STATE OF NORTH CAROLINA(G.S. 143-54), that none of its officers, directors, or owners of an...

STATE OF NORTH CAROLINA

Department of Transportation – Rail Division

Request for Proposal #: 54-CA-11945470

RAILROAD EQUIPMENT MAINTENANCE AND TRAIN SERVICING

Date of Issue: February 5th, 2020

Proposal Opening Date: March 3rd, 2020

At 2:00 PM ET

Direct all inquiries concerning this RFP to:

Christian Andresen

Procurement Specialist III

Email: [email protected]

Phone: (919)707-2627

Proposal Number: 54-CA-11945470 Vendor: __________________________________________

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STATE OF NORTH CAROLINA

Request for Proposal #

54-CA-11945470______________________________________________________

For internal State agency processing, including tabulation of proposals in the Interactive Purchasing System (IPS), please provide your company’s Federal Employer Identification Number or alternate identification number (e.g. Social Security Number). Pursuant to G.S. 132-1.10(b) this identification number shall not be released to the public. This page will be removed and shredded, or otherwise kept confidential, before the procurement file is made available for public inspection.

This page is to be filled out and returned with your proposal. Failure to do so may subject your proposal to rejection.

ID Number:

______________________________________________________ Federal ID Number or Social Security Number

___________________________________________________Vendor Name

Sealed, mailed responses ONLY will be accepted for this solicitation.


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EXECUTION In compliance with this Request for Proposals (RFP), and subject to all the conditions herein, the undersigned Vendor offers and agrees to furnish and deliver any or all items upon which prices are bid, at the prices set opposite each item within the time specified herein. By executing this proposal, the undersigned Vendor certifies that this proposal is submitted competitively and without collusion (G.S. 143-54), that none of its officers, directors, or owners of an unincorporated business entity has been convicted of any violations of Chapter 78A of the General Statutes, the Securities Act of 1933, or the Securities Exchange Act of 1934 (G.S. 143-59.2), and that it is not an ineligible Vendor as set forth in G.S. 143-59.1. False certification is a Class I felony. Furthermore, by executing this proposal, the undersigned certifies to the best of Vendor’s knowledge and belief, that it and its principals are not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from covered transactions by any Federal or State department or agency. As required by G.S. 143-48.5, the undersigned Vendor certifies that it, and each of its sub-Contractors for any Contract awarded as a result of this RFP, complies with the requirements of Article 2 of Chapter 64 of the NC General Statutes, including the requirement for each employer with more than 25 employees in North Carolina to verify the work authorization of its employees through the federal E-Verify system. G.S. 133-32 and Executive Order 24 (2009) prohibit the offer to, or acceptance by, any State Employee associated with the preparing plans, specifications, estimates for public Contract; or awarding or administering public Contracts; or inspecting or supervising delivery of the public Contract of any gift from anyone with a Contract with the State, or from any person seeking to do business with the State. By execution of this response to the RFP, the undersigned certifies, for your entire organization and its employees or agents, that you are not aware that any such gift has been offered, accepted, or promised by any employees of your organization. Failure to execute/sign proposal prior to submittal shall render proposal invalid and it WILL BE REJECTED. Late proposals cannot be accepted.

COMPLETE/FORMAL NAME OF VENDOR:

STREET ADDRESS: P.O. BOX: ZIP:

CITY & STATE & ZIP: TELEPHONE NUMBER: TOLL FREE TEL. NO:

PRINCIPAL PLACE OF BUSINESS ADDRESS IF DIFFERENT FROM ABOVE (SEE INSTRUCTIONS TO VENDORS ITEM #12):

PRINT NAME & TITLE OF PERSON SIGNING ON BEHALF OF VENDOR: FAX NUMBER:

VENDOR’S AUTHORIZED SIGNATURE*: DATE: EMAIL:

*If submitting an electronic response Vendor has two options:1) Vendor may apply a wet signature, scan, and then upload this attestation page as anattachment for submission through NC BIDS; or 2) Vendor may apply a digital/electronic signature in the designated box, scan, and then upload as anattachment along with its proposal

Offer valid for at least 90 days from date of proposal opening, unless otherwise stated here: ______ days.

ACCEPTANCE OF PROPOSAL If any or all parts of this proposal are accepted by the State of North Carolina, an authorized representative of the Department of Transportation shall affix his/her signature hereto and this document and all provisions of this Request for Proposal along with the Vendor proposal response and the written results of any negotiations shall then constitute the written agreement between the parties. A copy of this acceptance will be forwarded to the successful Vendor(s).

FOR STATE USE ONLY: Offer accept and Contract awarded this________ day of __________, 20____, as indicated on the attached certification, by ____________________________________________________________________

(Authorized Representative of North Carolina Department of Transportation)

Refer ALL Inquiries regarding this RFP to: Christian Andresen Email: [email protected] Phone: (919)707-2627

Request for Proposal #54-CA-11945470 Proposals will be publicly opened: Tuesday March 3rd, 2020 at 2:00 PM ET

Contract Type: Open Market Using Agency: Transportation – Rail Division Commodity No. and Description: Railroad Equipment Maintenance and Train Servicing

Requisition No.:11945470

STATE OF NORTH CAROLINA Department of Transportation – Rail Division


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Contents

1 PURPOSE AND BACKGROUND ............................................................................................. 6

2 GENERAL INFORMATION ....................................................................................................... 6

REQUEST FOR PROPOSAL DOCUMENT ............................................................................. 6

RESERVED E-PROCUREMENT SOLICITATION ................................................................... 6

NOTICE TO VENDORS REGARDING RFP TERMS AND CONDITIONS ............................... 6

RFP SCHEDULE ..................................................................................................................... 7

PROPOSAL QUESTIONS ....................................................................................................... 7

PROPOSAL SUBMITTAL ....................................................................................................... 8

PROPOSAL CONTENTS ........................................................................................................ 9

DEFINITIONS, ACRONYMS, AND ABBREVIATIONS ............................................................ 9

3 METHOD OF AWARD AND PROPOSAL EVALUATION PROCESS ..................................... 10

3.1 METHOD OF AWARD ........................................................................................................... 10

3.2 CONFIDENTIALITY AND PROHIBITED COMMUNICATIONS DURING EVALUATION....... 10

3.3 PROPOSAL EVALUATION PROCESS ................................................................................. 10

3.4 EVALUATION CRITERIA ...................................................................................................... 11

3.5 PERFORMANCE OUTSIDE THE UNITED STATES ............................................................. 12

3.6 INTERPRETATION OF TERMS AND PHRASES .................................................................. 13

4 REQUIREMENTS ................................................................................................................... 13

CONTRACT TERM ................................................................................................................ 13

PRICING ................................................................................................................................ 13

INVOICES .............................................................................................................................. 13

FINANCIAL STABILITY ........................................................................................................ 13

VENDOR EXPERIENCE ........................................................................................................ 14

REFERENCES ...................................................................................................................... 14

BACKGROUND CHECKS ..................................................................................................... 14

PERSONNEL ......................................................................................................................... 14

VENDOR’S REPRESENTATIONS ........................................................................................ 14

5 SCOPE OF WORK ................................................................................................................. 15

GENERAL ............................................................................................................................. 15

TASKS/DELIVERABLES ...................................................................................................... 15

PROJECT ORGANIZATION .................................................................................................. 15

TECHNICAL APPROACH ..................................................................................................... 15

ACCEPTANCE OF WORK .................................................................................................... 15


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TRANSITION ASSISTANCE ................................................................................................. 16

6 CONTRACT ADMINISTRATION............................................................................................. 16

PROJECT MANAGER AND CUSTOMER SERVICE ............................................................ 16

POST AWARD MANAGEMENT REVIEW MEETINGS ......................................................... 16

DISPUTE RESOLUTION ....................................................................................................... 16

CONTRACT CHANGES ........................................................................................................ 16

7 ATTACHMENT A: PRICING ................................................................................................... 17

8 ATTACHMENT B: INSTRUCTIONS TO VENDORS ............................................................... 19

9 ATTACHMENT C: NORTH CAROLINA GENERAL CONTRACT TERMS & CONDITIONS ... 22

10 ATTACHMENT D: LOCATION OF WORKERS UTILIZED BY VENDOR ............................... 28

11 ATTACHMENT E: CERTIFICATION OF FINANCIAL CONDITION ........................................ 29

12 ATTACHMENT F: SUPPLEMENTAL VENDOR INFORMATION ........................................... 30

13 ATTACHMENT G: TRAIN MAINTENANCE AND SERVICING SCOPE OF WORK ............... 31


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1 PURPOSE AND BACKGROUND The North Carolina Department of Transportation requests proposals to provide train servicing and maintenance services for the Piedmont passenger train numbers 73, 74, 75, 76, 77, and 78. The work will be under a single contract to be performed at the service facilities in Raleigh and Charlotte, North Carolina. The railroad equipment maintenance and train servicing requirements are described in Attachment G – Train Maintenance & Servicing Scope of Work.

Proposals shall be submitted in accordance with the terms and conditions of this RFP and any addenda issued hereto.

2 GENERAL INFORMATION REQUEST FOR PROPOSAL DOCUMENT

The RFP is comprised of the base RFP document, any attachments, and any addenda released before Contract award. All attachments and addenda released for this RFP in advance of any Contract award are incorporated herein by reference.

RESERVED E-PROCUREMENT SOLICITATION ATTENTION: This is NOT an E-Procurement solicitation. Paragraph #16 of Attachment C: North Carolina General Contract Terms and Conditions, paragraphs (b) and (c), do not apply to this solicitation.

