.

Administration – The Maryland Transit Administration (MTA) of the State of Maryland Department of Transportation.

Administrator – The Chief Executive Officer of the Maryland Transit Administration

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Beneficial Occupancy – Owner’s use of an uncompleted portion of the work. Use does not alter any provisions of the contract and will only be used when the occupancy is in the best interests of the state.

Bid/Proposal Affidavit – The affidavit, in form approved by the Administration, executed by the Bidder, declaring the bidder’s status as to commercial nondiscrimination, bribery, non-collusion, and compliance and violation of certain laws and other requirements.

Certification – A written statement, signed by a certifying person, affirming under penalties applicable to perjury, that the contents of a document are true and correct. With respect to a document that states that material and/or work complies with applicable specifications, the document shall (1) include the actual test results that confirm the statement, (2) be on the letterhead of the company or other organization that performed the tests, and (3) be certified by an officer of that company or other organization.

Contract Affidavit – The affidavit, in form approved by the Administration, executed by the Contractor declaring status as to corporate registration, payment of taxes, and bid affirmations.

Construction or Project Site – The area occupied by the project and all nearby areas used by the Contractor or his subcontractors during performance of the work, including areas for storage and/or processing of materials to be incorporated into the work or equipment to be used at the project site.

Contract Time or Completion Date – The number of calendar days shown in the contract indicating the time allowed for the completion of the work contemplated in the contract. In case a calendar date of completion is shown in the contract, in lieu of the number of calendar days, such work shall be completed by the date.

Contract Specifications Book – A set of documents issued by the Administration for the intended work which includes the Notice to Contractors, Bid Forms, General Provisions, Supplementary General Provisions, Special Provisions, Technical Provisions, and other forms and exhibits.

Design and Manufacturing Site – Areas utilized by the Contractor or his subcontractor that are remote from the Construction Site, as defined above, and utilized for design, processing, or manufacture of materials and equipment to be incorporated into the work.

Domestic Manufacture – When referring to metallic items such as structural steel, pipe, reinforcement, bridge rails, etc., the term Domestic Manufacture means those metal products that have been melted and manufactured within the United States.

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Equipment – All machinery, tools, and apparatus necessary for the proper construction and acceptable completion of the work, together with the necessary supplies for upkeep and maintenance.

Federal Agencies – Reference to any Federal agency or officer shall be deemed made to any agency or officer succeeding in conformance with law to the powers, duties, jurisdictions, and authority of the agency or officer mentioned.

Holidays – In the state of Maryland, holidays occur on:

January 1 - New Years Day 3rd Monday in January - Martin Luther King’s Birthday 3rd Monday in February - Presidents Day 4th Monday in May - Memorial Day July 4 - Independence Day 1st Monday in September - Labor Day 2nd Monday in October - Columbus Day November 11 - Veterans Day 4th Thursday in November - Thanksgiving December 25 - Christmas

All days of General and Congressional Election (not Primary elections) throughout the State.

If a legal holiday falls on a Saturday, the preceding Friday shall be deemed and treated as a holiday.

If a legal holiday falls on a Sunday, the following Monday shall be deemed and treated as a holiday.

Indicated – A Term meaning as shown on the Contract Drawings, as described in the Specifications, or as required by the other Contract Documents.

Laboratory – The testing laboratory of the State Highway Administration (or other Administrations) or any other testing laboratory designated by the procurement officer.

MdMUTCD – Maryland Manual on Uniform Traffic Control Devices

Plans – The official drawings issued by the Administration as part of the Contract Documents, including those incorporated in the Contract Documents by reference. These include the official approved plans, profiles, typical cross sections, working drawings, and supplemental drawings or exact reproductions that show the location, character, dimensions, and details of the work to be performed.

Provide – In reference to work to be performed by the Contractor, provide means MTR-17-005-MT SGP - 4

furnish and install complete in place.

Punchlist – A list of incomplete work, to be completed prior to final acceptance.

Questionnaire – The approved form or forms upon which the Contractor shall furnish the information as to his ability to perform the work, his experience in similar work, the equipment to be used, and his financial condition as related to his ability to finance the work.

Referenced Standards – All materials, equipment and workmanship specified by the number, symbol, or title of a referenced standard shall, unless otherwise specified, comply with the latest edition or revision thereof and all amendments and supplements thereto in effect on the date of the opening of Bids, except where a particular issue is indicated in the reference specifications.

Right of Way – The area acquired and reserved by the Administration for use in constructing the proposed improvement and appurtenances.

Semi-Final Inspection – The walk through inspection for determining action in accordance with General Provision 9.03.b “Semi-Final Estimate Payments”

Special Provisions (SP) – Specifications for a specific item, condition, or requirement applicable to an individual project and not otherwise thoroughly or satisfactorily detailed in the Contract Documents.

Standard Specifications – The most current book of Specifications entitle “Standard Specifications for Construction and Materials” published by State Highway Administration of the Maryland Department of Transportation and intended for general application and repetitive use.

Substantial Completion – The stage in the progress of the Work, where the Work or designated portion is sufficiently complete in accordance with the Contract Documents so that the Owner can occupy or utilize the Work for its intended use as determined solely by the Owner. Any remaining work shall not impact the owner’s operation of work.

Technical Requirements or Technical Provisions – used interchangeably with “Special Provisions.”

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SGP – SECTION 2

BIDDING REQUIREMENTS AND CONDITIONS

SGP – 2.01 General

The following Articles augment those contained in Section 2 of the General Provisions.

SGP – 2.02 Taxes – Responsibility for Payment, Exemptions, Forms to be Filed (GP-2.05)

A. Refer to General Provisions Article GP – 2.05.

B. Foreign bidders represent and warrant that their prices do not violate United States laws and regulations and agree to pay any duties assessed and to indemnify, hold harmless, and, upon request, defend the Administration for any loss or expense including but not limited to reasonable attorney’s fees that the Administration may incur from any claim, demand, or investigation of alleged violation of the said laws and regulations.

SGP – 2.03 Arrearages

By submitting a response to this solicitation, a bidder shall be deemed to represent that it is not in arrears in the payment of any obligation due and owing the State of Maryland, including the payment of taxes and employee benefits, and that it shall not become so in arrears during the term of the contract if selected for contract award.

SGP – 2.04 Non-Visual Access Clause

A. Subject to COMAR 21.05.08.05 B and C, the Contractor shall comply with the provisions of B and C of this provision.

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B. The bidder or offeror warrants that the information technology offered under this bid or proposal (1) provides equivalent access for effective use by both visual and non-visual means; (2) will present information, including prompts used for interactive communications, in formats intended for both visual and non-visual use; (3) if intended for use in a network, can be integrated into networks for obtaining, retrieving, and disseminating information used by individuals who are not blind or visually impaired; and (4) is available, whenever possible, without modification for compatibility with software and hardware for non-visual access. The bidder or offeror further warrants that the cost, if any, of modifying the information technology with compatibility with software and hardware used for used for non-visual access will not increase the cost of the information technology by more than five percent (5%).

C. For the purpose of this regulation, the phrase 'equivalent access' means the ability to receive, use, and manipulate information and operate controls necessary to access and use information technology by non-visual means. Examples of equivalent access include keyboard controls used for input and synthesized speech, Braille, or other audible or tactile means used for input.

SGP – 2.05 Preparation of Bid (GP-2.06, SGP-10.15)

A. The Bid Form together with all other forms provided, and such other documents as may be specified, executed, and submitted by the Bidder, constitute his Bid. All documents bound with or attached to the Bid Form in the Contract Specification Book are considered a part thereto and shall not be altered when the Bid Form is submitted. Bids shall be submitted in the manner specified herein and in the Notice to Contractors.

B. Bidder shall complete the “Buy America” certification form.

SGP – 2.06 Competency of Bidders

Bidders shall furnish, with their bid, answers to questions contained in the Contractor’s Questionnaire. Bids submitted by Bidders with inadequate experience or capacity may be rejected by the Administration.

SGP – 2.07 Explanations

Explanations desired by a prospective bidder regarding the Contract Drawings, Specifications, and other Bid Documents shall be requested in writing from the Administration. Requests shall include the Contract number and name and shall be directed to the address indicated in the Notice to Contractors. Oral explanations or instruction will not be binding. Any addenda resulting from these requests will be mailed to all listed holders of the Bid Documents. The Bidder shall acknowledge the receipt of all addenda in the space provided on the Bid Form.

SGP-2.08 – Bid Irrevocable (GP-2.01)

The bid prices are irrevocable for one hundred eighty (180) calendar days following Bid Opening.

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SGP – SECTION 3

AWARD AND EXCUTION OF CONTRACT

SGP – 3.01 General

The following Article augments those contained in Section 3 of the General Provisions.

SGP – 3.02 Execution of Contract (GP-3.04)

A. Contract Affidavit: Attached to this Contract and made a part thereof is a Contract Affidavit to be executed by the Bidder.

SGP-.303 Preconstruction Meeting

Prior to the commencement of the Work, the Preconstruction conference will be held for the purpose of discussing with the Contractor existing conditions, methods for maintaining and protecting traffic during construction, materials to be ordered, equipment to be used, equal employment regulations, civil rights requirements, other pertinent features of the Contract, and all essential matters pertaining to the prosecution of and the satisfactory completion of the work. At this time, the Contractor and the Procurement Officer will arrange for their authorized representatives to meet and review details of construction, and if appropriate, to walk the project with the contract drawings in hand and carefully observe all pertinent conditions relating to the construction of the work, including the status of right-of-way, structures and obstructions to be removed, altered, or changed.

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SGP – SECTION 4

SCOPE OF WORK

SGP – 4.01 General

The following Article augment Section 4 of the General Provisions.

SGP – 4.02 Value Engineering Change Proposals (VECP)

A. This Article applies to those Value Engineering Change Proposals (VECP’s) which are initiated and developed by the Contractor to change the Contract Drawings and Specifications, or other requirements of this Contract. In order to be accepted under this Article, each VECP shall:

1. Be identified as a VECP by the Contractor at the time of submission to the Administration as submitted pursuant to this Article 4.02;

2. Require a change to this Contract;

3. Decrease the Contract Price; and

4. Maintain the items’ required functions such as service life, reliability, economy of operation, ease of maintenance, and necessary standardized features and appearance, and not require an unacceptable extension of Contract Time.

B. Any VECP the Contractor submits shall be in sufficient detail to clearly define the proposed change, including:

1. A description of the difference between the existing and the proposed Contract requirements; and the comparative advantages and disadvantages of each;

2. Contract requirements recommended to be changed if the proposal is accepted;

3. A detailed estimate of the amount of the net savings, as defined in SGP-4.02.E., that will result from acceptance of the proposal;

4. A prediction of any effects the proposed change would have on costs of maintenance and operation; and

5. A statement of the time by which the proposal must be accepted so as to obtain the maximum price reduction, noting any effect upon the Contact Time.

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C. The Administration may accept or reject part or all of any VECP by giving the Contractor written notice thereof. Until such notice is issued, the Contractor shall remain obligated to perform in accordance with the terms of the Contract. VECPs will be processed expeditiously; however, the Administration shall not be liable for any delay in acting upon any proposal submitted pursuant to this Section. The decision of the Administration as to acceptance of any such proposal shall be final and shall not be subject to the “Disputes” provisions of this Contract.

D. The Contractor has the right to withdraw part or all of any VECP at any time prior to acceptance by the Administration. Such withdrawal shall be made in writing to the Administration but shall not be effective until received by the Procurement Officer. Each VECP submitted by the Contractor shall remain valid for a period of sixty (60) days from date submitted. If the Contractor desires to withdraw the proposal prior to the expiration of this period, he shall be liable for the cost incurred by the Administration in reviewing the proposal.

E. When a VECP submitted pursuant to this Article 4.02 is accepted:

1. An equitable adjustment in the Contract price and in any other affected provisions of the Contract shall be made and the Contract modified in accordance with this Article and the “Changes” or other applicable Sections of this Contract.

2. The net savings resulting from the change shall be shared between the Contractor and the Administration on the following basis:

a. When only the prime Contractor is involved, he shall receive fifty percent (50%) and the Administration fifty percent (50%) of the net savings resulting from the change.

b. When a first-tier Subcontractor is involved, he shall receive thirty percent (30%), the prime Contractor thirty percent (30%), and the Administration forty percent (40%) of the net savings resulting from the change. Other subcontractors shall receive a portion of the first-tier subcontractor savings in accordance with the terms of their contract with the first-tier Subcontractor.

3. Net savings shall be determined by deducting from the estimated gross savings, the Contractor’s cost of developing and implementing the proposal (including any amount attributable to a subcontractor) and the estimated amount of increased costs to the Administration resulting from the change, such as implementation, inspections, related items, and Administration furnished equipment or property. Estimated gross savings shall include Contractor’s labor, material, equipment, overhead, profit, and bond. The Contract price shall be reduced by the sum of the Administration’s costs and share of the net savings.

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F. The Contractor shall include the provisions of this Article, with this predetermined sharing arrangements contained herein, in all first-tier subcontracts in excess of the Contract value of $25,000 and any other subcontracts which, in the judgment of the Contractor, is of such nature as to offer reasonable likelihood of value engineering cost reductions. At the option of the first-tier Subcontractor, this Article may be included in lower tier subcontracts. The Contractor shall encourage submission of VECP’s from Subcontractors; however, it is not mandatory that VECP be submitted nor is it mandatory that the Contractor accept or transmit to the Administration VECP’s proposed by his Subcontractors.

G. A VECP identical to one submitted under any other contract, by this or any other Contractor may also be submitted under this Contract.

H. The Contractor may restrict the Administration’s right to use any VECP data by marking it with the following statement:

“This data, furnished pursuant to the Value Engineering Article of this Contract, shall not be duplicated, used or disclosed in whole or in part, for any purpose except to evaluate the VECP, unless the proposal is accepted by the Administration. This restriction does not limit the Administration’s right to use information contained in this data if it is or has been obtained, or is otherwise available from the Contractor or from another source, without limitations. When this proposal is accepted by the Administration, the Administration shall have the right to duplicate use, and disclose any data in any manner and for any purpose whatsoever, and have others do so whether under this or any other Administration Contract.”

SGP – 4.03 Negotiated Payment Provisions (GP-4.07)

In lieu of General Provision GP-4.07 and unless specified otherwise in the Special Provisions, the following shall prevail:

The requirement of Article SGP-4.03 shall apply only to work at the construction site and only when a contract cost adjustment is negotiated and a Contract modification incorporating the adjustment is executed by the parties. In the event the parties cannot reach a negotiated agreement, the matter becomes a dispute and is subject to General Provision 5.15 “Disputes” or General Provision 5.14 “Claims”. In the event of a dispute the markups described below in E. F and G will not be valid. Actual costs will apply.