The Terms and Conditions made part of this solicitation contain language necessary for North Carolina’s Statewide E-Procurement Services. It is the Vendor’s responsibility to read these terms and conditions carefully and to consider them in preparing its proposal. By execution of this RFP, Vendor agrees to and acknowledges acceptance of all terms and conditions, including those related to E-Procurement usage. General information on the E-Procurement Services can be found at: http://eprocurement.nc.gov/.

NOTICE TO VENDORS REGARDING RFP TERMS AND CONDITIONS It shall be the Vendor’s responsibility to read the Instructions, the State’s terms and conditions, all relevant exhibits and attachments, and any other components made a part of this RFP and comply with all requirements and specifications herein. Vendors also are responsible for obtaining and complying with all Addenda and other changes that may be issued in connection with this RFP.

If Vendors have questions, issues, or exceptions regarding any term, condition, or other component within this RFP, those must be submitted as questions in accordance with the instructions in Section 2.5 PROPOSAL QUESTIONS. If the State determines that any changes will be made as a result of the questions asked, then such decisions will be communicated in the form of an RFP addendum. The State may also elect to leave open the possibility for later negotiation and amendment of specific provisions of the Contract that have been addressed during the question and answer period. Other than through this process, the State rejects and will not be required to evaluate or consider any additional or modified terms and conditions submitted with Vendor’s proposal. This applies to any language appearing in or attached to the document as part of the Vendor’s proposal that purports to vary any terms and conditions or Vendors’ instructions herein or to render the proposal non-binding or subject to further negotiation. Vendor’s proposal shall constitute a firm offer. By execution and delivery of this RFP Response, the Vendor agrees that any additional or modified terms and conditions, whether submitted purposely or inadvertently, shall have no force or effect, and will be disregarded. Noncompliance with, or any attempt to alter or delete, this paragraph shall constitute sufficient grounds to reject Vendor’s proposal as nonresponsive.

By executing and submitting its proposal in response to this RFP, Vendor understands and agrees that the State may exercise its discretion not to consider any and all proposed modifications Vendor(s) may request and may accept Vendor’s proposal under the terms and conditions of this RFP.

Contact with anyone working for or with the State regarding this RFP other than the State Contract Specialist named on the face page of this RFP in the manner specified by this RFP shall constitute grounds for rejection of said Vendor’s offer, at the State’s election.

http://eprocurement.nc.gov/


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RFP SCHEDULE The table below shows the intended schedule for this RFP. The State will make every effort to adhere to this schedule.

Event Responsibility Date and Time Issue RFP State February 5th, 2020 Submit Written Questions Vendor February 14th, 2020 by 5:00 PM ETHold Pre-Proposal Meeting/Site Visit State February 18th, 2020 Submit Follow-up Questions Vendor February 21st. 2020 by 5:00 PM ETProvide Response to Questions State February 25th, 2020 Submit Proposals Vendor March 3rd, 2020 by 2:00 PM ETContract Award State April 10th, 2020 Latest Contract Effective Date State June 1st, 2020

MANDATORY PRE-PROPOSAL CONFERENCE

Mandatory Pre-Proposal Conference

Date: Time: Contact #:

2/18/2020 9:00 AM ET Christian Andresen [919-707-2627]

Instructions: It shall be MANDATORY that each Vendor representative be present for a pre-proposal site visit on February 18th, 2020. Attendees must meet promptly at 9:00 AM Eastern Time at NCDOT Rail Division Capital Yard – Raleigh (862 Capital Blvd, Raleigh, NC 27604) – Engineering & Safety Branch Conference Room 134. All attendees must sign in upon arrival and clearly indicate the prospective Vendor represented on the sign in sheet. LATE ARRIVALS WILL NOT BE ALLOWED TO SIGN IN, PARTICIPATE IN THE SITE VISIT, NOR SHALL THEIR PROPOSAL BE CONSIDERED. Once the sign-in process is complete, all other persons wishing to attend may do so to the extent that space and circumstances allow. The mandatory pre-proposal meeting/site visit will be the only opportunity for Vendors to visit the site. No further visits shall be allowed.

An optional visit to the Charlotte site will be made available to all potential Vendors on the afternoon of February 18th at 3:30 PM ET. This visit must be scheduled by contacting Christian Andresen before the pre-proposal conference.

The purpose of these visits are for all prospective Vendors to apprise themselves with the conditions and requirements which will affect the performance of the work called for by this Request for Proposals. Vendors must stay for the duration of the site visit. No allowances will be made for unreported conditions that a prudent Vendor would recognize as affecting the work called for or implied by this proposal.

Vendors are cautioned that any information released to attendees during the site visit, other than that involving the physical aspects of the facility referenced above, and which conflicts with, supersedes, or adds to requirements in this Request for Proposal, must be confirmed by written addendum before it can be considered to be a part of this proposal.

PROPOSAL QUESTIONS Upon review of the RFP documents, Vendors may have questions to clarify or interpret the RFP in order to submit the best proposal possible. To accommodate the Proposal Questions process, Vendors shall submit any such questions by the above due date.

Written questions shall be emailed to [email protected] by the date and time specified above. Vendors should enter “RFP #54-CA-11945470: Questions” as the subject for the email. Questions submittals should include a reference to the applicable RFP section and be submitted in a format shown below:

Reference Vendor Question

RFP Section, Page Number Vendor question …?


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Questions received prior to the submission deadline date, the State’s response, and any additional terms deemed necessary by the State will be posted in the form of an addendum to the Interactive Purchasing System (IPS), http://www.ips.state.nc.us, and shall become an Addendum to this RFP. No information, instruction or advice provided orally or informally by any State personnel, whether made in response to a question or otherwise in connection with this RFP, shall be considered authoritative or binding. Vendors shall rely only on written material contained in an Addendum to this RFP.

PROPOSAL SUBMITTAL

IMPORTANT NOTE: This is an absolute requirement. Vendor shall bear the risk for late submission due to unintended or unanticipated delay—whether submitted electronically, delivered by hand, U.S. Postal Service, courier or other delivery service. It is the Vendor’s sole responsibility to ensure its proposal has been submitted to this Office by the specified time and date of opening. The time and date of submission will be marked on each proposal when received. Any proposal submitted after the proposal deadline will be rejected.

Mailing address for delivery of proposal via US Postal Service

Office Address of delivery by any other method (special delivery, overnight, or any other carrier).

PROPOSAL NUMBER: 54-CA-11945470 Attn: Christian Andresen Address: Department of Transportation

Purchasing Section 1510 Mail Service Center Raleigh, N.C. 27699-1510

PROPOSAL NUMBER: 54-CA-11945470 Attn: Christian Andresen Address: Department of Transportation

Purchasing Section 1 South Wilmington Street, Room 334B Raleigh, N.C. 27601

For proposals submitted via U.S. mail, please note that the U.S. Postal Service generally does not deliver mail to a specified street address but to the State’s Mail Service Center. Vendors are cautioned that proposals sent via U.S. Mail, including Express Mail, may not be delivered by the Mail Service Center to the agency’s purchasing office on the due date in time to meet the proposal deadline. All Vendors are urged to take the possibility of delay into account when submitting a proposal by U.S. Postal Service, courier, or other delivery service. Attempts to submit a proposal via facsimile (FAX) machine, telephone or email in response to this RFP shall NOT be accepted.

a) Submit two (2) signed, original executed proposal responses, two (2) un-redacted copies on two (2) USB flash drives and one (1) redacted (Proprietary and Confidential Information excluded) copy on USB flash drive of your proposal simultaneously to the address identified in the table above.

b) Submit your proposal in a sealed package. Clearly mark each package with: (1) Vendor name; (2) the RFP number; and (3) the due date. Address the package(s) for delivery as shown in the table above. If Vendor is submitting more than one (1) proposal, each proposal shall be submitted in separate sealed envelopes and marked accordingly. For delivery purposes, separate sealed envelopes from a single Vendor may be included in the same outer package. Proposals are subject to rejection unless submitted with the information above included on the outside of the sealed proposal package.

c) Copies of proposal files must be provided on separate flash drives. File contents shall NOT be password protected but shall be in .PDF or .XLS format, and shall be capable of being copied to other sources.

Volume One must contain the entire Technical and Cost Proposal including any proprietary information and have the following label: 1) Vendor name; (2) the RFP number; (3) the due date; and (4) the words “ Volume One - Technical and Cost Proposal Non-Redacted.” Failure to submit a proposal in strict accordance with these instructions shall constitute sufficient cause to reject a vendor’s proposal(s).

Critical updated information may be included in Addenda to this RFP. It is important that all Vendors proposing on this RFP periodically check the State’s IPS website for any Addenda that may be issued prior to the bid opening date. All Vendors shall be deemed to have read and understood all information in this RFP and all Addenda thereto.

http://www.ips.state.nc.us/


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Contact outside of the mandatory and optional pre-proposal site visits with anyone working for or with the State regarding this RFP other than the State Contract Lead named on the face page of this RFP in the manner specified by this RFP shall constitute grounds for rejection of said Vendor’s offer, at the State’s election.

PROPOSAL CONTENTS Vendors shall populate all attachments of this RFP that require the Vendor to provide information and include an authorized signature where requested. Vendor RFP responses shall include the following items and those attachments should be arranged in the following order:

a) Cover Letterb) Title Page: Include the company name, address, phone number and authorized representative along with the

Proposal Number.c) Completed and signed version of EXECUTION PAGES, along with the body of the RFP and signed receipt pages

of any addenda released in conjunction with this RFP (if required to be returned).d) Completed version of ATTACHMENT A: PRICINGe) ATTACHMENT B: INSTRUCTIONS TO VENDORSf) ATTACHMENT C: NORTH CAROLINA GENERAL CONTRACT TERMS AND CONDITIONSg) Completed and signed version of ATTACHMENT D: LOCATION OF WORKERS UTILIZED BY VENDORh) Completed and signed version of ATTACHMENT E: CERTIFICATION OF FINANCIAL CONDITIONi) Completed and signed version of ATTACHMENT F: SUPPLEMENTAL VENDOR INFORMATIONj) Vendor Workscope Proposalk) Vendor Insurance and Benefits Proposal

DEFINITIONS, ACRONYMS, AND ABBREVIATIONS a) BAFO: Best and Final Offer, submitted by a Vendor to alter its initial offer, made in response to a request by the

issuing agency.b) BUYER: The employee of the State or Other Eligible Entity that places an order with the Vendor.c) CONTRACT LEAD: Representative of the NCDOT Rail Division who corresponds with potential Vendors in order to

identify and contract with that Vendor providing the greatest benefit to the State and who will administer this contractfor the State.

d) E-PROCUREMENT SERVICE(S): The program, system, and associated Services through which the State conductselectronic procurement.

e) FOB-DESTINATION: Title changes hand from Vendor to purchaser at the destination point of the shipment; Vendorowns commodity in transit and files any claims, and Vendor pays all freight and any related transportation charges. Asolicitation may request Vendors to separately identify freight charges in their proposal, but no amount or charge notincluded as part of the total proposal price will be paid.

f) LOT: A grouping of similar products within this RFP.g) NC BIDS: The North Carolina Business Invitation Delivery System provides vendors the opportunity to submit bid

responses electronically.h) ON-TIME DELIVERY: The delivery of all items within a single order to the receiving point designated by the ordering

entity within the delivery time required.i) QUALIFIED PROPOSAL: A responsive proposal submitted by a responsible Vendor.j) RFP: Request for Proposalk) SERVICES or SERVICE DELIVERABLES: The tasks and duties undertaken by the Vendor to fulfill the

requirements and specifications of this solicitation.l) STATE: The State of North Carolina, including any of its sub-units recognized under North Carolina law.m) STATE AGENCY: Any of the more than 400 sub-units within the executive branch of the State, including its

departments, boards, commissions, institutions of higher education and other institutions.


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n) VENDOR: Supplier, bidder, proposer, company, firm, corporation, partnership, individual or other entity submitting a response to a Request for Proposal.

3 METHOD OF AWARD AND PROPOSAL EVALUATION PROCESS 3.1 METHOD OF AWARD Contracts will be awarded in accordance with G.S. 143-52 and the evaluation criteria set out in this solicitation. Prospective Vendors shall not be discriminated against on the basis of any prohibited grounds as defined by Federal and State law.

All qualified proposals will be evaluated, and awards will be made to the Vendor(s) meeting the RFP requirements and achieving the highest and best final evaluation, based on the criteria described below.

While the intent of this RFP is to award a Contract(s) to single Vendor, the State reserves the right to make separate awards to different Vendors for one or more line items, to not award one or more line items or to cancel this RFP in its entirety without awarding a Contract, if it is considered to be most advantageous to the State to do so.

The status of a Vendor’s E-Procurement Services account(s) shall be considered a relevant factor in determining whether to approve the award of a contract under this RFP. Any Vendor with an E-Procurement Services account that is in arrears by 91 days or more at the time of proposal opening may, at the State’s discretion, be disqualified from further evaluation or consideration.

The State reserves the right to waive any minor informality or technicality in proposals received.

3.2 CONFIDENTIALITY AND PROHIBITED COMMUNICATIONS DURING EVALUATION

During the evaluation period—from the date proposals are opened through the date the contract is awarded—each Vendor submitting a proposal (including its representatives, sub-contractors and/or suppliers) is prohibited from having any communications with any person inside or outside the using agency, issuing agency, other government agency office, or body (including the purchaser named above, department secretary, agency head, members of the general assembly and/or governor’s office), or private entity, if the communication refers to the content of Vendor’s proposal or qualifications, the contents of another Vendor’s proposal, another Vendor’s qualifications or ability to perform the contract, and/or the transmittal of any other communication of information that could be reasonably considered to have the effect of directly or indirectly influencing the evaluation of proposals and/or the award of the contract. A Vendor not in compliance with this provision shall be disqualified from contract award, unless it is determined in the State’s discretion that the communication was harmless, that it was made without intent to influence and that the best interest of the State would not be served by the disqualification. A Vendor’s proposal may be disqualified if its sub-contractor and supplier engage in any of the foregoing communications during the time that the procurement is active (i.e., the issuance date of the procurement to the date of contract award). Only those discussions, communications or transmittals of information authorized or initiated by the issuing agency for this RFP or general inquiries directed to the purchaser regarding requirements of the RFP (prior to proposal submission) or the status of the contract award (after submission) are excepted from this provision.

3.3 PROPOSAL EVALUATION PROCESS The State shall review all Vendor responses to this RFP to confirm that they meet the specifications and requirements of the RFP.

The State will conduct a One-Step evaluation of Proposals:

Proposals will be received from each responsive Vendor according to the method of submission specified in Section 2.6 of this RFP.

All proposals must be received by the issuing agency not later than the date and time specified on the cover sheet of this RFP.


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At that date and time, the proposal from each responding firm will be opened publicly and the name of the Vendor and total cost offered will be announced. Interested parties are cautioned that these costs and their components are subject to further evaluation for completeness and correctness and therefore may not be an exact indicator of a Vendor’s pricing position.

At their option, the evaluators may request oral presentations or discussions with any or all Vendors for clarification or to amplify the materials presented in any part of the proposal. Vendors are cautioned, however, that the evaluators are not required to request presentations or other clarification—and often do not. Therefore, all proposals should be complete and reflect the most favorable terms available from the Vendor.

Proposals will generally be evaluated according to completeness, content, and experience with similar projects, ability of the Vendor and its staff, and cost. Specific evaluation criteria are listed in 3.4 EVALUATION CRITERIA, below.

Vendors are cautioned that this is a request for offers, not an offer or request to contract, and the State reserves the unqualified right to reject any and all offers at any time if such rejection is deemed to be in the best interest of the State.

The total cost offered by each firm will be tabulated and become a matter of public record. Interested parties are cautioned that these costs and their components are subject to further evaluation for completeness and correctness and therefore may not be an exact indicator of a Vendor’s pricing position.

The State reserves the right to reject all original offers and request one or more of the Vendors submitting proposals to submit best and final offers (BAFOs), prepared in collaboration with the State after the initial responses to the RFP have been evaluated.

The State reserves the right to reject all original offers and request one or more of the Vendors submitting proposals within a competitive range to submit a best and final offer (BAFO), based on discussions and negotiations with the State, if the initial responses to the RFP have been evaluated and determined to be unsatisfactory.

Upon final recommendation from the evaluation process, and approval by the Board of Transportation, the State will make Award(s) based on the evaluation and post the award(s) to IPS under the RFP number for this solicitation. Award of a Contract to one Vendor does not mean that the other proposals lacked merit, but that, all factors considered, the selected proposal was deemed most advantageous and represented the best value to the State.

3.4 EVALUATION CRITERIA The North Carolina Department of Transportation will review the proposals to determine the offerors ability to perform the services in accordance with the Scope of Work. Although price is a factor in evaluating the proposals, submitting the low price does not necessarily mean that such offeror will be awarded a contract. Each firm will be evaluated and shall receive a final score out of 100 points based on a variety of factors. The following award criteria will be used to identify the proposal that will best meet the Department’s requirements:


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Evaluation Criteria Points

Experience and Qualifications (score is based on quantitative historical data and reference checks)

• Workforce Qualifications (4) • Past Performance

- Management (7) - Labor (7)

• Safety and Regulatory Compliance (12)

30

Project Implementation Plan (score is based on Contractor provided information)

• Management (5) • Maintenance (5) • Material Control (5) • Cleaning (5) • Training (5) • Regulatory Inspections (5)

30

Cost Proposal (score is based on a cost proposal comparison to quantitative NCDOT historical data)

• Mechanical Services (15) • Facilities Services (15) • Compensation (5) • Benefits (5)

40

Total Points: 100

Award of a contract will be made to the most responsive, responsible offeror whose overall proposal is, in the Department of Transportation’s sole judgment, most favorable based on the factors identified above. Accordingly, all offerors should include in their proposals their most favorable terms. The Department of Transportation reserves the right a) to award a contract to a qualified offeror without discussion of such proposals; b) to reject any and/or all proposals. 3.5 PERFORMANCE OUTSIDE THE UNITED STATES Vendor shall complete ATTACHMENT D: LOCATION OF WORKERS UTILIZED BY VENDOR. In addition to any other evaluation criteria identified in this RFP, the State may also consider, for purposes of evaluating proposed or actual contract performance outside of the United States, how that performance may affect the following factors to ensure that any award will be in the best interest of the State:

a) Total cost to the State b) Level of quality provided by the Vendor c) Process and performance capability across multiple jurisdictions d) Protection of the State’s information and intellectual property e) Availability of pertinent skills f) Ability to understand the State’s business requirements and internal operational culture g) Particular risk factors such as the security of the State’s information technology h) Relations with citizens and employees i) Contract enforcement jurisdictional issues


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3.6 INTERPRETATION OF TERMS AND PHRASES This Request for Proposal serves two functions: (1) to advise potential Vendors of the parameters of the solution being sought by the Department; and (2) to provide (together with other specified documents) the terms of the Contract resulting from this procurement. As such, all terms in the Request for Proposal shall be enforceable as contract terms in accordance with the General Contract Terms and Conditions. The use of phrases such as “shall,” “must,” and “requirements” are intended to create enforceable contract conditions. In determining whether proposals should be evaluated or rejected, the Department will take into consideration the degree to which Vendors have proposed or failed to propose solutions that will satisfy the Department’s needs as described in the Request for Proposal. Except as specifically stated in the Request for Proposal, no one requirement shall automatically disqualify a Vendor from consideration. However, failure to comply with any single requirement may result in the Department exercising its discretion to reject a proposal in its entirety.