When the Contractor is entitled to a cost adjustment as a result of additions or changes to the Contract for which there are no applicable unit prices, and the Administration has not directed such work to be performed on a force account basis, subject to the limitations and conditions below, the adjustment in compensation shall be based on costs incurred by the Contractor to the extent that those costs are satisfactorily documented and justified by the Contractor.

A. Labor. The cost of basic hourly wages and fringes for all direct labor and direct-charge foremen required in the performance of the work. Wage and MTR-17-005-MT SGP - 12

fringe costs shall be in accordance with applicable collective bargaining agreements or other employment contracts to the extent that these costs are actually paid or payable.

B. Materials. The delivered cost of all materials required for performance of the work. The delivered cost of material includes sales taxes if payable.

C. Equipment. For any machinery or equipment (other than small tools), the use of which is authorized by the Engineer, the compensation will be based on the equipment costs listed in the applicable edition of the Rental Rate Blue Book for Construction Equipment published by Penton Business Media/Equipment Watch For third party rentals, compensation will be made on actual rental rates paid. For purposes of definition, equipment with a new cost of $1,000 or less will be considered small tools.

1. Equipment costs for contractor-owned equipment will be as specified in SGP-9.02 C.1 through C.5.

2. Equipment costs for rental equipment will be as specified in SGP-9.02 C.6.

D. Insurance. The incremental increase in premium costs resulting from the work for workmen’s compensation, liability or risk insurance, only in the event that such coverage has not been provided by the Administration under the contract.

E. Supervision, Overhead, and Profit. The Procurement Officer and Contractor shall negotiate a fixed amount to compensate the Contractor for supervision, overhead, and profit for the work performed by the Contractor’s and subcontractor’s forces. The allowed markup for supervision, overhead (including home office expense) and profit shall not exceed forty-five percent (45 %) of items A and D and ten percent (10%) of items B exclusive of sales tax, and C.2 above. No additional allowance shall be made for small tools and supplies, bond premiums, payroll taxes including FICA, FUTA, and SUTA, or any other costs not specifically reimbursed in items A through D above. The provisions of this paragraph (SGP-4.03E) do not apply to computation of mark-ups if extended costs are allowed per SGP-4.03G.

F. Subcontractors. The Contractor shall receive the cost of work performed by a subcontractor. Subcontractor’s costs are to be determined as in A through D above, plus the mark-up allowance computed as in E. The Contractor may receive additional mark-up allowance not to exceed the higher of five percent (5%) or five hundred dollars ($500) of subcontractor’s costs as determined in A, B, C.2 and D. However there will not be any such markup for subcontractor’s below the first tier. Notwithstanding, actual charges to the Contractor for overhead and profit on work performed or furnished to him by others, no such mark-ups in excess of those specified will be recognized or considered. The provisions of this paragraph and SGP-4.03E do not apply to computation of mark-ups if extended costs are allowed per SGP-4.03G.

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G. Extended Overhead. In the event that the Contractor is due extended overhead costs as a result of compensable delays arising from the changed or added work, such actual costs will be computed solely on the basis of those time related costs affected and only allowed when accompanied by sufficient documentation to permit the Engineer to establish their validity.

a) The Contractor shall be compensated for taxes, small tools, supplies, bond premiums, and profit by a mark-up allowance which shall not exceed twenty- five percent (25%) of items A and D, and ten percent (10%) of items B exclusive of sales tax, and C2. Adjustment for extended site (Field overhead) costs will be limited to actual costs without mark-up The adjustment for home office costs (G&A) shall not exceed five percent (5%) of item A, B, C, D, F, & G2, which is the total adjustment before G&A.

b) When extended field and home office overhead costs are allowed, the Contractor shall not be compensated for 1) the allowed mark-up for supervision, overhead, and profit set forth in Para E above, 2) The mark-up allowance for subcontractor’s work set forth in Para F above. 3) Overhead costs calculated by any method other than that prescribed in this subsection G.

H. No compensation shall be made in any case for loss of anticipated profits.

I. All of the Contractor’s cost records shall be made available to the Administration at the field office as well as the home office for review and audit at all reasonable times including prior to negotiations of the cost under this section.

J. The requirement of Supplementary General provisions Article 4.06 (SGP 4.06) shall apply when a contractor is entitled to an equitable cost adjustment to perform the design work directly attributable to additional work or changes requiring the services of factory or office based professional and/or technical personnel. The contractor shall not be compensated for design work performed by the field staff.

SGP – 4.04 Change Notice (GP-4.06)

The Engineer may use a Change Notice to describe a proposed change to the work pursuant to GP-4.06. Within seven (7) days after receipt of the Change Notice the Contractor shall sign the Change Notice and submit it to the Procurement Officer. The Contractor shall submit a proposal for providing the change work within the time specified in the Change Notice. The Contractor’s proposal shall contain a detailed cost breakdown and any adjustment of the change in Contract time for the completion of the work. The cost breakdown shall be separated into added and deleted work and shall show details for labor, materials, equipment and the percentage mark-ups for overhead, profit, and small tools, in accordance with SGP-4.03.

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SGP – 4.05 Warranty of Construction (GP-4.10)

In lieu of General Provisions Article GP-4.10, the following shall prevail:

A. In addition to any other warranties available by law or set out elsewhere in this contract, the Contractor warrants that work performed under this contract will conform to the contract requirements and will be free of any defect of equipment, material or design furnished, or workmanship performed by the Contractor or any of his subcontractors or suppliers at time of acceptance and for a period of one (1) year from the date of final acceptance of the work, but with respect to any part of the work which the State takes possession prior to final acceptance, such warranty shall continue for a period of one (1) year from the date the State takes possession. Under this Warranty, the Contractor shall remedy at his own expense any such failure to conform or any such defect. In addition, the Contractor shall remedy at his own expense any damage to State owned or controlled real or personal property, when that damage is the result of the Contractor’s failure to conform to contract requirements or any such defect of equipment, material, workmanship, or design. The Contractor shall also restore any work damaged in fulfilling the terms of this clause. With respect to work repaired or replaced hereunder, the Contractor warrants that said work will conform to contract requirements and will be free of defects in material, workmanship, and design for a period of one (1) year from the date of completion such repair or replacement.

B. The Administration will give the Contractor prompt written notice of any defects or failures following their discovery. The Contractor shall commence corrective work within ten (10) days following notification by the Administration of the defect or failure and shall diligently prosecute such work to completion, provided that the Administration shall have the right to use unsatisfactory materials and equipment until they can be taken out of service without injury to the Administration. If the Administration exercises the right to use unsatisfactory materials and equipment the Contractor will be permitted to commence corrective work within six (6) months from time of discovery or the defect of failure requiring correction.

C. Replacement parts and repairs shall be subject to approval of the Administration. The Contractor shall bear all costs of corrective work, which shall include necessary disassembly, transportation, reassembly and retesting, as well as repair or replacement of the defective materials or equipment, and any necessary disassembly and reassembly of adjacent work; provided that the Administration will disassemble and reassemble at its expense adjacent materials or equipment not furnished by the Contractor, where necessary to give access to the defective materials or equipment.

D. If the Contractor fails to perform corrective work in the manner and within the time stated, the Administration may proceed to have such work performed at the Contractor’s expense and he will honor and pay the costs thereof upon demand, and his sureties will be liable therefor. The Administration will be entitled to all costs and expenses, including reasonable attorney’s fees, necessarily incurred upon the Contractor’s refusal to honor and pay such costs.

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E. In addition to the other rights and remedies provided by this clause, all subcontractor’s, manufacturers’ and suppliers’ warranties expressed or implied, respecting any work and materials shall, at the discretion of the State, be enforced by the Contractor for the benefit of the State. In such case if the Contractor’s warranty under A. above has expired, any suit directed by the State to be at the expense of the State. The Contractor shall obtain any warranties which the subcontractors, manufacturers, or suppliers would give in normal commercial practice.

F. If directed by the Procurement Officer, the Contractor shall require any such warranties to be executed in writing to the State.

G. The rights and remedies of the Administration under this Article are not intended to be exclusive, and do not preclude the exercise of any other rights or remedies provided by this Contract or by law with respect to unsatisfactory work performed by the Contractor.

H. The warranty specified herein shall not limit the State’s rights under GP-5.13, Acceptance clause of this contract with respect to latent defects, gross mistake, or fraud.

SGP – 4.06 Negotiated Payment Provision – Professional and Technical Services

A. The provisions of SGP-4.03 apply to Work performance in the field involving craft labor (including supervision, material and equipment) necessary to implement additions or changes to the Contract.

B. The provisions of SGP-4.03 do not apply to design professional and/or technical personnel assigned to the project.

C. When the Contractor is entitled to an equitable adjustment as a result of additions or changes to the Contract which require the services of factory or office-based design professional or technical personnel to perform the design Work directly attributable to the additions or changes, the adjustment in compensation shall be based on the following as documented and justified by the Contractor.

1. Labor - The cost of all design professional and/or technical labor computed on the basis of the actual hourly wage rate paid, not to exceed $75.00/hr, to the individual(s) involved in the performance of the added or changed Work (excluding fringes and mark-ups for taxes, insurance, etc.)

2. Reimbursable Expenses

a. Travel and Related Expenses - The cost of travel expenses of the Contractor or subcontractor personnel in travel status required for the performance of added or changed Work, as provided in the then current standard Travel Regulations of the State of Maryland.

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b. Printing and Reproduction Costs - The cost of printing, binding, photographs, Photostats, copier costs, reproduction and related expenses, the nature of which is uniformly charged as a project cost under the Contractor's or subcontractor's accounting practices.

c. Long Distance Telephone, Telegraph, Teletype, Freight, Postage and Shipping - These costs will be allowed only to the extent they related to the performance of the added or changed Work.

d. The maximum allowable mark-up for general administrative expenses, supervisions, overhead and profit for the design Work performed, and computer/CAD costs, by the Contractor will be 140% of Item 1 above. The maximum allowable mark-up for supervision, overhead and profit for Work performed by subcontractor(s) will be 140% of the subcontractor's labor cost identified in Item 1 above. The Contractor will be allowed a mark- up of 5% on the total subcontractor's cost.

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SGP – SECTION 5

CONTROL OF THE WORK

SGP – 5.01 General

The following Articles augment Section 5 of the General Provisions.

SGP – 5.02 Superintendence (GP-5.04)

Before starting work, the Contractor shall designate in writing the name, title, qualifications and experience of his proposed representative who, upon approval by the Procurement Officer shall have complete authority to represent and act for the Contractor. The authorized representative or a substitute acceptable to the Procurement Officer shall be present at the site of the work at all times while work is actually in progress on the project. Arrangements for responsible supervision acceptable to the Procurement Officer shall be made for emergency work which may be required during periods when the work is suspended. The Contractor shall notify the Procurement Officer, in writing, when the Contractor desires to change his representative, and shall provide information as specified above for the proposed new representative.

SGP – 5.03 Coordination and Governing Order of Contract Documents

A. The Documents composing the Contract Documents are intended to be complementary, and to describe the construction and completion of the Work. Anything mentioned in the Specifications and not shown on the Contract Drawings, or shown on the Contract Drawings and not mentioned in the Specifications, shall be of like effect as if it is shown or mentioned in both.

B. Precedence of Contract Documents: The Contract Drawings shall govern over the Standard Specifications. The Special Provisions shall govern over the Standard Specifications, and the Contract Drawings. Where work is to be accepted by a municipality, railroad, or utility company, the Reference Utility Standards which apply to materials and workmanship shall govern over the Standard Specifications, the Special Provisions and the Contract Drawings.

C. Should it appear that the Work to be done or any of the matters relative thereto are not sufficiently detailed or explained in the Contract Documents, the Contractor shall apply to the Procurement Officer for such further written explanations as may be necessary and shall conform to the explanation provided as part of the Contract. If doubts or questions arise regarding the true meaning of the Contract Documents, reference shall be made to the Procurement Officer whose decision thereon will be final.

D. In case of difference between small and large scale drawings, the large scale drawings shall govern. In the event of discrepancy between any drawings and the figure written thereon, the figures shall govern over scaled dimensions, unless otherwise indicated.

MTR-17-005-MT SGP - 18

E. All materials, workmanship, and testing specified by the number, symbol, or title of a reference standard shall comply with the latest edition or revision thereof and all amendments and supplements thereto in effect on the date of the Bid Opening

SGP – 5.04 Administration Furnished Documents

The Administration will furnish at no cost to the Contractor for his use, five (5) copies of the conformed CD of the Contract Documents including Reference Drawings if applicable.

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SGP – SECTION 6

CONTROL OF MATERIAL

SGP – 6.01 General

The following Articles augment those contained Section 6 of the General Provisions.

SGP – 6.02 Source of Supply and Quality of Materials

A. Furnish all materials required to complete the work, except those specified to be furnished by the Administration. Assure that the materials incorporated into the work conform to the Specifications and Contract Drawings unless changed by prior approval. The materials shall be manufactured, handled, used, identified, controlled, and installed so as to ensure completed work in accordance with the Contract.

B. Use only new materials furnished except as may specifically be provided elsewhere in the Contract Documents.

C. Submit a list of sources of materials pursuant to GP-6.01 and notify the Engineer in sufficient time to permit proper inspection and testing of materials in advance of this use. The list shall be on a form approved by the Procurement Officer.

D. Provided that there would be no violation of the Contractor’s patents, copyrights or rights in data, the Contractor agrees that he will neither incorporate any provision in his subcontracts nor enter any agreement, written or oral, either directly or indirectly, with subcontractors which has or may have the effect of prohibiting subcontractor sales directly to the Administration of any supplies, parts, components, equipment or technical information like those manufactured or services like those furnished by such subcontractor under the Contract or under any contract for parts or components furnished under the Contract or any follow-up production contract.

SGP – 6.03 Storage of Materials (GP-6.02)

A. General: Unless otherwise specified in the Special Provisions, the Contractor shall obtain his own area and storage facilities at locations remote from the Administration’s right-of way facilities.

B. Reference SGP 9.03 for payment of stored material.

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SGP – SECTION 7

LEGAL RELATIONS AND RESPONSIBILITY TO PUBLIC

SGP – 7.01 General

The following Articles augment those in contained Section 7 of the General Provisions.