4 REQUIREMENTS This Section lists the requirements related to this RFP. By submitting a proposal, the Vendor agrees to meet all stated requirements in this Section as well as any other specifications, requirements and terms and conditions stated in this RFP. If a Vendor is unclear about a requirement or specification or believes a change to a requirement would allow for the State to receive a better proposal, the Vendor is urged and cautioned to submit these items in the form of a question during the question and answer period in accordance with Section 2.5.

CONTRACT TERM The Vendor shall begin work under the Contract within 50 calendar days of the Notice to Proceed. The State anticipates announcing the selection of the successful offeror by April 9th, 2020, subject to final approval by the NC Board of Transportation on April 1st and 2nd, 2020. With Board of Transportation approval, a Notice to Proceed (NTP) would be issued on April 10th, 2020 for commencement of services on June 1st, 2020. The Contract shall have an initial term of three (3) years with two (2) – one (1) year extension options.

PRICING Proposal price shall constitute the total cost to Buyer for complete performance in accordance with the requirements and specifications herein, including all applicable charges handling, administrative and other similar fees. Vendor shall not invoice for any amounts not specifically allowed for in this RFP. Complete ATTACHMENT A: PRICING FORM and include in Proposal.

INVOICES a) The Vendor must submit one monthly invoice for the base contract within fifteen (15) calendar days following the

end of each month in which work was performed.

b) Invoices must be submitted to the Contract Lead in hard copy on the Contractor’s official letterhead stationery andmust be identified by a unique invoice number. All invoice backup reports and spreadsheets must be provided inelectronic format.

c) Invoices must bear the correct contract number and purchase order number to ensure prompt payment. TheVendor’s failure to include the correct purchase order number may cause delay in payment.

d) Invoices must include an accurate description of the work for which the invoice is being submitted, the invoice date,the period of time covered, the amount of fees due to the Vendor and the original signature of the Vendor’s projectmanager.

e) The Vendor must submit a second invoice for approved extra work within fifteen (15) calendar days following theend of each month in which work was performed.

FINANCIAL STABILITY Each Vendor shall certify it is financially stable by completing the ATTACHMENT E: CERTIFICATION OF FINANCIAL CONDITION. The State is requiring this certification to minimize potential issues from Contracting with a Vendor that is


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financially unstable. From the date of the Certification to the expiration of the Contract, the Vendor shall notify the State within thirty (30) days of any occurrence or condition that materially alters the truth of any statement made in this Certification.

VENDOR EXPERIENCE In its Proposal, Vendor shall demonstrate experience with public and/or private sector clients with similar or greater size and complexity to the State of North Carolina. Vendor shall provide information as to the qualifications and experience of all executive, managerial, legal, and professional personnel to be assigned to this project, including resumes citing experience with similar projects and the responsibilities to be assigned to each person.

REFERENCES Vendors shall provide at least three (3) references for which your company has provided Services of similar size and scope to that proposed herein. The State shall contact these users to determine the Services provided are substantially similar in scope to those proposed herein and Vendor’s performance has been satisfactory. The information obtained may be considered in the evaluation of the proposal.

COMPANY NAME CONTACT NAME TELEPHONE NUMBER

BACKGROUND CHECKS

Any personnel or agent of the Vendor performing Services under any contract arising from this RFP may be required to undergo a background check at the expense of the Vendor, if so requested by the State.

PERSONNEL Vendor shall not substitute key personnel assigned to the performance of this Contract without prior written approval by the Contract Lead. Vendor shall notify the Contract Lead of any desired substitution, including the name(s) and references of Vendor’s recommended substitute personnel. The State will approve or disapprove the requested substitution in a timely manner. The State may, in its sole discretion, terminate the services under this contract of any person providing services under this Contract. Upon such termination, the State may request acceptable substitute personnel or terminate the contract services provided by such personnel.

VENDOR’S REPRESENTATIONS

a) Vendor warrants that qualified personnel shall provide Services under this Contract in a professional manner. “Professional manner” means that the personnel performing the Services will possess the skill and competence consistent with the prevailing business standards in the industry. Vendor agrees that it will not enter any agreement with a third party that may abridge any rights of the State under this Contract. Vendor will serve as the prime contractor under this Contract and shall be responsible for the performance and payment of all subcontractor(s) that may be approved by the State. Names of any third party Vendors or subcontractors of Vendor may appear for purposes of convenience in Contract documents; and shall not limit Vendor’s obligations hereunder. Vendor will retain executive representation for functional and technical expertise as needed in order to incorporate any work by third party subcontractor(s).

b) If any Services, deliverables, functions, or responsibilities not specifically described in this Contract are required for Vendor’s proper performance, provision and delivery of the service and deliverables under this Contract, or are an


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inherent part of or necessary sub-task included within such service, they will be deemed to be implied by and included within the scope of the contract to the same extent and in the same manner as if specifically described in the contract. Unless otherwise expressly provided herein, Vendor will furnish all of its own necessary management, supervision, labor, facilities, furniture, computer and telecommunications equipment, software, supplies and materials necessary for the Vendor to provide and deliver the Services and Deliverables. See attachment G for further information on State provided equipment, facilities, and materials.

c) Vendor warrants that it has the financial capacity to perform and to continue perform its obligations under the contract; that Vendor has no constructive or actual knowledge of an actual or potential legal proceeding being brought against Vendor that could materially adversely affect performance of this Contract; and that entering into this Contract is not prohibited by any contract, or order by any court of competent jurisdiction.

5 SCOPE OF WORK GENERAL

The scope of work to be accomplished for mechanical and train services is outlined in detail in Attachment G – Train Maintenance and Servicing Scope of Work, provided within this documentation package.

This workscope consists of daily maintenance and mechanical services for railroad passenger equipment operating as part of the Piedmont passenger train fleet as well as maintenance facility where the railroad equipment is serviced.

TASKS/DELIVERABLES Tasks required under this contract are provided in Attachment G – Train Maintenance and Servicing Scope of Work. Primary tasks outlined in the attachment document include:

• Train servicing • Locomotive and railcar daily required maintenance • Locomotive and railcar preventative maintenance • Locomotive and railcar repairs • Facilities upkeep • Facilities and maintenance support vehicle upkeep

PROJECT ORGANIZATION Vendor shall describe the organizational and operational structure it proposes to utilize for the work described in this RFP, and identify the responsibilities to be assigned to each person Vendor proposes to staff the work. Additional detail is provided in Attachment G.

TECHNICAL APPROACH Vendor’s proposal shall include, in narrative, outline, and/or graph form the Vendor's approach to accomplishing the tasks outlined in the Scope of Work section of this RFP and Attachment G. A description of each task and deliverable and the schedule for accomplishing each shall be included.

ACCEPTANCE OF WORK

In the event acceptance criteria for any work or deliverables is not described in contract documents or work orders hereunder, except as stated in Attachment G, the State shall have the obligation to notify Vendor, in writing ten (10) calendar days following completion of such work or deliverable described in the Contract that it is not acceptable. The notice shall specify in reasonable detail the reason(s) it is unacceptable. Acceptance by the State shall not be unreasonably withheld; but may be conditioned or delayed as required for reasonable review, evaluation, installation or testing, as applicable of the work or deliverable. Final acceptance is expressly conditioned upon completion of all applicable assessment procedures. Should the work or deliverables fail to meet any requirements, acceptance criteria or otherwise fail to conform to the contract, the State may exercise any and all rights hereunder, including, for deliverables, such rights provided by the Uniform Commercial Code as adopted in North Carolina.


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TRANSITION ASSISTANCE If this Contract is not renewed at the end of this term, or is canceled prior to its expiration, for any reason, Vendor shall provide, at the option of the State, up to1 month after such end date all such reasonable transition assistance requested by the State, to allow for the expired or canceled portion of the Services to continue without interruption or adverse effect, and to facilitate the orderly transfer of such Services to the State or its designees. If the State exercises this option, the Parties agree that such transition assistance shall be deemed to be governed by the terms and conditions of this Contract (notwithstanding this expiration or cancellation), except for those Contract terms or conditions that do not reasonably apply to such transition assistance. The State shall pay Vendor for any resources utilized in performing such transition assistance at the most current rates provided by the Contract for performance of the Services or other resources utilized.

6 CONTRACT ADMINISTRATION PROJECT MANAGER AND CUSTOMER SERVICE

The Vendor shall designate and make available to the State a project manager. The project manager shall be the State’s point of contact for contract related issues and issues concerning performance, progress review, scheduling and service.

POST AWARD MANAGEMENT REVIEW MEETINGS The Vendor, at the request of the State, shall meet weekly with the State for Project Review meetings. The purpose of these meetings will be to review project progress reports, discuss Vendor and State performance, address outstanding issues, review problem resolution, provide direction, evaluate continuous improvement and cost saving ideas, and discuss any other pertinent topics.

DISPUTE RESOLUTION The parties agree that it is in their mutual interest to resolve disputes informally. A claim by the Vendor shall be submitted in writing to the State’s Contract Lead for resolution. A claim by the State shall be submitted in writing to the Vendor’s Project Manager for resolution. The Parties shall negotiate in good faith and use all reasonable efforts to resolve such dispute(s). During the time the Parties are attempting to resolve any dispute, each shall proceed diligently to perform their respective duties and responsibilities under this Contract. If a dispute cannot be resolved between the Parties within thirty (30) days after delivery of notice, either Party may elect to exercise any other remedies available under this Contract, or at law. This term shall not constitute an agreement by either party to mediate or arbitrate any dispute.

CONTRACT CHANGES Contract changes, if any, over the life of the contract shall be implemented by contract amendments agreed to in writing by the State and Vendor.


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7 ATTACHMENT A: PRICING Vendors (also referred to as the “Contractor” in this section) shall take into consideration the hourly rates for the services noted in this attachment as factors for determining pricing in their final proposals.

Item 1 – Fixed Hourly Rate For Services (Labor Charges) Listed below are the minimum “Per Person Hourly Rates” for each job classification and each position contracted for and actually rendered. These prices are representative of positions that are required to be fully qualified and trained to NCDOT standards. These rates do not include time off, holidays, sick days, personal days, etc.). The “all inclusive” rate to be charged for each employment classification for the first term of the contract are as follows:

Employment Classification Minimum

Compensation Rate

(Straight Time)

Minimum Overtime Rate1

(Time + 1/2)

Hourly Compensation Rate

(Extra Work)

General Manager (GM/QMS1)

Shift Foreperson $35.00 $52.50 $__________

Relief Foreperson (DSLE/Relief2/QMS) $35.00 $52.50 $__________

PTC Technician/Electrician (PTC/E) $35.00 $52.50 $__________

Materials Control Manager (MCM) $30.00 $45.00 $__________

Materials Control Stockroom Clerk (MC) $20.00 $30.00 $__________

Administrative Assistant (AA) $20.00 $30.00 $__________

Qualified Maintenance Person (QMP) $30.00 $45.00 $__________

Qualified Person (QP) $20.00 $30.00 $__________

Cleaner/Entry Level (C/EL) $15.00 $22.50 $__________

1 GM and QMS are defined at Attachment G, Section 7.2.1

2 DSLE/Relief is defined at Attachment G, Section 2.2

Note 1 – The Overtime Rate shall only apply if any given individual actually performs services which are required by law to be compensated at a premium rate (typically 1.5 times the base hourly rate), and if such services were approved in advance by NCDOT to be performed on an overtime basis.

The Contractor may elect to pay supervisory personnel on a “salary” or “hourly” basis, however compensation under the contract from NCDOT to the Contractor for each position shall be based on the above quoted hourly rates, without regard to the method of payment the Contractor elects for any given individual.

Given the staffing requirements as outlined within, the Contractor shall quote a “Maximum Monthly Fee” for all base contract services (inclusive), against which deductions at the above rates shall be taken for labor contract for but not actually furnished:

Maximum Monthly Fee: $_____________

Maximum Annual Fee: $_____________

Insurance Costs: $_____________

Note 2 – An annual escalation fee for rates quoted under Item 1 will be permitted for each year of the contract after Year 1, not to exceed three percent (3%).

Item 2 – Percentage Deduction for Trainees (Labor Charges) The fixed percentage to be deducted from the rates quoted under Item 1 (above), for personnel who are not fully qualified and trained to NCDOT standards (other than Entry Level classification) shall not be less than 25%.

Note that this percentage deduction shall be applied to the then prevailing rate (as provided for in Item 2).


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Item 3 – Percentage Markup for Reimbursable Goods and Services Procured (Materials, Supplies, Other Services) The fixed percentage (“all inclusive”, i.e.: both overhead and profit) markup for goods and services procured as part of this contract which are reimbursable to the contractor from NCDOT, shall not exceed 8%.


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8 ATTACHMENT B: INSTRUCTIONS TO VENDORS

1. READ, REVIEW AND COMPLY: It shall be the Vendor’s responsibility to read this entire document, review all enclosures and attachments, and any addenda thereto, and comply with all requirements specified herein, regardless of whether appearing in these Instructions to Vendors or elsewhere in this RFP document.

2. LATE PROPOSALS: Late proposals, regardless of cause, will not be opened or considered, and will automatically be disqualified from further consideration. It shall be the Vendor’s sole responsibility to ensure the timely submission of proposals.

3. ACCEPTANCE AND REJECTION: The State reserves the right to reject any and all proposals, to waive any informality in proposals and, unless otherwise specified by the Vendor, to accept any item in the proposal.

4. BASIS FOR REJECTION: Pursuant to 01 NCAC 05B .0501, the State reserves the right to reject any and all offers, in whole or in part, by deeming the offer unsatisfactory as to quality or quantity, delivery, price or service offered, non-compliance with the requirements or intent of this solicitation, lack of competitiveness, error(s) in specifications or indications that revision would be advantageous to the State, cancellation or other changes in the intended project or any other determination that the proposed requirement is no longer needed, limitation or lack of available funds, circumstances that prevent determination of the best offer, or any other determination that rejection would be in the best interest of the State.

5. EXECUTION: Failure to execute page 1 of the RFP (Execution Page) in the designated space shall render the proposal non-responsive, and it will be rejected.

6. ORDER OF PRECEDENCE: In cases of conflict between specific provisions in this solicitation or those in any resulting contract documents, the order of precedence shall be (high to low) (1) any special terms and conditions specific to this RFP, including any negotiated terms; (2) requirements and specifications and administration provisions in Sections 4, 5 and 6 of this RFP; (3) North Carolina General Contract Terms and Conditions in ATTACHMENT C: NORTH CAROLINA GENERAL CONTRACT TERMS AND CONDITIONS; (4) Instructions in ATTACHMENT B: INSTRUCTIONS TO VENDORS; (5) ATTACHMENT A: PRICING, and (6) Vendor’s proposal.

7. INFORMATION AND DESCRIPTIVE LITERATURE: Vendor shall furnish all information requested in the spaces provided in this document. Further, if required elsewhere in this proposal, each Vendor shall submit with its proposal any sketches, descriptive literature and/or complete specifications covering the products and Services offered. Reference to literature submitted with a previous proposal or available elsewhere will not satisfy this provision. Failure to comply with these requirements shall constitute sufficient cause to reject a proposal without further consideration.

8. RECYCLING AND SOURCE REDUCTION: It is the policy of the State to encourage and promote the purchase of products with recycled content to the extent economically practicable, and to purchase items which are reusable, refillable, repairable, more durable and less toxic to the extent that the purchase or use is practicable and cost-effective. We also encourage and promote using minimal packaging and the use of recycled/recyclable products in the packaging of commodities purchased. However, no sacrifice in quality of packaging will be acceptable. The Vendor remains responsible for providing packaging that will adequately protect the commodity and contain it for its intended use. Vendors are strongly urged to bring to the attention of purchasers those products or packaging they offer which have recycled content and that are recyclable.

9. CERTIFICATE TO TRANSACT BUSINESS IN NORTH CAROLINA: As a condition of contract award, each out-of-State Vendor that is a corporation, limited-liability company or limited-liability partnership shall have received, and shall maintain throughout the term of The Contract, a Certificate of Authority to Transact Business in North Carolina from the North Carolina Secretary of State, as required by North Carolina law. A State contract requiring only an isolated transaction completed within a period of six months, and not in the course of a number of repeated transactions of like nature, shall not be considered as transacting business in North Carolina and shall not require a Certificate of Authority to Transact Business.

10. SUSTAINABILITY: To support the sustainability efforts of the State of North Carolina we solicit your cooperation in this effort. Pursuant to Executive Order 156 (1999), it is desirable that all print responses submitted meet the


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following:

• All copies of the proposal are printed double sided. • All submittals and copies are printed on recycled paper with a minimum post-consumer content of 30%. • Unless absolutely necessary, all proposals and copies should minimize or eliminate use of non-recyclable or

non-reusable materials such as plastic report covers, plastic dividers, vinyl sleeves, and GBC binding. Three-ringed binders, glued materials, paper clips, and staples are acceptable.

• Materials should be submitted in a format which allows for easy removal, filing and/or recycling of paper and binder materials. Use of oversized paper is strongly discouraged unless necessary for clarity or legibility.

11. HISTORICALLY UNDERUTILIZED BUSINESSES: The State is committed to retaining Vendors from diverse backgrounds, and it invites and encourages participation in the procurement process by businesses owned by minorities, women, disabled, disabled business enterprises and non-profit work centers for the blind and severely disabled. In particular, the State encourages participation by Vendors certified by the State Office of Historically Underutilized Businesses, as well as the use of HUB-certified vendors as subcontractors on State contracts.

12. RECIPROCAL PREFERENCE: G.S. 143-59 establishes a reciprocal preference requirement to discourage other states from favoring their own resident Vendors by applying a percentage increase to the price of any proposal from a North Carolina resident Vendor. To the extent another state does so, North Carolina applies the same percentage increase to the proposal of a vendor resident in that state. Residency is determined by a Vendor’s “Principal Place of Business,” defined as that principal place from which the overall trade or business of the Vendor is directed or managed.

13. INELIGIBLE VENDORS: As provided in G.S. 147-86.60 and G.S. 147-86.82, the following companies are ineligible to contract with the State of North Carolina or any political subdivision of the State: a) any company identified as engaging in investment activities in Iran, as determined by appearing on the Final Divestment List created by the State Treasurer pursuant to G.S. 147-86.58, and b) any company identified as engaged in a boycott of Israel as determined by appearing on the List of restricted companies created by the State Treasurer pursuant to G.S. 147-86.81. A contract with the State or any of its political subdivisions by any company identified in a) or b) above shall be void ab initio.

14. CONFIDENTIAL INFORMATION: To the extent permitted by applicable statutes and rules, the State will maintain as confidential trade secrets in its proposal that the Vendor does not wish disclosed. As a condition to confidential treatment, each page containing trade secret information shall be identified in boldface at the top and bottom as “CONFIDENTIAL” by the Vendor, with specific trade secret information enclosed in boxes, marked in a distinctive color or by similar indication. Cost information shall not be deemed confidential under any circumstances. Regardless of what a Vendor may label as a trade secret, the determination whether it is or is not entitled to protection will be determined in accordance with G.S. 132-1.2. Any material labeled as confidential constitutes a representation by the Vendor that it has made a reasonable effort in good faith to determine that such material is, in fact, a trade secret under G.S. 132-1.2. Vendors are urged and cautioned to limit the marking of information as a trade secret or as confidential so far as is possible. If a legal action is brought to require the disclosure of any material so marked as confidential, the State will notify Vendor of such action and allow Vendor to defend the confidential status of its information.