SGP – 7.02 Patented and Copyrighted Devices, Materials, and Processes (GP-7.03)

The Contractor shall report to the Administration, promptly and in reasonable written detail, each notice of claimed patent or copyright infringement based on the performance of this contract of which the Contractor has knowledge. In the event of any claim or suit against the Administration on account of any alleged patent or copyright infringement arises out of the performance of this contract or out of the use of any supplies furnished under the contract, the Contractor shall furnish to the Administration, when requested by the Administration, all evidence and information pertaining to such suit or claim including all evidence and information in the possession of the Contractor. This Notice and assistance requirement shall be included in all subcontracts.

Patents, Copyrights, Intellectual Property

A. If the Contractor furnishes any design, device, material, process, or other item, which is covered by a patent or copyright or which is proprietary to or a trade secret of another, the Contractor shall obtain the necessary permission or license to permit the State to use such item or items.

B. The Contractor agrees that at all times during the term of this Contract and thereafter, works created as a deliverable under this Contract and services performed under this Contract shall be "works made for hire" as that term is interpreted under U.S. copyright law. To the extent that any products created as a deliverable under this Contract are not works for hire for the State, the Contractor shall state why it believes that it should not thereby relinquish, transfer, and assign to the State all of its rights, title, and interest (including all intellectual property rights) to all such products created under this Contract.

C. The Contractor shall hold and save harmless the State of Maryland, including but not limited to the Department and its agents, officers, and employees, from liability of any nature or kind arising out of a claim or suit for or on account of the use of any copyrighted or un-copyrighted composition, trademark, service mark, secure process, patented or unpatented invention, article or appliance furnished or used in the performance of any Contract resulting from this RFP. The Contractor agrees to assume the defense of any and all such suits and pay the costs and expenses incidental hereto, subject to the right of the State to provide additional legal counsel at the State's own expense. If a third party claims that a product infringes that party's patent or copyright, the Contractor will defend the State against that claim at Contractor's expense and will MTR-17-005-MT SGP - 21

pay all damages, costs and attorney fees that a Court formally awards, provided the State (i) notifies the Contractor in writing of the claim within a reasonable time after the State's receipt of such claim, with the understanding that the State's failure to give reasonably timely notice shall not relieve Contractor of any obligation hereunder except and to the extent that such failure prejudices Contractors' ability to defend against such claim; and (ii) allows Contractor to control, and cooperates with Contractor in, the defense and any related settlement negotiations.

D. If any products furnished by the Contractor become, or in the Contractor's opinion are likely to become, the subject of a claim of infringement, the Contractor shall, after consultation with the State and at the Contractor's own expense: (a) procure for the State the right to continue using the applicable item, (b) replace the produce with a non- fringing product that, in the State's view, substantially complies with the item's specifications, or (c) modify the item so that it becomes non-infringing and, in the State's view, performs in a substantially similar manner to the original item.

E. In connection with services provided under a Task Order Request for Proposal (TORFP), the Contractor may create, acquire or otherwise have rights in, and may, employ, provide, create, acquire or otherwise obtain rights in various concepts, ideas, methods, methodologies, procedures, processes, know-how, techniques, models, templates and general purpose consulting and software tools, utilities and routines (collectively, the "Contractor Technology"). To the extent that any Contractor Technology is contained in any of the Contract deliverables including any derivative works, the Contractor grants the State a royalty-free, fully paid, worldwide, perpetual, non-exclusive license to use such Contractor Technology in connection with the Contract deliverables for the State's purposes.

F. The Contractor shall not acquire any right, title and interest in and to the copyrights for goods, any and all software, technical information, specifications, drawings, records, documentation, data or derivative works thereof, or other work products provided by the State to the Contractor. In a TORFP, the State may, in its sole discretion, elect to grant the Contractor a worldwide, perpetual, non-exclusive license, for which the State may require compensation, perhaps in the form of a royalty, for the Contractor's internal use to non-confidential Contract deliverables first originated and prepared by the Contractor for delivery to the State.

SGP – 7.03 Emergencies

A. In an emergency at the construction site affecting the safety of life, the work or adjoining property, the Contractor, without special instructions or authorization from the Procurement Officer, shall act to prevent such threatened loss or injury. The Contractor shall notify the Procurement Officer as soon as practicable of the action taken and the status of the emergency.

B. In the event of imminent danger or when peril exists to life, limb or property, the contractor’s safety representative, the Procurement Officer or the Administration’s Manager of Safety and Systems Assurance have the authority to close down an operation until said unsafe act or unsafe condition has been corrected. MTR-17-005-MT SGP - 22

SGP – 7.04 Rights in Technical Data

A. Technical data means any and all information of a scientific or technical nature, regardless of form or characteristics, to be furnished by the Contractor pursuant to this contract. It includes, but is not limited to, documentation of research, experimental, development or engineering work plus the information used to define a design or process or to procure, produce, support, maintain or operated the goods, supplies, systems, and equipment furnished hereunder.

Examples of technical data include research and engineering data, engineering drawings and associated lists, specifications, standards, process sheets, manuals, technical reports, catalog item identification and related information.

B. The Administration, its employees and its consultants, shall have the unlimited right to use, duplicate and disclose, in whole or in part and without charge, all technical data, in any manner and for any purpose when, in the opinion of the Administrator, such use in required by the Administration in the installation, operation, modification, maintenance, repair, replacement, overhaul and training in respect to the Work and the items furnished to the Administration, under the Contract or otherwise obtained by the Administration.

C. Nothing herein shall be construed as modifying or abridging the obligations of the Administration in respect to the provisions of the Public Information Act, Section 10-611 et seq. of the State Government Article of the Annotated Code of Maryland. To assist the Administration the Contractor, if he wishes, shall, as hereinafter described in Article E. below, clearly identify each portion of the technical data it considers a “trade secret” to which the public shall be denied inspection. Contractor acknowledges that such classifications are advisory only.

D. The following categories of technical data shall not be construed or stamped or otherwise identified as “trade secrets”:

1. Technical data prepared or required to be delivered under this contract and any subcontracts hereunder for the purpose of identifying sources, part numbers, size, configurations, mating, attachment characteristics, functions characteristics and performance requirements.

2. Manual or instructional materials prepared or required to be delivered under this contract and any subcontracts hereunder, for installation, operation, maintenance, repair, replacement, overhaul and training purposes.

E. If the Contractor determines that any technical data not included in Article D. above, comprises a “trade secret” and decides to impose this classification, he shall clearly identify each portion on each page of such technical data with the words “Trade MTR-17-005-MT SGP - 23

Secret”. On each page on which a “Trade Secret” is identified, the following shall be noted by the Contractor: the prime contract number under which the technical data is to be delivered; the name of the Contractor and any subcontractor asserting the classification; and a recitation of the Administration’s rights as stated in Article B. above. Further, when submitting technical data designated as “Trade Secret”, the Contractor shall provide with each such submission a letter justifying the basis for designation each portion so identified.

F. Rights to Records

1. The Contractor agrees that all documents and materials, including but not limited to, reports, drawings, studies, specifications, estimates, tests, maps, photographs, designs, graphics, mechanical, artwork, computations and data prepared by the Contractor for purposes of this Contract shall be the sole property of the State and shall be available to the State at any time. The State shall have the right to use the same without restriction and without compensation to the Contractor other than that specifically provided by this Contract.

2. The Contractor agrees that at all times during the term of this Contract and thereafter, the works created and services performed under this Contract shall be "works made for hire" as that term is interpreted under U.S. copyright law. To the extent that any products created under this Contract are not works for hire for the State, the Contractor hereby relinquishes, transfers, and assigns to the State all of its rights, title, and interest (including all intellectual property rights) to all such products created under this Contract, and will cooperate reasonably with the State in effectuating and registering any necessary assignments.

3. The Contractor shall report to the Department, promptly and in written detail, each notice or claim of copyright infringement received by the Contractor with respect to all data delivered under this Contract.

4. The Contractor shall not affix any restrictive markings upon any data and if such markings are affixed, the State shall have the right at any time to modify, remove, obliterate, or ignore such warnings.

G. Confidentiality

Subject to the Maryland Public Information Act and any other applicable laws, all confidential or proprietary information and documentation relating to either party (including without limitation, any information or data stored within the Contractor's computer systems) shall be held in absolute confidence by the other party. Each party shall, however, be permitted to disclose relevant confidential information to its officers, agents and employees to the extent that such disclosure is necessary for the performance of their duties under this Contract, provided the data may be collected, used, disclosed, stored and disseminated only as provided by and consistent with the law. The provisions of this section shall not apply to information that (a) is lawfully in the public domain; (b) has been independently developed by the other party without violation of this Contract; (c) was already in the possession of such party; (d) was supplied to such party by a third party lawfully in possession thereof and legally permitted to further disclose the information; or (e) which such party is required to disclose by law. MTR-17-005-MT SGP - 24

H. Loss of Data

In the event of loss of any State data or records where such loss is due to the intentional act, omission, or negligence of the Contractor or any of its subcontractors or agents, the Contractor shall be responsible for recreating such lost data in the manner and on the schedule set by the Contract Manager. The Contractor shall ensure that all data is backed up and is recoverable by the Contractor.

SGP – 7.05 Audit and Inspection of Records

A. In this clause, the term “Contractor” includes all subcontractors at any tier, the term “Contractor’s Records” includes data and records of all subcontractors at any tier, and the term “Administration” includes the MTA, the U. S. Department of Transportation, the Comptroller General of the United States and their authorized representatives.

B. The Contractor shall permit the Administration to inspect, audit, and copy, at any reasonable times, the Contractor’s Records in connection with all matters related to the Contract, including the Contractor’s performance.

C. The provisions of this clause shall be included in all subcontracts, at any tier, under this Contract.

D. Performance and Compliance Administration reserves the right to examine, copy and audit Contractor’s Records in order to evaluate compliance of Contractor with statutory and regulatory requirements as well as all requirements under the terms, conditions, Specifications and provisions of the Contract.

E. Noncompetitive Proposals Administration reserves the right to examine, copy and audit Contractor’s Records, if necessary, to permit adequate evaluation of cost and pricing data related to the original proposal, along with the computations and projections used therein. If this audit is performed subsequent to the award of a contract, Administration reserves the right to utilize Contractor’s incurred costs to date for its evaluation of Contractor’s proposal.

F. Change Orders and Contract Modifications Administration reserves the right to examine, copy and audit Contractor’s Records, if necessary, to evaluate cost and pricing data related to Change Order proposals and Contract Modifications and any associated computations and projections, as well as to evaluate Contractor’s performance of and compliance with Change Orders issued under the Changes section herein. If this audit is performed subsequent to the submittal off a Change Order proposal or issuance of a Contract Modification, Administration reserves the right to utilize Contractor’s incurred costs to date for its evaluation of Contractor’s Change Order proposal or MTR-17-005-MT SGP - 25

Contractor’s performance of or compliance with Contract Modification.

G. Adjustable Contracts If all or part of this Contract is a cost-reimbursement, incentive, time and materials, labor-hour, or price re-determinable contract, or any combination of the these, Contractor shall maintain and Administration shall have the right to examine, copy and audit, Contractor’s Records and other evidence sufficient to reflect properly, in accordance with sound and generally accepted accounting principles and practices consistently applied, all direct and indirect costs of whatever nature claimed to have been incurred or anticipated to be incurred in the performance of the Contract.

H. Contractor’s Records shall include, but not be limited to: accounting records (hard copy, as well as computer readable data if it can be made available); written policies and procedures; subcontract files (including proposals of successful and unsuccessful bidders, bid recaps, etc); original estimates; estimating work sheets; correspondence; Change Order files (including documentation covering negotiated settlements); back-charge logs and supporting documentation; general ledger entries detailing cash and trade discounts and rebates; purchase orders; commitments; agreements; leases; notes and memoranda; daily diaries; superintendent reports; drawings and sketches; receipts,; vouchers; and, any other supporting evidence deemed necessary by Administration to substantiate charges related to the Contract.

I. Contractor’s Records shall be open to inspection and subject to audit and/or reproduction by Administration or its representative(s), to the extent necessary to adequately permit evaluation and verification of Contractor’s compliance with Contract terms, conditions and requirements, and compliance with provisions for pricing Changer Orders, payments or claims submitted by Contractor or any of its payees.

J. Contractor shall make Contractor’s Records available to Administration or its representative(s) at all reasonable times, and Administration or its representative(s) shall be afforded access to all of Contractor’s facilities and shall be allowed to interview any of Contractor’s employees, pursuant to the provisions of this Section throughout the term of the Contract and until three years after final payment under the Contract. Contractor shall provide adequate and appropriate work space for Administration or its representative(s) to conduct audits in compliance with this Section. Contractor shall cooperate with all audit procedures including the furnishing of a management representation letter upon request of the auditor.

K. Contractor shall require all insurance agents, and suppliers or other payees to comply with the provisions of this Section by insertion of the requirements hereof in a written contract or agreement between Contractor and payee.

L. Contractor shall reimburse Administration, within thirty (30) calendar days after receipt of a written request thereof, the price (including profit) charged for services or quantities not delivered and extras or adjustments not authorized under the Contract as verified by an inspection or audit of Contractor’s Records. MTR-17-005-MT SGP - 26

M. This Section does not affect or limit any rights, obligations or responsibilities afforded or imposed by the Inspector General’s Act of 1978, as amended from time to time, including the right of the Inspector General of the U. S. Department of Transportation to seek information by subpoena. SGP – 7.06 Notice to the Administration of Labor Disputes

A. Whenever the Contractor has knowledge that any actual or potential labor dispute is delaying or threatens to delay the timely performance of this contract, the Contractor shall immediately give notice thereof, including all relevant information with respect thereto, to the Administration.

B. The Contractor shall insert the substance of this Article, including this Paragraph B, in any subcontract hereunder and each such subcontract shall provide that in the event its timely performance is delayed or threatened by delay by any actual or potential labor dispute the subcontractor shall immediately notify his next higher tier subcontractor, or the prime contractor, as the case may be, of all relevant information with respect to such dispute.

SGP – 7.07 Indemnification

This clause supplements and is intended to be harmonious with General Provision GP-7.13. If and to the extent that there is an inconsistency between this clause and General Provision GP-7.13, the provision of this clause shall govern.

The Contractor shall indemnify, save harmless and, at the Administration’s or Procurement Officer’s request, defend the Administration and Procurement Officer, and their employees and agents, from against any and all suits, actions, legal proceedings, claims, demands, damages, costs and expenses of whatsoever kind of character, including but not limited to attorney’s fees and expenses arising out of or by reason of any liability or obligation in any manner caused or occasioned or claimed to be caused or occasioned by an act, omission, fault or negligence of the Contractor or anyone acting on his behalf, including but not limited to lower tier subcontractors and vendors, their subcontractors or sub-vendors, and the employees and agents of any of the foregoing. Such indemnification shall not be construed to include damages or injuries solely arising or occurring from negligent acts of the Administration or its agents.

A. Indemnification

1. The Contractor shall hold harmless and indemnify the State against liability for any costs, expenses, loss, suits, actions, or claims of any character arising from or relating to the performance of the Contractor or its subcontractors under this Contract.

2. The State has no obligation to provide legal counsel or defense to the Contractor or its subcontractors in the event that a suit, claim or action of any character is brought by any person not party to this Contract against the Contractor or its subcontractors as a result of or relating to the Contractor's obligations under this Contract. MTR-17-005-MT SGP - 27

3. The State has no obligation for the payment of any judgments or the settlement of any claims against the Contractor or its subcontractors as a result of or relating to the Contractor's obligations under this Contract.

4. The Contractor shall immediately notify the Procurement Officer of any claim or suit made or filed against the Contractor or its subcontractors regarding any matter resulting from or relating to the Contractor's obligations under the Contract. In the event that a claim, suit or action is made or filed against the State as a result of or relating to the Contractor's performance under this Contract, the Contractor agrees to assume the defense of any and all such suits and pay the costs and expenses incidental hereto, subject to the right of the State to provide additional legal counsel at the State's own expense. This section shall survive expiration of this Contract.

SGP – 7.08 Buy American Steel Act (GP-7.28, SGP-10.14)

In addition to the requirements of Article GP-7.28, Article SGP-10.14 shall also be implemented.

SGP – 7.09 Prevailing Wage Contracts for Public Works (GP-7.01D, GP-7.30B)

The requirements of Article GP-7.30B are specifically set forth in Sections 10.09 and 10.10 of these Supplementary General Provisions.

SGP – 7.10 Contractor’s Safety Program (GP-7.05)

A. The Contractor’s safety representative shall have a thorough knowledge of construction safety and OSHA regulations.

B. The duties of the safety representative shall include maintenance of the Contractor’s safety program, enforcement of safe practices, and the use of the safety equipment and personal protective equipment, and other such activities as may be required by OSHA to maintain job safety and accident prevention. Reference MTA Project Safety Plan in the contract Table of Contents as applicable.

C. Contractor Safety and Health Plan

The Contractor Safety & Health Plan shall fully describe the Contractor’s commitments for meeting its obligations to provide safe and healthful working conditions for its employees, the public, and generally contribute to and enhance safety at the project. The Contractor Safety & Health Plan must reference standards, codes, rules, and regulations applicable to construction activities in the state and local jurisdiction/authority and the state of Maryland. The Contractor’s Plan shall include, but not be limited to, provisions of the Construction Safety Guidelines. MTR-17-005-MT SGP - 28

1. Within five calendar (5) days after issuance of Notice of Intent to Award (NITA) for the Contract, the Contractor shall submit, a written “Project Specific Safety & Health Plan” to the Administration for approval. The Administration will review or comment and may approve, disapprove, or approve conditionally the Contractor’s “Project Specific Safety & Health Plan”.

2. With regards to the approval of the Contractor Safety & Health Plan, work shall proceed as determined by the Administration.

3. The Administration retains the right to prohibit the start of work until the Contractor’s’ Project Specific Safety & Health Plan” is approved by the Office of Safety Quality Assurance Risk Management.

4. Failure of the Contractor to submit a plan or approvable plan, the Contractor maybe held in default. A delay in submitting the Contractor Project Specific Safety & Health Plan will not constitute grounds for contract schedule extension or delay claim.

SGP – 7.11 Cost and Price Certification (GP-7.26)

The following paragraph C. is hereby added to GP-7.26:

C. The contractor or subcontractor shall maintain book and records that relate to the cost or pricing date for three (3) years from the date of final payment under the contract, unless a different period is otherwise authorized in the contract. Any cost and pricing information submitted in accordance with this GP-7.26 shall be subject to the provisions of COMAR 21.06.05.02 “Audits.”

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SGP – SECTION 8

PROSECUTION AND PROGRESS

SGP – 8.01 General

The following Article augments Section 8 of the General Provisions.

SGP – 8.02 Subcontracting (GP-8.01)

A. Prior to entering into any subcontract for work to be performed at the construction site, the Contractor shall give written notice to the Procurement Officer regarding the prospective subcontractor’s qualifications, and the Administration may require a copy of the prospective subcontract.

B. The cost of work performed by skilled and unskilled labor carried on Contractor’s own payroll, together with the cost of materials installed, shall be included in the specified minimum percentage specified in General Provision GP-8.01. If, during progress of the work, Contractor requests a reduction in such percentage, and the Procurement Officer determines that it would be to the Administration’s advantage, the percentage of work required to be performed by Contractor may be reduced, provided written approval of such reduction is obtained by the Contractor from the Procurement Officer.

C. Reference SGP 9.05 for subcontractor prompt payment.

SGP – 8.03 Notice to Proceed (GP-8.02)

Notice to Proceed will be issued within one hundred eighty (180) days after bid opening, unless mutually extended.

SGP – 8.04 Termination for Default, Damages for Delay, Time Extension (GP-8.08)

A. If the time of contract performance is specified in “calendar days”, the following table will be used as the basis for determining allowable time extensions to the contract for “unusually severe weather” at the construction site. Working Day Delays to the Work Which May Be Expected Month to Occur as a Result of Normal Weather Conditions

Tunnel/Underground Work Outdoor/Weather Sensitive

January 3 8 February 3 8 March 2 7 April 2 4 May 2 4 June 2 1 July 2 2 August 3 2 MTR-17-005-MT SGP - 30

Tunnel/Underground Work Outdoor/Weather Sensitive

September 1 2 October 1 2 November 1 4 December 2 5

B. Time extensions for weather delays during the months as listed above will only be allowed for working day delays in excess of those numbers listed above and only when those excess days of delay affect the driving activities of the work on projects without a CPM schedule. The calendar days or dates extension will be developed by multiplying the allowable working days extension by one of the following factors, as applicable.

1. Factor of 1.4 for those activities scheduled for five (5) day work week.

2. Factor of 1.2 for those activities scheduled for six (6) day work week.

3. Factor of 1.0 for those activities scheduled for a seven (7) day work.

On projects with a CPM Schedule the impact due to unusually severe weather will be determined by the analysis of the CPM schedule. Time extensions for indoor work will be based on delays to critical activities in the Projects Schedule.

Time extensions granted under this provision are non-compensable.

If the time of contract performance is specified in “working days”, the Provisions of this section (SGP-8.04) do not apply.

SGP – 8.05 Liquidated Damages (GP-8.09)

The Administration may recover liquidated damages by deducting the amount thereof from any moneys due or that may become due the Contractor, including current monthly estimated payments.

SGP – 8.06 DBE Termination of DBE Subcontractor for Convenience (GP-8.11)

The Contractor shall not terminate a DBE subcontractor for convenience and then perform the work of the terminated subcontractor with its own forces or those of an affiliate, without the prior written consent of the procurement office.

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SGP – SECTION 9

PAYMENT

SGP – 9.01 General

The following Articles augment Section 9 of the General Provisions.

SGP – 9.02 Force Account Work (GP-9.02)

In lieu of General Provisions Article GP-9.02, the following shall prevail:

When the Contractor is required to perform work as a result of additions or changes to the contract for which there are no applicable unit prices in the contract, the Administration and Contractor shall make every effort to come to an agreed upon price for the performance of such work. If an agreement cannot be reached, the Administration may require the Contractor to do such work on a force account basis to be compensated in accordance with the following:

A. Labor. For all labor and for foremen in direct charge of the specific operations, the Contractor shall receive the actual wages for each and every hour that said labor and foremen are actually engaged in such work.

B. Materials. For materials accepted by the Procurement Officer and used in the performance of the work, the Contractor shall receive the actual cost of such materials, including transportation charges paid by him (exclusive of machinery rentals as hereinafter set forth).

C. Equipment. For any machinery or equipment (other than small tools) whether rented or owned, the use of which has been authorized by the Procurement Officer, the Contractor shall receive those rates hereinafter specified. For purpose of definition, equipment with a new cost of $1,000 or less will be considered small tools.

1. For owned equipment, the Contractor shall be paid at hourly rates derived from the applicable edition of the Rental Rate Blue Book (RRBB) for Construction Equipment by Penton Business Media/Equipment Watch. The rate to be paid will be the Blue Book monthly ownership rate for the make and model of equipment multiplied by the appropriate rate adjustment factors, divided by 176, plus the RRBB hourly operating cost. The rental rate for each item of equipment will be the sum of the base machine rate, specialized attachment rate as applicable (common attachments are considered included in the base rate) and operating rate(s) established at the time the equipment is being used.

2. For Contractor owned equipment not listed in the RRBB, an equitable hourly rate shall be established by the Procurement Officer based on Contractor furnished cost data and basic information concerning the equipment. MTR-17-005-MT SGP - 32

Information required to determine rates includes, but is not limited to, manufacture, year, size, model, capacity, acquisition cost and operating costs, and shall be furnished to the Procurement Officer prior to the use of the equipment.

3. Equipment rates shall apply for equipment in good working condition. The equipment shall be of approved size and capacity to provide the production required for the work to be done. Equipment not meeting these requirements may be used only with the approval of the Procurement Officer and at agreed reduced rates.

4. Equipment at the Construction Site. For use of onsite Contractor owned equipment in operation on force account work the Contractor will be paid in accordance with the following provisions:

a. The time to be paid for the use of equipment on the work shall be the number of hours the equipment is in operation on the force account work being performed. Less than thirty (30) minutes will be considered as ½ operation. The time shall include the time required on-site to move the equipment to the location of the force account work and return it to the original location or to another location requiring no more time than that required to return it to its original location. Loading and transportation costs will be allowed, in lieu of moving time, when the equipment is moved by means other than its own power. No payment will be made for moving time or loading and transporting costs if the equipment is used at the location of the force account work on other than such force account work.

b. For equipment listed in the RRBB the operational hourly rate shall be as follows:

Up to eight (8) hours use in a day, the “Total Hourly Costs” shall be as listed in 1 above. Over eight (8) hours in a day, use 70% of the monthly rate divided by 176 plus the hourly operating costs. Idle or standby rates for equipment brought in solely for the use of the force account work will be paid at 50% of the monthly rate divided by 176 for not more than 8 hours per day.

c. For equipment not listed in the RRBB the operational hourly rate shall be the rate determined by the Procurement Officer, which rates shall include all costs of ownership, repair and operation, as determined by the Procurement Officer in accordance with paragraph C.2 above.

MTR-17-005-MT SGP - 33

d. Under this provision payment will not be made for idle or stand by time of existing equipment at the construction site.

5. Equipment not at the Construction Site. For the use of Contractor owned equipment moved in from off the site and used exclusively for force account work, the Contractor will be paid in accordance with the following provisions:

a. The Contractor will be paid for the cost of transporting the equipment to the location of the work and its return to its original location including the cost of loading and unloading as agreed upon by the Procurement Officer prior to the move. Should the Contractor desire the return of the equipment to a location other than its original location, the Administration will pay the cost of transportation provided such payment shall not exceed the cost of moving the equipment to the work.

b. The equipment use period shall begin at the time the equipment is unloaded at the site of the force account work, shall include each day that the equipment is on the site exclusive of non-work days and will terminate at the end of the day on which the use of the equipment is no longer required for the force account work.

c. For those hours that the equipment is in operation on force account work, the Contractor shall be paid in accordance with paragraph C.4 above.

d. Idle or stand by time shall be the number of hours in a work day, up to a maximum of eight (8) hours, less the number operational hours paid for those days as provided in paragraph C.5c above.

e. The stand by rate for equipment listed in RRBB shall be 50% of the monthly rate divided by 176.

f. The standby rate equipment not listed in RRBB shall be 50% of the monthly rate divided by 176 as determined by the Procurement Officer in accordance with paragraph C.2 above.

6. When approved by the Procurement Officer, the use of rented equipment will be permitted in the performance of force account work. The Contractor shall be paid the actual costs incurred in the use of such equipment on the force account work. No transportation or idle time costs will be paid for the use of rental equipment not on the construction site exclusively for the force account work.

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D. Subcontractors. The Contractor shall receive the actual cost of work performed by a subcontractor. Subcontractor’s cost is to be determined as in A., B., and C., above, plus the fixed amount for overhead and profit allowance computed as in F.

E. Superintendence. No additional allowance shall be made for general superintendence, Quality Assurance, the use small tools, or other costs for which no specific allowance is herein provided.

F. Other Compensation.

1. The adjustment in compensation shall be based on the following as documented and justified by the Contractor.

a. Fringes. Costs paid to or on behalf of workmen by reason of subsistence and travel allowances, health and welfare benefits, pension fund benefits, or other benefits required by collective bargaining agreement or other employment contract.

b. Insurance. The incremental increase in premium costs resulting from the work for workman’s compensation, liability or risk insurance, but only in the event that such coverage has not been provided by the Administration under the Contract.

2. Compensation for overhead and profit. The Procurement Officer and the Contractor shall negotiate a fixed amount for force account work performed pursuant to this SGP-9.02 by his forces and by his subcontractor(s), as compensation for overhead and profit for the work performed. Failure of the Contractor and the Procurement Officer to negotiate an amount consistent with applicable cost principles in COMAR 21.09.01, shall be treated as a dispute pursuant to GP-5.15 and the Contractor shall proceed diligently with the performance of the force account work to completion. The fixed amount shall not exceed the sum of thirty-five percent (35%) of items A, F.1.a. and F.1.b. and ten percent (10%) of items B. and C.6.

3. In addition, the Contractor’s fixed amount may include an amount not to exceed five percent (5%) or five hundred dollars ($500) whichever is higher of item D. (excluding subcontractor’s fixed amount. However there will not be any such markup for subcontractor’s below the first tier.

4. The Contractor will be compensated for overhead and profits by a fixed amount that shall include but not be limited to compensation for all costs of unemployment insurance contributions, Social Security taxes and bond premiums on the force account work. The

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Overhead portion of Item A’s markup includes Payroll taxes; included FICA, FUTA, SUTA, small tools and bond premiums.