15. PROTEST PROCEDURES: When a Vendor wishes to protest the award of The Contract awarded by the Division of Purchase and Contract, or awarded by an agency in an awarded amount of at least $25,000, a Vendor shall submit a written request addressed to the State Purchasing Officer at: Division of Purchase and Contract, 1305 Mail Service Center, Raleigh, NC 27699-1305. A protest request related to an award amount of less than $25,000 shall be sent to the purchasing officer of the agency that issued the award. The protest request must be received in the proper office within thirty (30) consecutive calendar days from the date of the Contract award. Protest letters shall contain specific grounds and reasons for the protest, how the protesting party was harmed by the award made and any documentation providing support for the protesting party’s claims. Note: Contract award notices are sent only to the Vendor actually awarded the Contract, and not to every person or firm responding to a solicitation. Proposal status and Award notices are posted on the Internet at https://www.ips.state.nc.us/ips/. All protests will be handled pursuant to the North Carolina Administrative Code, 01 NCAC 05B .1519.

16. MISCELLANEOUS: Any gender-specific pronouns used herein, whether masculine or feminine, shall be read and

https://www.ips.state.nc.us/ips/


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construed as gender neutral, and the singular of any word or phrase shall be read to include the plural and vice versa.

17. COMMUNICATIONS BY VENDORS: In submitting its proposal, the Vendor agrees not to discuss or otherwise reveal the contents of its proposal to any source, government or private, outside of the using or issuing agency until after the award of the Contract or cancellation of this RFP. All Vendors are forbidden from having any communications with the using or issuing agency, or any other representative of the State concerning the solicitation, during the evaluation of the proposals (i.e., after the public opening of the proposals and before the award of the Contract), unless the State directly contacts the Vendor(s) for purposes of seeking clarification or another reason permitted by the solicitation. A Vendor shall not: (a) transmit to the issuing and/or using agency any information commenting on the ability or qualifications of any other Vendor to provide the advertised good, equipment, commodity; (b) identify defects, errors and/or omissions in any other Vendor’s proposal and/or prices at any time during the procurement process; and/or (c) engage in or attempt any other communication or conduct that could influence the evaluation or award of a Contract related to this RFP. Failure to comply with this requirement shall constitute sufficient justification to disqualify a Vendor from a Contract award. Only those communications with the using agency or issuing agency authorized by this RFP are permitted.

18. TABULATIONS: Bid tabulations can be electronically retrieved at the Interactive Purchasing System (IPS), https://www.ips.state.nc.us/ips/BidNumberSearch.aspx. Click on the IPS BIDS icon, click on Search for Bid, enter the bid number, and then search. Tabulations will normally be available at this web site not later than one working day after the bid opening. Lengthy or complex tabulations may be summarized, with other details not made available on IPS, and requests for additional details or information concerning such tabulations cannot be honored.

19. VENDOR REGISTRATION AND SOLICITATION NOTIFICATION SYSTEM: The North Carolina electronic Vendor Portal (eVP) allows Vendors to electronically register for free with the State to receive electronic notification of current procurement opportunities for goods and Services of potential interests to them available on the Interactive Purchasing System, as well as notifications of status changes to those solicitations. Online registration and other purchasing information is available at the following website: https://ncadmin.nc.gov/about-doa/divisions/purchase-contract.

20. WITHDRAWAL OF PROPOSAL: Proposals submitted electronically may be withdrawn at any time prior to the date for opening proposals identified on the cover page of this RFP (or such later date included in an Addendum to the RFP). Proposals that have been delivered by hand, U.S. Postal Service, courier or other delivery service may be withdrawn only in writing and if receipt is acknowledged by the office issuing the RFP prior to the time for opening proposals identified on the cover page of this RFP (or such later date included in an Addendum to the RFP). Written withdrawal requests shall be submitted on the Vendor’s letterhead and signed by an official of the Vendor authorized to make such request. Any withdrawal request made after the opening of proposals shall be allowed only for good cause shown and in the sole discretion of the Division of Purchase and Contract.

21. INFORMAL COMMENTS: The State shall not be bound by informal explanations, instructions or information given at any time by anyone on behalf of the State during the competitive process or after award. The State is bound only by information provided in writing in this RFP and in formal Addenda issued through IPS.

22. COST FOR PROPOSAL PREPARATION: Any costs incurred by Vendor in preparing or submitting offers are the Vendor’s sole responsibility; the State of North Carolina will not reimburse any Vendor for any costs incurred or associated with the preparation of proposals.

23. VENDOR’S REPRESENTATIVE: Each Vendor shall submit with its proposal the name, address, and telephone number of the person(s) with authority to bind the firm and answer questions or provide clarification concerning the firm's proposal.

24. INSPECTION AT VENDOR’S SITE: The State reserves the right to inspect, at a reasonable time, the equipment, item, plant or other facilities of a prospective Vendor prior to Contract award, and during the Contract term as necessary for the State’s determination that such equipment, item, plant or other facilities conform with the specifications/requirements and are adequate and suitable for the proper and effective performance of the Contract.

https://www.ips.state.nc.us/ips/BidNumberSearch.aspx

https://ncadmin.nc.gov/about-doa/divisions/purchase-contract

https://ncadmin.nc.gov/about-doa/divisions/purchase-contract


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9 ATTACHMENT C: NORTH CAROLINA GENERAL CONTRACT TERMS & CONDITIONS

1. PERFORMANCE AND DEFAULT:

a) It is anticipated that the tasks and duties undertaken by the Vendor shall include services or the manufacturing, furnishing, or development of goods and other tangible features or components as deliverables that are directly correlated and/or ancillary to the services performed. Except as provided immediately below, and unless otherwise mutually agreed in writing prior to award, any service deliverables or ancillary services provided by Vendor in performance of the contract shall remain property of the State. During performance, Vendor may provide proprietary components as part of the service deliverables that are identified in the solicitation response. Vendor grants the State a personal, permanent, non-transferable license to use such proprietary components of the service deliverables and other functionalities, as provided under this Agreement. Any technical and business information owned by Vendor or its suppliers or licensors made accessible or furnished to the State shall be and remain the property of the Vendor or such other party, respectively. Vendor agrees to perform its services under the contract in the same or similar manner provided to comparable users. The State shall notify the Vendor of any defects or deficiencies in performance of its services or failure of service deliverables to conform to the standards and specifications provided in this solicitation. Vendor agrees to remedy defective performance or any nonconforming deliverables upon timely notice provided by the State.

b) Vendor has a limited, non-exclusive license to access and use State Data provided to Vendor, but solely for performing its obligations under this Agreement and in confidence as may be further provided herein. Vendor or its suppliers shall at a minimum, and except as otherwise specified and agreed herein, provide assistance to the State related to all services performed or deliverables procured hereunder during the State’s normal business hours. Vendor warrants that its support, customer service, and assistance will be performed in accordance with generally accepted and applicable industry standards.

c) If, through any cause, Vendor shall fail to fulfill in a timely and proper manner the obligations under The Contract, the State shall have the right to terminate The Contract by giving written notice to the Vendor and specifying the effective date thereof. In that event, any or all finished or unfinished deliverables under The Contract prepared by the Vendor shall, at the option of the State, become its property, and the Vendor shall be entitled to receive just and equitable compensation for any acceptable work completed as to which the option is exercised. Notwithstanding, Vendor shall not be relieved of liability to the State for damages sustained by the State by virtue of any breach of The Contract, and the State may withhold any payment due the Vendor for the purpose of setoff until such time as the exact amount of damages due the State from such breach can be determined. The State may require at any time a performance bond or other acceptable alternative performance guarantees from a Vendor without expense to the State.

d) In the event of default by the Vendor, the State may procure the goods and services necessary to complete performance hereunder from other sources and hold the Vendor responsible for any excess cost occasioned thereby. In addition, in the event of default by the Vendor under The Contract, or upon the Vendor filing a petition for bankruptcy or the entering of a judgment of bankruptcy by or against the Vendor, the State may immediately cease doing business with the Vendor, immediately terminate The Contract for cause, and may take action to debar the Vendor from doing future business with the State.

2. GOVERNMENTAL RESTRICTIONS: In the event any Governmental restrictions are imposed which necessitate alteration of the goods, material, quality, workmanship or performance of the Services offered prior to acceptance, it shall be the responsibility of the Vendor to notify the Contract Lead at once, in writing, indicating the specific regulation which required such alterations. The State reserves the right to accept any such alterations, including any price adjustments occasioned thereby, or to cancel the Contract.

3. AVAILABILITY OF FUNDS: Any and all payments to the Vendor shall be dependent upon and subject to the availability of funds to the agency for the purpose set forth in The Contract.

4. TAXES: Any applicable taxes shall be invoiced as a separate item.

a) G.S. 143-59.1 bars the Secretary of Administration from entering into Contracts with Vendors if the Vendor


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or its affiliates meet one of the conditions of G.S. 105-164.8(b) and refuses to collect use tax on sales of tangible personal property to purchasers in North Carolina. Conditions under G.S. 105-164.8(b) include: (1) Maintenance of a retail establishment or office, (2) Presence of representatives in the State that solicit sales or transact business on behalf of the Vendor and (3) Systematic exploitation of the market by media-assisted, media-facilitated, or media-solicited means. By execution of the proposal document the Vendor certifies that it and all of its affiliates, (if it has affiliates), collect(s) the appropriate taxes.

b) The agency(ies) participating in The Contract are exempt from Federal Taxes, such as excise and transportation. Exemption forms submitted by the Vendor will be executed and returned by the using agency.

c) Prices offered are not to include any personal property taxes, nor any sales or use tax (or fees) unless required by the North Carolina Department of Revenue.