G. Statements. No payment will be made for work performed on a force account basis until the Contractor furnished the Procurement Officer duplicated itemized statements of the cost of such force account work detailed as to the following:

1. Name, classification, date, daily hours, total hours, rate, and extension for such laborer, or foreman.

2. Designation, dates, daily hours, total hours, rental rate, and extension for each unit of machinery and equipment.

3. Quantities of materials, prices and extensions.

4. Transportation of materials.

5. Payments of items under I.1. shall be accomplished by copies of certified payrolls. Under I.2., original receipted invoices for rentals must be provided if requested by the Procurement Officer. I.3. and I.4. shall be accompanied by original receipted invoices for materials used and transportation charges. If, however, the materials used in the force account work are not specifically purchased for such work but are taken from the Contractor’s stock, then in lieu of the original invoices the statements shall contain or be accompanied by an affidavit of the Contractor which shall certify that such materials were taken from his stock, that the quantity claimed was actually used and that price and transportation of the material as claimed represent actual cost. Any request for payment under this Section should be submitted in the order outlined by the above.

H. Special Items of Work – If the Procurement Officer and the Contractor, by agreement, determine that (a) an item of force account does not represent a significant portion of the total Contract price, and (b) such item of work cannot be performed by the forces of the Contractor of the forces of any of his subcontractors, and (c) it is not in accordance with the established practice of the industry involved to keep the records which the procedure outlined in this Article SGP-9.02 would require, charges for such special force account work items may be made on the basis of invoices for such work without complete itemization of labor, materials and equipment rental costs. To such invoiced price, less a credit to the Administration for any case or trade discount offered or available, will be added five percent (5%) of the discounted price, in lieu of the percentages provided in this Article SGP-9.02. In no event will the price paid exceed the current fair market value of such work plus five percent (5%).

I. As provided in SGP-7.05, the Contractor’s records shall be made available to the Administration at all reasonable times.

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SGP – 9.03 Progress Payments (GP-9.03, GP-7.01C)

A. Retainage. Monthly estimates provisions apply except that when the five percent (5%) retainage amounts to 2½% of the total Contract value plus authorized extras and additions, no further retainage will be deducted and the 2½% of total Contract value retained will not released until final payment, unless partially released in a semi-final payment.

B. Lump Sum Contract Items. When requested by the Procurement Officer, the Contractor shall submit a schedule of estimated costs breakdown, acceptable to the Procurement Officer, before partial payment will be made for such items. The estimated cost breakdown shall include items for the main classifications or work, and shall total the amount of the Bid Item. The values in the schedule will be used only for determining partial payments.

C. The provisions of GP-9.03A.3 shall not apply to this contract as it would conflict with and be in violation with the applicable federal grant and regulations.

D. When requested in writing by the Contractor and approved by the procurement officer, payment allowance will be made for nonperishable material to be incorporated in the work delivered and stockpiled at the work site or other approved site in accordance with below:

Payment to the contractor under this section for materials on hand shall not be construed in any way as acceptance by the Administration of title to the material. Title shall remain with the Contractor until the project has been completed and accepted in conformance with GP 5.13 (Acceptance for Maintenance).

1. For superstructure members delivered on the project an allowance of 100 percent of the material costs plus freight charges as invoiced may be made provided the cost does not exceed 90 percent of the Contract price of the applicable Contract item. The allowance will be based upon validated invoices or bills for material including freight charges, and a copy thereof shall be made a part of the documented records for the project.

2. For reinforcement steel, piling, pipe, traffic barrier, signs and sign assemblies, and other nonperishable material in storage on the project, but excluding aggregates, cement, seed, plants, fertilizer or other perishable items, an allowance of 100 percent of the invoiced cost of the material plus freight charges to the Contractor may be made provided the cost does not exceed 90 percent of the Contract price of the applicable Contract item. Such material shall be delivered and stock-piled at the project site after being tested by the Administration and found to have conformed to the Specifications or to have been accepted under an approved certification program prior to the allowance.

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3. No allowance will be made for fuels, form lumber, falsework, temporary structures or other materials of any kind which will not become an integral part of the finished construction. No payment for stored material will be made if it is anticipated that the material will be incorporated into the work within 30 days of the written request. Only end product manufactured material or fully fabricated products that are awaiting installation or incorporation into the finished work are eligible for prepayment. Components, elements, or ingredients of a finished product are not eligible for prepayment.

4. Material for which an allowance is requested shall be stored in an approved manner in areas within the State of Maryland where damage is not likely to occur. If any of the stored materials are lost or become damaged in any manner, the Contractor shall be responsible for repairing or replacing the damaged materials. The value of the lost or damaged material will be deducted from the Contractor subsequent estimates until replacement has been accomplished. The request for allowances for any materials stored on private property within the State of Maryland shall be accompanied by a release form the owner and/or tenant of such property agreeing to permit the removal of the materials from the property at no cost to the Administration.

The material shall be clearly marked with the Administration’s Contract number on individual units. If the material is normally shipped to the project in bundles or other forms of packaging, the Administration’s Contract number shall be clearly marked or affixed to the package. When the material is not stored at the actual project site, the material shall be physically separated by fencing or equivalent barrier from other materials stored at the same site. The material shall be accessible to the Administration at all times.

When it is considered impractical to store materials on the actual project, the Engineer may approve storage areas in the vicinity of the actual project which will be considered at the project site.

When storage of the materials within the State of Maryland is not practical, approval shall be obtained from the Resident Engineer for storage elsewhere. Storage of materials outside the State of Maryland will b e subject to the conditions set forth in this provision and limited to materials exceeding twenty-five thousand dollars ($25,000), which are designed and fabricated exclusively for use on a specific project.

5. Material for which payment has been made, either wholly or partially, shall not be removed from the approved location until such time that it is to be incorporated into the work unless authorized by the Engineer.

6. The Contractor shall submit a written request for payment to the Resident Engineer at least two weeks prior to the estimate cutoff date established by the Resident Engineer. The following items shall accompany the written request for payment:

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a. Consent of surety specifying the material type and the items in which the material is to be used.

b. Validate invoices with the signature of an officer of the company supplying the material showing actual cost.

c. A notarized statement from the Contractor attesting that the invoices as submitted do not include charges or fees for placing, handling, erecting, or any other charges or markups other than the actual material cost, sales tax(es), if applicable and freight charges.

d. Bills of lading showing delivery of the material. The request for allowances for any materials stored on property outside the State of Maryland shall be accompanied by a release from the owner or tenant of such property agreeing to permit verification by the Inspector that the material is stored at the approved location, and to permit the removal of the materials from the property at no cost to the Administration.

e. Inspection test reports, certifications and/or a written statement from the Inspector attesting to the inspection and approval of the material. Upon receipt of the above by the Resident Engineer and verification by the Inspector that the material is stored at the approved location, the Resident Engineer will authorize payment.

f. A statement explaining why the material cannot be stored on the project, if the Contractor is requesting to store material at a location other than the project site. The statement shall include the methods of storage, separation, and identification to be used by the Contractor. The Contractor shall provide a method of inventory control and withdrawal satisfactory to the Administration which shall be used by the Contractor to monitor materials not stored on the project.

g. A breakdown of the Contract line item bid unit price showing the relationship of the cost of the stored material to the costs of all other materials, labor, and components of the work included in the Contract line item unit price bid by the Contractor.

E. Upon receipt of the above by the Resident Engineer and verification by the Inspector that the material is stored at the approved location, the Resident Engineer will authorize payment.

F. The Contractor shall pay the material provider the amount shown on the invoice within 10 days of receipt of payment form the And. Evidence of payment shall be provided to the Administration. Failure to make invoice payments as specified will be cause to deduct the monies from future estimates and/or deny future stored materials payment requests.

G. Copies of all pertinent data shall be made by the Contractor and distributed to the Inspector for retention as part of the documented records for the project. MTR-17-005-MT SGP - 39

SGP – 9.04 Scope of Payment GP-9.01)

Payment at Contract Prices. The contract price for an item of the work shall include full compensation for all costs of that item, including the costs of any work, materials and equipment incidental to the item but not specifically shown or described in the drawings and specifications, subject only to such express limitations as may be stated in the specifications defining the item or prescribing payment therefor.

The contract prices shall include full compensation for all costs of any work, materials, equipment required by the drawings and specifications at the time of contract award, but not covered by a contract price or otherwise expressly made the subject of direct payment.

SGP – 9.05 Subcontractors – Prompt Payment

A. The Contractor is responsible for making timely payments to all subcontractors and suppliers as required in the State Finance and Procurement Article of the Annotated Code of Maryland, Section 15-226. The Contractor also shall comply with the provisions of State Finance and Procurement Article of the Annotated Code of Maryland, Section 17-106.

B. This contract and all subcontracts issued under this contract are subject to the provisions of State Finance and Procurement Article, §15-226, Annotated Code of Maryland, and COMAR 21.10.08. In paragraphs C—E below, the terms "undisputed amount", "prime contractor", "contractor", and "subcontractor" have the meanings stated in COMAR 21.10.08.01.

C. A contractor shall promptly pay its subcontractors an undisputed amount to which a subcontractor is entitled for work performed under this contract within 10 days after the contractor receives a progress payment or final payment for work under this contract.

D. If a contractor fails to make payment within the period prescribed in §B, a subcontractor may request a remedy in accordance with COMAR 21.10.08.

E. A contractor shall include in its subcontracts for work under this contract, wording that incorporates the provisions, duties, and obligations of §§A—D, State Finance and Procurement Article, §15-226, Annotated Code of Maryland, and COMAR 21.10.08.

F. A contractor shall include in any contract entered into with a subcontractor to complete the work under this Contract a clause obligating the contractor to pay all retainage owed to the subcontractor for satisfactory completion of the accepted work within 30 days after the Administration’s payment to the contractor. Failure to comply with the provision may result in the Administration delaying or postponing the payment of retainage to the contractor or other remedies deemed appropriate by the Administration. MTR-17-005-MT SGP - 40

* * * * * *

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SGP – SECTION 10

FEDERAL AND STATE REQUIREMENTS

SGP – 10.01 General

A. The General Provisions are augmented by the following provisions of Section 10.

B. The Contractor shall comply with applicable requirements and provisions, in effect now or as hereafter amended, of (1) 49 U.S.C. chapter 53 and other procurement requirements of Federal laws; (2) 49 C.F.R. § 18.36; (3) 49 C.F.R. §§ 19.40 through 19.48; (4) all other applicable Federal regulations pertaining to federally-aided contracts; and Federal Transit Administration (“FTA”) Circular 4220.1F, “Third Party Contracting Guidance,” November 1, 2008, and any later revision thereto, except to the extent FTA determines otherwise in writing.

SGP – 10.02 Reserved

SGP – 10.03 Ethics

A. The Contractor shall comply with any Administration or State code of conduct or standards of conduct, in effect on or after the award of this Contract. Such code or standards shall govern the actions of the Contractor’s officers, employees, board members, or agents engaged in the award or administration of subcontracts or other arrangements supported with Federal assistance.

B. The Contractor’s officers, employees, board members, or agents may neither solicit nor accept gratuities, favors, or anything of monetary value from any present or potential subcontractor or other participant at any tier of the Project, or agent thereof; nor shall a Contractor employee, officer, board member, or agent, including any member of his or her immediate family, partner, or organization that employs, or intends to employ, any of the parties identified herein has a financial interest in the entity selected for award. Further, the Contractor shall also prohibit its officers, employees, board members, or agents from using their respective positions in a manner that presents a real or apparent personal or organizational conflict of interest or personal gain.

(1) Personal Conflicts of Interest. The Contractor shall prohibit its employees, officers, board members, or agents from participating in the selection, award, or administration of any subcontract, or other arrangement at any tier, supported by Federal assistance if a real or apparent conflict of interest would be involved. Such a conflict would arise when an employee, officer, board member, or agent, including any member of his or her immediate family, partner, or organization that employs, or intends to employ, any of the parties listed herein has a financial interest in the entity selected for award.

(2) Organizational Conflicts of Interest. The Contractor shall identify and prevent real and apparent organizational conflicts of interest. An organizational conflict

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of interest exists when the nature of the work to be performed under a proposed subcontract, or other arrangement at any tier may, without some restrictions on future activities, results in an unfair competitive advantage to the subcontractor or other participant at any tier of the Project or impair its objectivity in performing the contract work.

C. Debarment and Suspension. The Contractor agrees to comply, and to assure the compliance of each subcontractor or other participant at any tier of the Project, with Executive Orders Nos. 12549 and 12689, “Debarment and Suspension,” 31 U.S.C. § 6101 note, and U.S. DOT regulations, “Non-procurement Suspension and Debarment,” 2 CFR Part 1200, which adopts and supplements the provisions of U.S. Office of Management and Budget (U.S. OMB) “Guidelines to Agencies on Government-wide Debarment and Suspension (Non-procurement),” 2 CFR Part 180. The Contractor agrees, and shall assure that its subcontractors other participant at any tier of the Project will, review the “Excluded Parties Listing System” at http://epls.gov/ before entering into any subcontract or other arrangement in connection with the Project.

D. Bonus or Commission. The Contractor affirms that it has not paid, and agrees not to pay, any bonus or commission to obtain this Contract..

E. Lobbying Restrictions. The Contractor agrees that:

(1) In compliance with 31 U.S.C. § 1352(a), it will not use the proceeds of this Contract to pay the costs of influencing any officer or employee of a Federal agency, Member of Congress, officer of Congress or employee of a member of Congress, in connection with making or extending the Contract;

(2) In addition, the Contractor will comply with other applicable Federal laws and regulations prohibiting the use of Federal assistance for activities designed to influence Congress or a State legislature with respect to legislation or appropriations, except through proper, official channels; and

(3) It will comply, and will assure the compliance of each subcontractor or other participant at any tier of the Project with U.S. DOT regulations, “New Restrictions on Lobbying,” 49 C.F.R. Part 20, modified as necessary by 31 U.S.C. § 1352.

F. False or Fraudulent Statements or Claims. The Contractor acknowledges and agrees that: (1) Civil Fraud. The Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. §§ 3801 et seq., and U.S. DOT regulations, “Program Fraud Civil Remedies,” 49 C.F.R. Part 31, apply to the Contractor’s activities in connection with the Project. By executing the Contract, the Contractor certifies or affirms the truthfulness and accuracy of each statement it has made, it makes, or it may make in connection with the Project. In addition to other penalties that may apply, the Contractor also acknowledges that if it makes a false, fictitious, or fraudulent claim, statement, submission, certification, assurance, or representation, directly or indirectly, to the Federal Government, the Federal Government reserves the right to impose on the Contractor the penalties of the Program Fraud Civil Remedies Act of 1986, as amended, to the extent the Federal Government deems appropriate. MTR-17-005-MT SGP - 43

(2) Criminal Fraud. If the Contractor makes a false, fictitious, or fraudulent claim, statement, submission, certification, assurance, or representation directly or indirectly to the Federal Government, the Federal Government reserves the right to impose on the Contractor the penalties of 49 U.S.C. § 5323(l), 18 U.S.C. § 1001, or other applicable Federal law to the extent the Federal Government deems appropriate.

G. Trafficking in Persons. To the extent applicable, the Contractor agrees to comply with, and assures the compliance of each subcontractor with, the requirements of subsection 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended, 22 U.S.C. § 7104(g), and the provisions of this subsection 3.g of this Contract consistent with U.S. OMB guidance, “Trafficking in Persons: Grants and Cooperative Agreements,” 2 C.F.R. Part 175:

(1) Definitions. For purposes of this subsection G, the Contractor agrees that:

(a) Employee means an individual who is employed by the Contractor or a subcontractor under this Contract.

(b) Forced labor means labor obtained by any of the following methods: the recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery.

1. Means any entity other than a State, local government, Indian tribe, or foreign public entity, as those terms are defined in 2 C.F.R. § 175.25.

2. Includes a for-profit organization, and also a nonprofit organization, including any nonprofit institution of higher education, hospital, or tribal organization other than one included in the definition of Indian tribe at 2 C.F.R. § 175.25(b).

(d) Severe forms of trafficking in persons has the meaning given at section 103 of the TVPA, as amended, 22 U.S.C. § 7102(e). Commercial sex act has the meaning given at section 103 of the TVPA, as amended, 22 U.S.C. § 7102. (e) Coercion has the meaning given at section 103 of the TVPA, as amended, 22 U.S.C. § 7102.

(2) The Contractor agrees:

(a) To inform the Administration immediately of any information it receives from any source alleging a violation of a prohibition in subsection G (2) (c) below.

(b) That the Administration may unilaterally terminate the Contract if the Contractor, a subcontractor, or other Participant at any tier, or an employee of any MTR-17-005-MT SGP - 44

of them, violates subsection G(2)(c) or the provisions of 22 U.S.C. § 7104(g). The Administration’s right to terminate implements FTA’s right to terminate unilaterally:

1. Under subsection 106(g) of the Trafficking Victims Protection Act of 2000 (TVPA), as amended, 22 U.S.C. § 7104(g), and

2. Is in addition to all other remedies for noncompliance that are available to the Administration under this Contract and to the Federal Government.

1. Neither it, its subcontractors, or other participants at any tier, or the employees of any of them, will engage in severe forms of trafficking in persons during the period of time that this Contract is in effect;

2. Neither it, its subcontractors, or other participants at any tier, or the employees of any of them, will procure a commercial sex act during the period of time that this Contract is in effect; or

3. Neither it, its subcontractors, or other participants at any tier, or the employees of any of them, will use forced labor in the performance of this Contract or any subcontract;

4. The provision of this subsection G(2)(c) will be included in all subcontracts and any other arrangement under this Contract at any tier.

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

I. The Bidder will be required to certify that he is or is not included on the United States Comptroller General’s Consolidated List of Persons of Firms Currently Debarred for Violations of Various Public Contracts “Incorporating” Labor Standard Provisions and the State list of Businesses and Persons Suspended or Debarred from doing Business with a Public Body. If the bidder is on such lists, he will not be eligible for Award of Contract.

SGP – 10.04 Reserved

SGP - 10.05 Civil Rights (GP-7.20)

The Contractor agrees to comply with all applicable civil rights laws and regulations, in accordance with applicable Federal directives, except to the extent that the Federal Government determines otherwise in writing. These include, but are not limited to, the following: a. Nondiscrimination in Federal Public Transportation Programs. The Contractor agrees to comply, and assures the compliance of each subcontractor or other participant at any tier of the Project, with the provisions of 49 U.S.C. § 5332, which prohibit discrimination on the basis of race, color, creed, national origin, sex, or age, MTR-17-005-MT SGP - 45

and prohibits discrimination in employment or business opportunity.

b. Nondiscrimination — Title VI of the Civil Rights Act. The Contractor agrees to comply, and assures the compliance of each subcontractor or other participant at any tier of the Project, with all provisions prohibiting discrimination on the basis of race, color, or national origin of Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. §§ 2000d et seq., and with U.S. DOT regulations, "Nondiscrimination in Federally-Assisted Programs of the Department of Transportation — Effectuation of Title VI of the Civil Rights Act," 49 C.F.R. Part 21. Except to the extent FTA determines otherwise in writing, the Contractor agrees to follow all applicable provisions of FTA Circular 4702.1A, "Title VI and Title VI-Dependent Guidelines for Federal Transit Administration Recipients," May 13, 2007, and any other applicable Federal directives that may be issued. c. Equal Employment Opportunity. The Contractor agrees to comply, and assures the compliance of each subcontractor or other participant at any tier of the Project, with all equal employment opportunity (EEO) provisions of 49 U.S.C. § 5332, with Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000e, and implementing Federal regulations and any later amendments thereto. Except to the extent FTA determines otherwise in writing, the Contractor also agrees to follow all applicable Federal EEO directives that may be issued. Accordingly:

(1) General. The Contractor agrees that it will not discriminate against any employee or applicant for employment because of race, color, creed, sex, disability, age, or national origin. The Contractor agrees to take affirmative action to ensure that applicants are employed and that employees are treated during employment without regard to their race, color, religion, sex, disability, age, or national origin. Such action shall include, but not be limited to, employment, upgrading, demotions or transfers, recruitment or recruitment advertising, layoffs or terminations; rates of pay or other forms of compensation; and selection for training, including apprenticeship.

(2) Equal Employment Opportunity Requirements for Construction Activities. For activities determined by the U.S. Department of Labor (U.S. DOL) to qualify as "construction," the Contractor agrees to comply and assures the compliance of each subcontractor or other participant at any tier of the Project, with all applicable equal employment opportunity requirements of U.S. DOL regulations, "Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor," 41 C.F.R. Parts 60 et seq., which implement Executive Order No. 11246, "Equal Employment Opportunity," as amended by Executive Order No. 11375, "Amending Executive Order No. 11246 Relating to Equal Employment Opportunity," 42 U.S.C. § 2000e note, and also with any Federal laws and regulations in accordance with applicable Federal directives affecting construction undertaken as part of the Project. d. Disadvantaged Business Enterprise. To the extent authorized by Federal law, the Contractor agrees to facilitate participation by Disadvantaged Business Enterprises (DBEs) in the Project and assures that each subcontractor or other participant at any tier of the Project will facilitate participation by DBEs in the Project to the extent applicable. Therefore:

(1) The Contractor agrees and assures that it shall comply with section 1101(b) MTR-17-005-MT SGP - 46

of SAFETEA-LU, 23 U.S.C. § 101 note, and U.S. DOT regulations, "Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs," 49 C.F.R. Part 26.

(2) The Contractor agrees and assures that it shall not discriminate on the basis of race, color, sex, or national origin in the the performance of this Contract and the award and performance of any subcontract or other arrangement under this Contract in the administration of its DBE program and shall comply with the requirements of 49 C.F.R. Part 26. The Contractor agrees to take all necessary and reasonable steps as set forth in 49 C.F.R. Part 26 to ensure nondiscrimination in the award and administration of all subcontracts, and other arrangements under this Contract.

e. Nondiscrimination on the Basis of Sex. The Contractor agrees to comply with all applicable requirements of Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. §§ 1681 et seq., and with implementing U. S. Department of Transportation regulations at 49 C.F.R. Part 25 that prohibit discrimination on the basis of sex that may be applicable. f. Nondiscrimination on the Basis of Age. The Contractor agrees to comply with all applicable requirements of:

(1) The Age Discrimination Act of 1975, as amended, 42 U.S.C. §§ 6101 et seq., and with implementing U.S. Health and Human Services regulations, "Nondiscrimination on the Basis of Age in Programs or Activities Receiving Federal Financial Assistance," 45 C.F.R. Part 90, which prohibit discrimination against individuals on the basis of age.

(2) The Age Discrimination in Employment Act (ADEA) 29 U.S.C. §§ 621 through 634 and with implementing U.S. Equal Employment Opportunity Commission (U.S. EEOC) regulations, "Age Discrimination in Employment Act," 29 C.F.R. Part 1625. g. Access for Individuals with Disabilities. To the extent applicable, the Contractor shall comply with 49 U.S.C. § 5301 (d), which states the federal policy that elderly individuals and individuals with disabilities have the same right as other individuals to use public transportation services and facilities, and that special efforts shall be made in planning and designing the services and facilities to implement transportation accessibility rights for elderly individuals and individuals with disabilities. The Contractor also shall comply with all applicable provisions of section 504 of the Rehabilitation Act of 1973, as amended, with 29 U.S.C. § 794, which prohibits discrimination on the basis of disability; with the Americans with Disabilities Act of 1990 (ADA), as amended, 42 U.S.C. §§ 12101 et seq., which requires that accessible facilities and services be made available to individuals with disabilities; and with the Architectural Barriers Act of 1968, as amended, 42 U.S.C. §§ 4151 et seq., which requires that buildings and public accommodations be accessible to individuals with disabilities; and with other laws and amendments thereto pertaining to access for individuals with disabilities that may be applicable. In addition, the Contractor agrees to comply with applicable implementing Federal regulations any later amendments thereto, and agrees to follow applicable Federal directives except to the extent FTA approves otherwise in writing. Among those regulations and directives are:

MTR-17-005-MT SGP - 47

(1) U.S. DOT regulations, “Transportation Services for Individuals with Disabilities (ADA),” 49 C.F.R. Part 37;

(2) U.S. DOT regulations, “Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or Benefiting from Federal Financial Assistance,” 49 C.F.R. Part 27;

(3) Joint U.S. Architectural and Transportation Barriers Compliance Board (U.S. ATBCB)/U.S. DOT regulations, “Americans With Disabilities (ADA) Accessibility Specifications for Transportation Vehicles,” 36 C.F.R. Part 1192 and 49 C.F.R. Part 38;

(4) U.S. DOJ regulations, “Nondiscrimination on the Basis of Disability in State and Local Government Services,” 28 C.F.R. Part 35;

(5) U.S. DOJ regulations, “Nondiscrimination on the Basis of Disability by Public Accommodations and in Commercial Facilities,” 28 C.F.R. Part 36;

(6) U.S. General Services Administration (U.S. GSA) regulations, “Accommodations for the Physically Handicapped,” 41 C.F.R. Subpart 101-19;

(7) U.S. EEOC, “Regulations to Implement the Equal Employment Provisions of the Americans with Disabilities Act,” 29 C.F.R. Part 1630;

(8) U.S. Federal Communications Commission regulations, “Telecommunications Relay Services and Related Customer Premises Equipment for the Hearing and Speech Disabled,” 47 C.F.R. Part 64, Subpart F;

(9) U.S. ATBCB regulations, “Electronic and Information Technology Accessibility Standards,” 36 C.F.R. Part 1194;

(10) FTA regulations, “Transportation for Elderly and Handicapped Persons,” 49 C.F.R. Part 609; and

(11) Federal civil rights and nondiscrimination directives implementing the foregoing Federal laws and regulations, except to the extent the Federal Government determines otherwise in writing. h. Drug or Alcohol Abuse-Confidentiality and Other Civil Rights Protections. To the extent applicable, the Contractor agrees to comply with the confidentiality and other civil rights protections of the Drug Abuse Office and Treatment Act of 1972, as amended, 21 U.S.C. §§ 1101 et seq., with the Comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and Rehabilitation Act of 1970, as amended, 42 U.S.C. §§ 4541 et seq., and with the Public Health Service Act of 1912, as amended, 42 U.S.C. §§ 290dd through 290dd-2, and any amendments thereto. i. Access to Services for Persons with Limited English Proficiency. The Contractor shall to facilitate compliance with the policies of Executive Order No. 13166, “Improving Access to Services for Persons with Limited English Proficiency,” 42 U.S.C. § 2000d-1 note, and follow applicable provisions of U.S. DOT Notice, “DOT MTR-17-005-MT SGP - 48

Policy Guidance Concerning Recipients’ Responsibilities to Limited English Proficiency (LEP) Persons,” 70 Fed. Reg. 74087, December 14, 2005, except to the extent that FTA determines otherwise in writing. j. Environmental Justice. The shall facilitate compliance with the policies of Executive Order No. 12898, “Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations,” 42 U.S.C. § 4321 note; and DOT Order 5620.3, “Department of Transportation Actions To Address Environmental Justice in Minority Populations and Low-Income Populations,” 62 Fed. Reg. 18377 et seq., April 15, 1997, except to the extent that the federal government determines otherwise in writing. k. Other Nondiscrimination Laws. The Contractor agrees to comply with all applicable provisions of other Federal laws and regulations, and follow applicable Federal directives pertaining to and prohibiting discrimination, except to the extent the Federal Government determines otherwise in writing. The Contractor shall include this clause in each subcontract and purchase order issued under the Contract. It is further agreed that the clause shall not be modified, except to identify the parties who will be subject to its provisions.

SGP – 10.06 MTA Affirmative Action Requirements (GP-7.29)

A. Copies of the MTA Affirmative Action Requirements are available at the Mass Transit Administration, Office of Equal Opportunity, 6 St. Paul Street, 5th Floor, Baltimore, Maryland 21202-1614.

B. Bid conditions of the MTA Affirmative Action Requirements are included in the Contract Specifications Book. The Contractor shall submit signed copies of the required exhibits which are included in the Bid Documents.

SGP – 10.07 Prohibited Interest

No member, officer, or employee of the Administration or of any local public body during his tenure and for a period of one (1) year thereafter shall have any interest, direct or indirect, in this contract or the proceeds thereof.

SGP – 10.08 – Termination

If the Federal Government suspends or terminates all or any part of the Federal assistance for this Contract, the Administration may suspend work under or terminate the Contract, in whole or in part, under the suspension or termination provision of the Contract that the Administration deems to be applicable in the circumstances.

The Contractor shall not terminate a Disadvantaged Business Enterprise (“DBE”) subcontractor for convenience and then perform the work of the terminated subcontractor with its own forces or those of an affiliate, without the prior written consent of the procurement officer.