5. SITUS AND GOVERNING LAWS: This Contract is made under and shall be governed and construed in accordance with the laws of the State of North Carolina, without regard to its conflict of laws rules, and within which State all matters, whether sounding in Contract or tort or otherwise, relating to its validity, construction, interpretation and enforcement shall be determined.

6. PAYMENT TERMS: Payment terms are Net not later than 30 days after receipt of a correct invoice or acceptance of goods, whichever is later. The using agency is responsible for all payments to the Vendor under the Contract. Payment by some agencies may be made by procurement card, if the Vendor accepts that card (Visa, MasterCard, etc.) from other customers, and it shall be accepted by the Vendor for payment under the same terms and conditions as any other method of payment accepted by the Vendor. If payment is made by procurement card, then payment may be processed immediately by the Vendor.

7. NON-DISCRIMINATION:

a. The Vendor will take necessary action to comply with all Federal and State requirements concerning fair employment and employment of people with disabilities, and concerning the treatment of all employees without regard to discrimination on the basis of any prohibited grounds as defined by Federal and State law.

b. The vendor will take necessary action to ensure its internal employee policies and procedures are consistent with Executive Order #82 (Roy Cooper, December 6, 2018), which extends workplace protections and accommodations to pregnant employees.

8. CONDITION AND PACKAGING: Unless otherwise provided by special terms and conditions or specifications, it is understood and agreed that any item offered or shipped has not been sold or used for any purpose and shall be in first class condition. All containers/packaging shall be suitable for handling, storage or shipment.

9. INTELLECTUAL PROPERTY WARRANTY AND INDEMNITY: Vendor shall hold and save the State, its officers, agents and employees, harmless from liability of any kind, including costs and expenses, resulting from infringement of the rights of any third party in any copyrighted material, patented or patent-pending invention, article, device or appliance delivered in connection with The Contract.

a. Vendor warrants to the best of its knowledge that: i. Performance under The Contract does not infringe upon any intellectual property rights of any

third party; and ii. There are no actual or threatened actions arising from, or alleged under, any intellectual property

rights of any third party; b. Should any deliverables supplied by Vendor become the subject of a claim of infringement of a patent,

copyright, trademark or a trade secret in the United States, the Vendor, shall at its option and expense, either procure for the State the right to continue using the deliverables, or replace or modify the same to become non-infringing. If neither of these options can reasonably be taken in Vendor’s judgment, or if further use shall be prevented by injunction, the Vendor agrees to cease provision of any affected deliverables and refund any sums the State has paid Vendor and make every reasonable effort to assist the State in procuring substitute deliverables. If, in the sole opinion of the State, the cessation of use by the State of any such deliverables due to infringement issues makes the retention of other items acquired from the Vendor under this Agreement impractical, the State shall then have the option of terminating the


Ver: 4/22/19 Page 24 of 31

Agreement, or applicable portions thereof, without penalty or termination charge; and Vendor agrees to refund any sums the State paid for unused Services or Deliverables.

c. The Vendor, at its own expense, shall defend any action brought against the State to the extent that such action is based upon a claim that the deliverables supplied by the Vendor, their use or operation, infringes on a patent, copyright, trademark or violates a trade secret in the United States. The Vendor shall pay those costs and damages finally awarded or agreed in a settlement against the State in any such action. Such defense and payment shall be conditioned on the following:

i. That the Vendor shall be notified within a reasonable time in writing by the State of any such claim; and

ii. That the Vendor shall have the sole control of the defense of any action on such claim and all negotiations for its settlement or compromise provided, however, that the State shall have the option to participate in such action at its own expense.

d. Vendor will not be required to defend or indemnify the State if any claim by a third party against the State for infringement or misappropriation results from the State’s material alteration of any Vendor-branded deliverables or services, or from the continued use of the deliverable(s) or Services after receiving notice of infringement on a trade secret of a third party.

10. TERMINATION FOR CONVENIENCE: If this contract contemplates deliveries or performance over a period of time, the State may terminate this contract at any time by providing 60 days’ notice in writing from the State to the Vendor. In that event, any or all finished or unfinished deliverables prepared by the Vendor under this contract shall, at the option of the State, become its property. If the contract is terminated by the State as provided in this section, the State shall pay for those items for which such option is exercised, less any payment or compensation previously made.

11. ADVERTISING: Vendor agrees not to use the existence of The Contract or the name of the State of North Carolina as part of any commercial advertising or marketing of products or Services. A Vendor may inquire whether the State is willing to act as a reference by providing factual information directly to other prospective customers.

12. ACCESS TO PERSONS AND RECORDS: During and after the term hereof, the State Auditor and any using agency’s internal auditors shall have access to persons and records related to The Contract to verify accounts and data affecting fees or performance under the Contract, as provided in G.S. 143-49(9).

13. ASSIGNMENT: No assignment of the Vendor’s obligations nor the Vendor’s right to receive payment hereunder shall be permitted.

However, upon written request approved by the issuing purchasing authority and solely as a convenience to the Vendor, the State may:

a) Forward the Vendor’s payment check directly to any person or entity designated by the Vendor, and b) Include any person or entity designated by Vendor as a joint payee on the Vendor’s payment check.

In no event shall such approval and action obligate the State to anyone other than the Vendor and the Vendor shall remain responsible for fulfillment of all Contract obligations. Upon advance written request, the State may, in its unfettered discretion, approve an assignment to the surviving entity of a merger, acquisition or corporate reorganization, if made as part of the transfer of all or substantially all of the Vendor’s assets. Any purported assignment made in violation of this provision shall be void and a material breach of The Contract.

14. INSURANCE:

COVERAGE - During the term of the Contract, the Vendor at its sole cost and expense shall provide commercial insurance of such type and with such terms and limits as may be reasonably associated with the Contract. As a minimum, the Vendor shall provide and maintain the following coverage and limits:

a) Worker’s Compensation - The Vendor shall provide and maintain Worker’s Compensation Insurance, as required by the laws of North Carolina, as well as employer’s liability coverage with minimum limits of $1,000,000.00, covering all of Vendor’s employees who are engaged in any work under the Contract in North Carolina. If any work is sub-contracted, the Vendor shall require the sub-Contractor to provide the same coverage for any of his employees engaged in any work under the Contract within the State.

b) Commercial General Liability - General Liability Coverage on a Comprehensive Broad Form on an occurrence basis in the minimum amount of $1,000,000.00 Combined Single Limit. Defense cost shall be in excess


Ver: 4/22/19 Page 25 of 31

of the limit of liability.

c) Automobile - Automobile Liability Insurance, to include liability coverage, covering all owned, hired and non-owned vehicles, used within North Carolina in connection with the Contract. The minimum combined single limit shall be $1,000,000.00 bodily injury and property damage; $1,000,000.00 uninsured/under insured motorist; and $5,000.00 medical payment.

REQUIREMENTS - Providing and maintaining adequate insurance coverage is a material obligation of the Vendor and is of the essence of The Contract. All such insurance shall meet all laws of the State of North Carolina. Such insurance coverage shall be obtained from companies that are authorized to provide such coverage and that are authorized by the Commissioner of Insurance to do business in North Carolina. The Vendor shall at all times comply with the terms of such insurance policies, and all requirements of the insurer under any such insurance policies, except as they may conflict with existing North Carolina laws or The Contract. The limits of coverage under each insurance policy maintained by the Vendor shall not be interpreted as limiting the Vendor’s liability and obligations under the Contract.

15. GENERAL INDEMNITY: The Vendor shall hold and save the State, its officers, agents, and employees, harmless from liability of any kind, including all claims and losses accruing or resulting to any other person, firm, or corporation furnishing or supplying work, Services, materials, or supplies in connection with the performance of The Contract, and from any and all claims and losses accruing or resulting to any person, firm, or corporation that may be injured or damaged by the Vendor in the performance of The Contract and that are attributable to the negligence or intentionally tortious acts of the Vendor provided that the Vendor is notified in writing within 30 days from the date that the State has knowledge of such claims. The Vendor represents and warrants that it shall make no claim of any kind or nature against the State’s agents who are involved in the delivery or processing of Vendor deliverables or Services to the State. The representation and warranty in the preceding sentence shall survive the termination or expiration of The Contract.