SGP – 10.09 Labor Provision (GP-7.30B, SGP-7.09)

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A. To the extent that the Contract involves construction activities, the Contractor shall to comply and assure the compliance of each subcontractor and other participant at any tier of the Project, with the following federal laws and regulations providing protections for construction employees:

(1) Davis-Bacon Act, as amended, 40 U.S.C. §§ 3141 et seq., pursuant to FTA enabling legislation requiring compliance with the Davis-Bacon Act at 49 U.S.C. § 5333(a), and implementing U.S. DOL regulations, “Labor Standards Provisions Applicable to Contracts Governing Federally Financed and Assisted Construction (also Labor Standards Provisions Applicable to Non-construction Contracts Subject to the Contract Work Hours and Safety Standards Act),” 29 C.F.R. Part 5;

(2) Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. §§ 3701 et seq., specifically, the wage and hour requirements of section 102 of that Act at 40 U.S.C. § 3702, and implementing U.S. DOL regulations, “Labor Standards Provisions Applicable to Contracts Governing Federally Financed and Assisted Construction (also Labor Standards Provisions Applicable to Non- construction Contracts Subject to the Contract Work Hours and Safety Standards Act),” 29 C.F.R. Part 5; and the safety requirements of section 107 of that Act at 40 U.S.C. § 3704, and implementing U.S. DOL regulations, “Safety and Health Regulations for Construction,” 29 C.F.R. Part 1926; and

(3) Copeland “Anti-Kickback” Act, as amended, 18 U.S.C. § 874 and 40 U.S.C. § 3145, and implementing U.S. DOL regulations, “Contractors and Subcontractors on Public Building or Public Work Financed in Whole or in part by Loans or Grants from the United States,” 29 C.F.R. Part 3.

B. To the extent that the Contract concerns activities that do not involve construction, the Contractor shall comply and assure the compliance of each subcontractor and other participant at any tier of the Project with the employee protection requirements for non- construction employees of the Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. §§ 3701 et seq., in particular with the wage and hour requirements of section 102 of that Act at 40 U.S.C. § 3702, and with implementing U.S. DOL regulations, “Labor Standards Provisions Applicable to Contracts Governing Federally Financed and Assisted Construction (also Labor Standards Provisions Applicable to Non-construction Contracts Subject to the Contract Work Hours and Safety Standards Act),” 29 C.F.R. Part 5.

C. During the performance of this Contract, the Contractor shall comply with the following provisions:

1. Minimum Wages

a. All laborers and mechanics employed or working upon the site of the work will be paid unconditionally and not less often than once a week, and without subsequent deduction or rebate on any account (except such payroll deductions as are permitted by regulations issued by the Secretary of Labor under the Copeland Act (29 CFR Part 3), the full amount of wages and bona fringe benefits (or cash equivalents thereof) due at time of payment computed at rates not less than those contained in the wage MTR-17-005-MT SGP - 50

determination of the Secretary of Labor which is attached hereto and made a part hereof, regardless of any contractual relationship which may be alleged to exist between the contractor and such laborers and mechanics. Contributions made or costs reasonably anticipated for bona fide fringe benefits under Section 1 (b) (2) of the Davis-Bacon Act on behalf of laborers or mechanics, are considered wages paid to such laborers or mechanics, subject to the provisions of Article SGP- 10.09A.4. of this section; also, regular contributions made or costs incurred for more than a weekly period (but not less often than quarterly) under plans, funds, or programs which cover the particular incurred during such weekly period. Such laborers and mechanics shall be paid the appropriate wage rate and fringe benefits on the wage determination for the classification of work actually performed, without regard to skill, except as provided in Article SGP-10.09D. Laborers or mechanics performing work in more than one classification may be compensated at the rate specified for each classification for the time actually worked therein: Provided, that the employer’s payroll records accurately set forth the time spent in each classification in which work is performed. The wage determination (including any additional classification and wage rates conformed under Article SGP-10.09.A.2. of this section) and the Davis-Bacon poster (WH-1321) shall be posted at all times by the contractor and its subcontractors at the site of the work in a prominent and accessible place where it can be easily seen by the workers.

b. (1) The Administration shall require that any class of laborers or mechanics which is not listed in the wage determination and which is to be employed under the contract shall be classified in conformance with the wage determination. The Administration shall approve an additional classification and wage rate and fringe benefits therefor only when the following criteria have been met:

i. The work to be performed by the classification requested is not performed by a classification in the wage determination; and

ii. The classification is utilized in the area by the construction industry; and

iii. The proposed wage rate, including any bona fide fringe benefits, bears a reasonable relationship to the wage rates contained in the wage determination.

(2) If the contractor and the laborers and mechanics to be employed in the classification (if known), or their representatives, and the contracting officer agree on the classification and wage rate (including the amount designated for fringe benefits where appropriate), a report of the action taken shall be sent by the Administration to the Administrator of the Wage and Hour Division, Employment Standards Administration, U.S. Department of Labor, Washington, DC 20210. The Administration, or an authorized representative, will approve, modify, or disapprove every additional

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classification action within thirty (30) days of receipt and so advise the contracting officer or will notify the contracting officer within the thirty (30) day period that additional time is necessary.

(3) In the event the contractor, the laborers or mechanics to be employed in the classification or their representatives, and the Administration do not agree on the proposed classification and wage rate (including the amount designated for fringe benefits, where appropriate), the Administration shall refer the shall refer the questions, including the views of all interested parties and the recommendation of the Administration to the Administrator for determination. The Administrator, or an authorized representative, will issue a determination within thirty (30) days of receipt and so advise the Administration or will notify the Administration within the thirty (30) day period that additional time is necessary.

(4) The wage rate (including fringe benefits where appropriate) determined pursuant to subparagraphs 2. (b) or (c) of this paragraph, shall be paid to all workers performing work in the classification under this contract from the first day on which work is performed in the classification.

c. Whenever the minimum wage rate prescribed in the contract for a class of laborers or mechanics includes a fringe benefit which is not expressed as an hourly rate, the contractor shall either pay the benefit as stated in the wage determination or shall pay another bona fide fringe benefit or an hourly cash equivalent thereof.

d. If the Contractor does not make payments to a trustee or other third person, the contractor may consider as part of the wages of any laborer or mechanic the amount of any costs reasonably anticipated in providing bona fide fringe benefits under a plan or program, provided, that the Secretary of Labor has found, upon the written request of the contractor, that the applicable standards of the Davis-Bacon Act have been met. The Secretary of Labor may require the contractor to set aside in a separate account assets for the meeting of obligations under the plan or program.

2. Withholding

The Administration shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld from the contractor under this contract or any other Federal contract with the same prime contractor, or any other Federally-assisted contract subject to Davis-Bacon prevailing wage requirements, which is held by the same prime contractor, so much of the accrued payments or advances as may be considered necessary to pay laborers and mechanics, including apprentices, trainees, and helpers employed by the contractor or any subcontractor the full amount of wages required by the contract. In the event of failure to pay any laborer or mechanic, including any apprentice, trainee, or helper, employed or working on the site of the work, all or part of the wages required by the contract, the Administration may, after written MTR-17-005-MT SGP - 52

notice to the contractor, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds until such violations have ceased.

3. Payrolls and Basic Records

a. Payrolls and basic records relating thereto shall be maintained by the contractor during the course of the work and preserved for a period of three (3) years thereafter for all laborers and mechanics working at the site of the work. Such records shall contain the name, address, and social security number of each such worker, his or her correct classification, hourly rates of wages paid (including rates of contributions or costs anticipated for bona fide fringe benefits or cash equivalents thereof of the types described in Section 1 (b) (2) (B) of the Davis-Bacon Act), daily and weekly number of hours worked, deductions made and actual wages paid. Whenever the Secretary of Labor has found under 29 CFR 5.5 (a) (1) (iv) (SGP-10.09A.4.) that the wages of any laborer or mechanic include the amount of any costs reasonably anticipated in providing benefits under a plan or program described in section 1 (b) (2) (B) of the Davis-Bacon Act, the contractor shall maintain records which show that the commitment to provide such benefits is enforceable, that the plan or program is financially responsible, and that the plan or program has been communicated in writing to the laborers or mechanics affected, and records which show the costs anticipated or the actual cost incurred in providing such benefits. Contractors employing apprentices or trainees under approved programs shall maintain written evidence of the registration of apprenticeship programs and certification of trainee programs, the registration of the apprentices and trainees, and the ratios and wage rates prescribed in the applicable programs.

b. (1) The contractor shall submit weekly for each week in which any contract work is performed two (2) copies of all payrolls to the Administration within seven (7) days after the regular payroll date. 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). 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 four digits of the employee's social security number). The required weekly payroll information may be submitted in any form desired. Optional Form 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 successor site. The prime contractor is responsible for the submission of copies of payrolls by all subcontractors. Contractors and subcontractors shall maintain the full social security number and current address of each covered worker, and shall provide them upon request to the (write in name of appropriate federal agency) if the agency is a party to the

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contract, but if the agency is not such a party, the contractor will submit them to the applicant, sponsor, or owner, as the case may be, for transmission to the (write in name of agency), the contractor, or the Wage and Hour Division of the Department of Labor for purposes of an investigation or audit of compliance with prevailing wage requirements. It is not 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 its own records, without weekly submission to the sponsoring government agency (or the applicant, sponsor, or owner).

(2) Each payroll submitted shall be accompanied by a “Statement of Compliance”, signed by the contractor or subcontractor or his or her agent who pays or supervises the payment of the persons employed under the contract and shall certify the following:

(i) That the payroll for the payroll period contains the information required to be provided under Sec. 5.5 (a)(3)(ii) of Regulations, 29 CFR part 5, the appropriate information is being maintained under Sec. 5.5 (a)(3)(i) of Regulations, 29 CFR part 5, and that such information is correct and complete;

(ii) That each laborer or mechanic (including each helper, apprentice, and trainee) employed on the contract during the payroll period has been paid the full weekly wages earned, without rebate, either directly or indirectly, and that no deductions have been made either directly or indirectly from the full wages earned, other than permissible deductions as set forth in Regulation, 29 CFR Part 3;

(iii) That each laborer or mechanic has been paid not less than the applicable wage rates and fringe benefits or cash equivalents for the classification of work performed, as specified in the applicable wage determination incorporated into the contract.

(3) The weekly submission of a properly executed certification set forth the reverse side of Optional Form WH-347 shall satisfy the requirement for submission of the “Statement of Compliance” required by Article SGP- 10.09C.2. (b) of this section.

(4) The falsification of any of the above certifications may subject the contractor or subcontractor to civil or criminal prosecution under Section 1001 of Title 18 and Section 231 of Title 31 of the United States Code. The Contractor or subcontractor shall make the records required under Article SGP-10.09C.1. of the section available for inspection, copying or transcription by authorized representatives of the U.S. DOT or the Department of Labor, and shall permit such representatives to interview employees during working hours on the job. If the contractor or subcontractor fails to submit the required records or to make them available, MTR-17-005-MT SGP - 54

the Federal Agency may, after written notice to the contractor, sponsor, applicant, or owner, take such action as may be necessary to cause the suspension of any further payment, advance, or guarantee of funds. Furthermore, failure to submit the required records upon request or to make such records available may be grounds for debarment action pursuant to 29 CFR 5.12.

4. Apprentices and Trainee

a. Apprentices

Apprentices will be permitted to work at less than the predetermined rate for the work they performed when they are employed pursuant to and individually registered in a bona fide apprenticeship program registered with the U.S. Department of Labor, Employment and Training Administration, Office of Apprenticeship Training, Employer and Labor Services or with a State Apprenticeship Agency recognized by the Office, or if a person is employed in his or her first ninety (90) days of probationary employment as an apprentice in such an apprenticeship program, who is not individually registered in the program, but who has been certified by the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency (where appropriate) to be eligible for probationary employment as an apprentice. The allowable ratio of apprentices to journeymen on the job site in any craft classification shall not be greater than the ratio permitted to the contractor as to the entire work force under the registered program. Any worker listed on a payroll at an apprentice wage rate, who is not registered or otherwise employed as stated above, shall be paid not less than the applicable wage rate on the wage determination for the classification work actually performed. In addition, any apprentice performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. Where a contractor is performing construction on a project in a locality other than that in which its program is registered, the ratios and wage rates (expressed in percentages of the journeyman’s hourly rate) specified in the contractor’s or subcontractor’s registered program shall be observed. Every apprentice must be paid at not less than the rate specified in the registered program for the apprentice’s level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Apprentices shall be paid fringe benefits in accordance with the provisions of the apprenticeship program. If the apprenticeship program does not specify fringe benefits, apprentices must be paid the full amount of fringe benefits listed on the wage determination for the applicable classification. If the Administrator determines that a different practice prevails for the applicable apprentice classification, fringes shall be paid in accordance with that determination. In the event the Office of Apprenticeship Training, Employer and Labor Services, or a State Apprenticeship Agency

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recognized by the Office, withdraws approval of an apprenticeship program, the contractor will no longer be permitted to utilize apprentices at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

b. Trainees

Except as proved in 29 CFR 5.16, trainees will not be permitted to work at less than the predetermined rate for the work performed unless they are employed pursuant to and individually registered in a program which has received prior approval, evidenced by formal certification by the U.S. Department of Labor, Employment and Training Administration. The ratio of trainees to journeymen on the job site shall not be greater than permitted under the plan approved by the Employment and Training Administration. Every trainee must be paid at not less than the rate specified in the approved program for the trainee’s level of progress, expressed as a percentage of the journeymen hourly rate specified in the applicable wage determination. Trainees shall be paid fringe benefits in accordance with the provisions of the trainee program. If the trainee program does not mention fringe benefits, trainees shall be paid the full amount of fringe benefits listed on the wage determination unless the Administrator of the Wage and Hour Division determines that there is an apprenticeship program associated with the corresponding journeymen wage rate on the wage determination which provides for less than full fringe benefits for apprentices. Any employee listed on the payroll at a trainee rate who is not registered and participating in a training plan approved by the Employment and Training Administration shall be paid not less than the applicable wage rate on the wage determination for the classification of work actually performed. In addition, any trainee performing work on the job site in excess of the ratio permitted under the registered program shall be paid not less than the applicable wage rate on the wage determination for the work actually performed. In the event the employment and Training Administration withdraws approval of a training program, the contractor will no longer be permitted to utilize trainees at less than the applicable predetermined rate for the work performed until an acceptable program is approved.

c. Equal Employment Opportunity

The utilization of apprentices, trainees and journeymen under this part shall be in conformity with the equal employment opportunity requirements of Executive order 11246, as amended, and 20 CFR Part 30.

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.

6. Subcontracts MTR-17-005-MT SGP - 56

The contractor or subcontractor shall insert in any subcontracts the clauses contained in 29 CFR 5.5(a)(1) through (10) and such other clauses as the U.S. DOT may by appropriate instructions require, and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for the compliance by any subcontractor or lower tier subcontractor with all the contract clauses in 29 CFR 5.5.

7. Contract Termination: Debarment

A breach of the contract clauses in 29 CFR 5.5 may be grounds for termination of the contract, and for debarment as a contractor and a subcontractor as provided in 29 CFR 5.12.

8. Compliance with Davis-Bacon and Related Act Requirements

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

9. Disputes Concerning Labor Standards

Disputes arising out of the labor standards provisions of this contract shall not be subject to the general disputes clause of this contract. Such disputes shall be resolved in accordance with the procedures of the department of Labor set forth in 29 CFR Parts 5, 6, and 7. Disputes within the meaning of this clause include disputes between the contractor (or any of its subcontractors) and the Administration, the U.S. Department of Labor, or the employees or their representatives.

10. Certification of Eligibility

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

b. No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3 (a) of the Davis-Bacon Act or 29 CFR 5.12 (a) (1).

c. No part of this contract shall be subcontracted to any person or firm ineligible for award of a Government contract by virtue of section 3(a) of the Davis-Bacon Act or 29 CFR 5.12(a)(1).

d. The penalty for making false statements is prescribed in the U.S. Criminal Code, 18 U.S.C. 1001.

11. Overtime Requirements

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Contractor or subcontractor contracting for any part of the contract work which may require or involve the employment of laborers or mechanics shall require or permit any such laborer or mechanic in any workweek in which he or she is employed on such work to work in excess of forty (40) hours in such workweek unless such laborer or mechanic receives compensation at a rate not less than one and one-half times the basic rate of pay for all hours worked in excess of forty (40) hours in such workweek.

12. Violations; Liability for Unpaid Wages; Liquidated Damages

In the event of any violation of the clause set forth in paragraph (K) of this section the Contractor and any subcontractor responsible therefor shall be liable for the unpaid wages. In addition, such Contractor or subcontractor shall be liable to the United States (in the case of work done under contract for the District of Columbia or a territory, to such District or such territory), for liquidated damages. Such liquidated damages shall be computed with respect to each individual laborer or mechanic, including watchmen and and guards, employed in violation of the clause set forth in paragraph (K) of this section, in the sum of $10 for each calendar day on which such individual was required or permitted to work in excess of the standard workweek of forty (40) hours without payment of the overtime wages required by the clause set forth in paragraph (K) of this section.

13. Withholding for Unpaid Wages and Liquidated Damages

The Administration shall upon its own action or upon written request of an authorized representative of the Department of Labor withhold or cause to be withheld, from any moneys payable on account of work performed by the Contractor or subcontractor under any such contract or any other Federal contract with the same prime contractor, or any other Federally-assisted contract subject to the Contract Work Hours and Safety Standards Act, which is held by the same prime contractor, such sums as may be determined to be necessary to satisfy any liabilities of such Contractor or subcontractor for unpaid wages and liquidated damages as provided in the clause set forth in paragraph L above.

14. Subcontracts

The contractor or subcontractor shall insert in any subcontracts the clauses set forth in paragraphs K through N of this article and also a clause requiring the subcontractors to include these clauses in any lower tier subcontracts. The prime contractor shall be responsible for compliance by any subcontractor or lower tier subcontractor with the clauses set forth in paragraph K through N of this Article.

(The text of Article SGP-10.09, paragraphs A through J, has been taken from 29 CFR Part 5 as amended through December 19, 2008. Numbering of paragraphs has been changed to agree with the format for these MTR-17-005-MT SGP - 58

Supplementary General Provision. In the event of conflict, the provisions of the Code of Federal Regulations shall prevail.)

SGP – 10.10 Delinquent Certified Payrolls (SGP-10.09C.2.a)

If the Contractor is delinquent in submitting his or any of his subcontractors payroll records, processing of partial payments estimates may be held in abeyance pending receipt of the payroll records. In addition, if the Contractor is delinquent in submitting his or any of his subcontractor’s payroll records, the Contractor shall be liable to the Administration for liquidated damages. The liquidated damages shall constitute the sum of $10 for each day that the payroll records are late

SGP – 10.11 Reserved

SGP – 10.12 Reserved

SGP – 10.13 Cargo Preference – Use of United States-Flag Vessels

A. To the extent applicable, the Contractor shall comply with 46 U.S.C. § 55305 and U.S. Maritime Administration regulations, “Cargo Preference-U.S.-Flag Vessels,” 46 C.F.R. Part 381.

B. The Contractor agrees to utilize privately owned United States-flag commercial vessels to ship at least fifty percent (50%) of the gross tonnage (computed separately for dry bulk carriers, dry cargo liners, and tankers) involved, whenever shipping any equipment, material, or commodities pursuant to this contract, to the extent such vessels are available at fair and reasonable rates for United States-flag commercial vessel.

C. The Contractor agrees to furnish within twenty (20) days following the date of loading for shipments originating within the United Sates or within thirty (30) working days following the date of loading for shipments originating outside the United States, a legible copy of a rated, “on-board” commercial ocean bill-of-landing in English for each shipment of cargo described in Article SGP-10.14.A. to the FTA Administrator and the Administration (through the prime contractor in the case of subcontractor bills-of-landing) and to the Office of Cargo Preference and Domestic Trade, Maritime Administration, 1200 New Jersey Avenue, S.E., Washington, D.C. 20590, marked with appropriated identification of the project.

D. The Contractor agrees to insert the substance of the provisions of this clause in all subcontracts issued pursuant to this clause.

SGP – 10.14 Buy America Requirement (GP-7.01C, GP-7.28, SGP-7.08)

A. The Contractor shall comply with 49 U.S.C. § 5323(j) and FTA regulations, “Buy America Requirements,” 49 C.F.R. Part 661, and any amendments thereto.

B. The more stringent requirements of either the above cited law or the State of Maryland law and regulations, as listed in Article GP-7.28, shall prevail.

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SGP – 10.15 Compliance With Environmental Standards

The contractor agrees to comply with all the following statutes as well as applicable standards, orders, regulations, directives, or requirements issued by the Environmental Protection Agency (EPA) and other agencies: and National environmental Policy Act of 1969, as amended, 42 U.S.C. Section 4321 et seq; the Clean Air Act, as amended (42 U.S.C. Section 7401 et seq and scattered sections of 29 U.S.C.; the Clean Water Act, as amended, 33 U.S.C. Sections 1251 through 1377; the Resource Conservation and Recovery Act, as amended, 42 U.S.C. Sections 6901 through 6992k; the Comprehensive Environmental Response, Compensation, and Liability Act, as amended, 42 U.S.C. Sections 9601 through 9675, as well as environmental provisions within Title 23, United States Code, and 49 U.S.C. Chapter 53. Additionally, to the extent applicable, the contractor, and its subcontractors, agree to comply with the requirements of Section 14 of the Federal Transit Act, as amended, 49 U.S.C. Section 1610; the Council on Environmental Quality Regulations, 40 CFR. Part 1500 et seq; and the joint FHWA/FTA Regulations, “Environmental Impact and Related Procedures,” at 23 CFR. Part 771 and 49 CFR. Part 622. The contractor shall be responsible for reporting any violations of those laws, regulations, and orders to the FTA and the EPA Assistant Administrator for Enforcement (EN-329).

SGP – 10.16 Energy Conservation

The contract shall comply with mandatory standards and policies relation to energy efficiency which are contained in the applicable state energy conservation plan issued in compliance with the Energy Policy and Conservation Act, 42 U.S.C. Section 6321 et seq. To the extent applicable, the Contractor agrees to perform an energy assessment for any building constructed, reconstructed, or modified with FTA assistance, as provided in FTA regulations, “Requirements for Energy Assessments,” 49 C.F.R. Part 622, Subpart C.

SGP – 10.17 Certification Regarding Debarment

Before entering into a subcontract having a value of $25,000.00 or more, each potential subcontractor at any tier shall provide a signed Certification of Lower-Tier Participants Regarding Debarment which shall be submitted to the Procurement Officer (Federal Aid).

SGP – 10.18 Fly America Requirements

The Contractor shall comply with 49 U.S.C. § 40118 (the “Fly America” Act) in accordance with the General Services Administration’s regulations at 41 CFR §§ 301- 10.131 through 301-10.143, which provide that recipients and sub-recipients of Federal funds and their contractors are required to use U.S. Flag air carriers for U.S. Government- financed international air travel and transportation of individuals and their personal effects or property acquired for the project, to the extent such service is available, unless travel by foreign air carrier is a matter of necessity, as defined by the Fly America Act. The Contractor shall submit, if a foreign air carrier was used, an appropriate certification or memorandum adequately explaining why service by a U.S. flag air carrier was not available or why it was necessary to use a foreign air carrier and shall, in any event, provide a certificate of compliance with the Fly America requirements. The Contractor agrees to

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include the requirements of this section in all subcontracts that may involve international air transportation.

SGP – 10.19 Recycled Products/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 limited to the regulatory provisions of 40 CFR Part 247, and Executive Order 12873, as they apply to the procurement of the items designated in Subpart B of 40 CFR Part 247. To the extent applicable, the Contractor shall:

1. Certify that the percentage of recovered materials to be used in the performance of the Contract will be at least the amount required by applicable specifications or other contractual requirements, and

2. Estimate the percentage of total material utilized for the performance of the Contract which is recovered materials.

SGP – 10.20 Seismic Safety Requirements

The Contractor shall comply with the Earthquake Hazards Reduction Act of 1977, as amended, 42 U.S.C. §§ 7701 et seq., in accordance with Executive Order No. 12699, “Seismic Safety of Federal and Federally-Assisted or Regulated New Building Construction,” 42 U.S.C. § 7704 note, and comply with U.S. DOT regulations, “Seismic Safety,” 49 C.F.R. Part 41 (specifically, 49 C.F.R. § 41.117).

SGP – 10.21 Access To Records And Reports (GP – 7.36, Retention of Records)

The following access to records requirements apply to this Contract:

1. The Contractor shall provide, and shall cause its subcontractors at any tier to provide, to the U.S. Secretary of Transportation and the Comptroller General of the United States, or their duly authorized representatives, access to all third party contract records as required by 49 U.S.C. § 5325(g) and to all third party procurement records as needed for compliance with Federal laws and regulations or to assure proper Project management as determined by FTA.

2. The Contractor shall provide, and shall cause its subcontractors at any tier to provide the Administration and the FTA Administrator or their authorized representatives, including any PMO Contractor, access to the Contract’s records and construction sites.

3. The Contractor shall permit any of the foregoing parties to reproduce by any means whatsoever or to copy excerpts and transcriptions as reasonably needed.

4. The Contractor agrees to maintain all books, records, accounts and reports required under this contract for a period of not less than three (3) years after the date of termination or expiration of this contract, except in the event of litigation or MTR-17-005-MT SGP - 61

settlement of claims arising from the performance of this contract, in which case Contractor agrees to maintain same until the Purchaser, the FTA Administrator, the Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto. Reference 49 CFR 18.39(i) (11).

5. The Contractor shall include, and cause its subcontractors at any tier, to include the provisions of this SGP 10.21 in each subcontract under this Contract.

SGP – 10.22 No Obligation by the Federal Government

(1) Notwithstanding any concurrence by the Federal Government in or approval of the solicitation or award of the Contract, subcontract, or other arrangement at any tier, , absent its express written consent, the Federal Government has no obligations or liabilities to the Contractor or any other participant at any tier of the project.

(2) The Contractor shall include this clause in each subcontract and purchase order issued under the Contract. It is further agreed that the clause shall not be modified, except to identify the parties who will be subject to its provisions.

SGP – 10.27 Clean Water Requirements

(1) The Contractor agrees to comply with all applicable standards, orders or regulations issued pursuant to the Clean Water Act, as amended, 33 U.S.C. Sections 1251 through 1377 and the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. §§ 300f through 300j-6. The Contractor agrees to report each violation to the Administration and understands and agrees that the Administration will, in turn, report each violation as required to assure notification to FTA and the appropriate EPA Regional Office.

(2) The Contractor also agrees to include these requirements in each subcontract exceeding $100,000.

SGP – 10.28 Federal Changes

The Contractor shall at all times comply with all applicable FTA regulations, policies, procedures and directives, as these regulations, policies, procedures, and directives may be amended from time to time, including without limitation those listed directly or by reference in the Master Agreement applicable to this Contract between the Administration and FTA. The Contractor’s failure to so comply shall constitute a material breach of this contract.

SGP – 10.29 Clean Air

(1) The Contractor agrees to comply with the Clean Air Act, as amended, 42 U.S.C. §§ 7401 through 7671q and all applicable standards, orders or regulations issued pursuant MTR-17-005-MT SGP - 62

thereto, as they may be amended from time to time, including, without limitation, 40 CFR Parts 85, 86, 93 Part A, and 600. The Contractor agrees to report each violation to the Administration and understands and agrees that the Administration will, in turn, report each violation as required to assure notification to FTA and the appropriate EPA Regional Office.

(2) The Contractor also agrees to include these requirements in each subcontract exceeding $100,000.

SGP – 10.30 Incorporation of Federal Transit Administration (FTA) Terms

The preceding provisions include, in part, certain Standard Terms and Conditions required by DOT, whether or not expressly set forth in the preceding contract provisions. All contractual provisions required by DOT, as set forth in FTA Circular 4220.1F, as revised on April 14, 2009, are hereby incorporated by reference. Anything to the contrary herein notwithstanding, all FTA mandated terms shall be deemed to control in the event of a conflict with other provisions contained in this Agreement. The Contractor shall not perform any act, fail to perform any act, or refuse to comply with any Administration requests which would cause the Administration to be in violation of the FTA terms and conditions.

SGP – 10.31 Changes in Requirements

Federal requirements cited above may change and the changed requirements shall be applicable to this contract as required. It is understood by the contractor that all limits or standards set forth above to be observed in the performance of the contract services are minimum requirements.

SGP – 10.32 FTA Project Sign

A. General: The Contractor shall provide, erect, maintain, and remove upon final acceptance of the work, one FTA project sign at each major entrance to the Project. The exact number of the FTA project signs shall be as indicated in the Special Provisions. The location of signs shall be as directed by the Procurement Officer.

B. Materials: The signs shall be ¾ inch thick, 5-ply exterior A-B grade plywood. Posts shall by 4 by 6 inch construction-grade lumber, pressure-preservative treated, 10 feet long.

C. Construction: The overall size of the sign shall be 4 feet by 8 feet in the shape of a parallelogram, primed with one coat of primer sealer and painted red, white and blue with two (2) coats of semi-gloss enamel. The exact size, dimensions, colors, and wording shall be in accordance with Figure 1.

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D. Installation: The signs shall be bolted to the posts, using at least two ½ inch bolts per post. Washers shall be used between the bolts and the sign faces and the posts and the nuts. The posts shall be set into the ground to a depth of 3 feet, 6 inches, with the bottom of the sign 2 feet 6 inches above the ground.

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