16. ELECTRONIC PROCUREMENT:

a) Purchasing shall be conducted through the Statewide E-Procurement Service. The State’s third-party agent shall serve as the Supplier Manager for this E-Procurement Service. The Vendor shall register for the Statewide E-Procurement Service within two (2) business days of notification of award in order to receive an electronic purchase order resulting from award of this contract.

b) THE SUCCESSFUL BIDDER(S) SHALL PAY A TRANSACTION FEE OF 1.75% (.0175) ON THE TOTAL DOLLAR AMOUNT (EXCLUDING SALES TAXES) OF ALL GOODS INCLUDED ON EACH PURCHASE ORDER ISSUED THROUGH THE STATEWIDE E-PROCUREMENT SERVICE. This applies to all purchase orders, regardless of the quantity or dollar amount of the purchase order. The transaction fee shall not be stated or included as a separate item on the invoice. There are no additional fees or charges to the Vendor for the services rendered by the Supplier Manager under this contract. Vendor will receive a credit for transaction fees they paid for the purchase of any item(s) if an item(s) is returned through no fault of the Vendor. Transaction fees are non-refundable when an item is rejected and returned, or declined, due to the Vendor’s failure to perform or comply with specifications or requirements of the contract.

c) Vendor or its Authorized Reseller, as applicable, will be invoiced monthly for the State’s transaction fee by the Supplier Manager. The transaction fee shall be based on a) purchase activity for the prior month, or b) purchases for which the supplier invoice has been paid. Unless Supplier Manager receives written notice from the Vendor identifying with specificity any errors in an invoice for the transaction fee within thirty (30) days of the receipt of invoice, such invoice shall be deemed to be correct and Vendor shall have waived its right to later dispute the accuracy and completeness of the invoice. Payment of the transaction fee by the Vendor is due to the account designated by the State within thirty (30) days after receipt of the invoice for the transaction fee. If payment of the transaction fee is not received by the State within this payment period, it shall be considered a material breach of contract. Pursuant to G.S. 147-86.23, the Service will charge interest and late payment penalties on past due balances. Interest shall be charged at the rate set by the Secretary of Revenue pursuant to G.S. 105-241.21 as of the date the balances are past due. The late-payment penalty will be ten percent (10%) of the account receivable. Within thirty (30) days of the receipt of invoice, Vendor may dispute in writing the accuracy of an invoice. No interest shall be charged on disputed and overdue amounts to the extent the State agrees to reduce or adjust the amount in dispute. The Supplier Manager shall provide, whenever reasonably requested by the Vendor in writing (including electronic documents), supporting documentation from the E-Procurement


Ver: 4/22/19 Page 26 of 31

Service that accounts for the amount of the invoice.

d) The Supplier Manager will capture the order from the State approved user, including the shipping and payment information, and submit the order in accordance with the E-Procurement Service. Subsequently, the Supplier Manager will send those orders to the appropriate Vendor on State Contract. The State or State-approved user, not the Supplier Manager, shall be responsible for the solicitation, bids received, evaluation of bids received, award of contract, and the payment for goods delivered.

e) Vendor shall at all times maintain the confidentiality of its user name and password for the Statewide E-Procurement Services. If Vendor is a corporation, partnership or other legal entity, then the Vendor may authorize its employees to use its password. Vendor shall be responsible for all activity and all charges by such employees. Vendor agrees not to permit a third party to use the Statewide E-Procurement Services through its account. If there is a breach of security through the Vendor’s account, Vendor shall immediately change its password and notify the Supplier Manager of the security breach by email. Vendor shall cooperate with the State and the Supplier Manager to mitigate and correct any security breach.

17. SUBCONTRACTING: Performance under The Contract by the Vendor shall not be subcontracted without prior written approval of the State’s assigned Contract Lead. Unless otherwise agreed in writing, acceptance of a Vendor’s proposal shall include approval to use the subcontractor(s) that have been specified therein.

18. CONFIDENTIALITY: Any State information, data, instruments, documents, studies or reports given to or prepared or assembled by or provided to the Vendor under The Contract shall be kept as confidential, used only for the purpose(s) required to perform The Contract and not divulged or made available to any individual or organization without the prior written approval of the State.

19. CARE OF STATE DATA AND PROPERTY: The Vendor agrees that it shall be responsible for the proper custody and care of any data owned and furnished to the Vendor by the State (State Data), or other State property in the hands of the Vendor, for use in connection with the performance of The Contract or purchased by or for the State for The Contract. Vendor will reimburse the State for loss or damage of such property while in Vendor’s custody.

The State’s Data in the hands of the Vendor shall be protected from unauthorized disclosure, loss, damage, destruction by a natural event or other eventuality. Such State Data shall be returned to the State in a form acceptable to the State upon the termination or expiration of this Agreement. The Vendor shall notify the State of any security breaches within 24 hours as required by G.S. 143B-1379. See G.S. 75-60 et seq.

20. OUTSOURCING: Any Vendor or subcontractor providing call or contact center services to the State of North Carolina or any of its agencies shall disclose to inbound callers the location from which the call or contact center services are being provided.

If, after award of a contract, the contractor wishes to relocate or outsource any portion of performance to a location outside the United States, or to contract with a subcontractor for any such performance, which subcontractor and nature of the work has not previously been disclosed to the State in writing, prior written approval must be obtained from the State agency responsible for the contract.

Vendor shall give notice to the using agency of any relocation of the Vendor, employees of the Vendor, subcontractors of the Vendor, or other persons providing performance under a State contract to a location outside of the United States.

21. COMPLIANCE WITH LAWS: Vendor shall comply with all laws, ordinances, codes, rules, regulations, and licensing requirements that are applicable to the conduct of its business and its performance in accordance with The Contract, including those of federal, state, and local agencies having jurisdiction and/or authority.

22. ENTIRE AGREEMENT: This RFP and any documents incorporated specifically by reference represent the entire agreement between the parties and supersede all prior oral or written statements or agreements. This RFP, any addenda hereto, and the Vendor’s proposal are incorporated herein by reference as though set forth verbatim.

All promises, requirements, terms, conditions, provisions, representations, guarantees, and warranties contained herein shall survive the contract expiration or termination date unless specifically provided otherwise herein, or unless superseded by applicable Federal or State statutes of limitation.


Ver: 4/22/19 Page 27 of 31

23. ELECTRONIC RECORDS: The State will digitize all Vendor responses to this solicitation, if not received electronically, as well as any awarded contract together with associated procurement-related documents. These electronic copies shall constitute a preservation record and shall serve as the official record of this procurement with the same force and effect as the original written documents comprising such record. Any electronic copy, printout or other output readable by sight shown to reflect such record accurately shall constitute an "original."

24. AMENDMENTS: This Contract may be amended only by a written amendment duly executed by the State and the Vendor.

25. NO WAIVER: Notwithstanding any other language or provision in The Contract, nothing herein is intended nor shall be interpreted as a waiver of any right or remedy otherwise available to the State under applicable law. The waiver by the State of any right or remedy on any one occasion or instance shall not constitute or be interpreted as a waiver of that or any other right or remedy on any other occasion or instance.

26. FORCE MAJEURE: Neither party shall be deemed to be in default of its obligations hereunder if and so long as it is prevented from performing such obligations as a result of events beyond its reasonable control, including without limitation, fire, power failures, any act of war, hostile foreign action, nuclear explosion, riot, strikes or failures or refusals to perform under subcontracts, civil insurrection, earthquake, hurricane, tornado, or other catastrophic natural event or act of God.

27. SOVEREIGN IMMUNITY: Notwithstanding any other term or provision in The Contract, nothing herein is intended nor shall be interpreted as waiving any claim or defense based on the principle of sovereign immunity or other State or federal constitutional provision or principle that otherwise would be available to the State under applicable law.


Ver: 4/22/19 Page 28 of 31

10 ATTACHMENT D: LOCATION OF WORKERS UTILIZED BY VENDOR

In accordance with NC General Statute 143-59.4, the Vendor shall detail the location(s) at which performance will occur, as well as the manner in which it intends to utilize resources or workers outside of the United States in the performance of this Contract. The State will evaluate the additional risks, costs, and other factors associated with such utilization prior to making an award. Please complete items a, b, and c below.

If the Vendor answered “YES” above, Vendor must complete items 1 and 2 below:

1. List the location(s) outside the United States where work under this Contract will be performed by the Vendor, any sub-Contractors, employees, or other persons performing work under the Contract:

2. Describe the corporate structure and location of corporate employees and activities of the Vendor, its affiliates or any other sub-Contractors that will perform work outside the U.S.:

c) Identify all U.S. locations at which performance will occur:

a) Will any work under this Contract be performed outside the United States? YES NO

b) The Vendor agrees to provide notice, in writing to the State, of the relocation of the Vendor, employees of the Vendor, sub-Contractors of the Vendor, or other persons performing services under the Contract outside of the United States

YES NO

NOTE: All Vendor or sub-Contractor personnel providing call or contact center services to the State of North Carolina under the Contract shall disclose to inbound callers the location from which the call or contact center services are being provided.


Ver: 4/22/19 Page 29 of 31

11 ATTACHMENT E: CERTIFICATION OF FINANCIAL CONDITION Name of Vendor: _______________________________________________________________ The undersigned hereby certifies that: [check all applicable boxes]

The Vendor is in sound financial condition and, if applicable, has received an unqualified audit opinion for the latest audit of its financial statements.

Date of latest audit: __________________________

The Vendor has no outstanding liabilities, including tax and judgment liens, to the Internal Revenue Service or any other government entity.

The Vendor is current in all amounts due for payments of federal and state taxes and required employment-

related contributions and withholdings.

The Vendor is not the subject of any current litigation or findings of noncompliance under federal or state law.

The Vendor has not been the subject of any past or current litigation, findings in any past litigation, or findings of noncompliance under federal or state law that may impact in any way its ability to fulfill the requirements of this Contract.

He or she is authorized to make the foregoing statements on behalf of the Vendor.

Note: This is a continuing certification and Vendor shall notify the Contract Lead within 15 days of any material change to any of the representations made herein.

If any one or more of the foregoing boxes is NOT checked, Vendor shall explain the reason in the space below:

______________________________________________________________________________ Signature Date ______________________________________________________________________________ Printed Name Title

[This Certification must be signed by an individual authorized to speak for the Vendor]


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12 ATTACHMENT F: SUPPLEMENTAL VENDOR INFORMATION HISTORICALLY UNDERUTILIZED BUSINESSES

Historically Underutilized Businesses (HUBs) consist of minority, women and disabled business firms that are at least fifty-one percent owned and operated by an individual(s) of the categories. Also included in this category are disabled business enterprises and non-profit work centers for the blind and severely disabled.

Pursuant to G.S. 143B-1361(a), 143-48 and 143-128.4, the State invites and encourages participation in this procurement process by businesses owned by minorities, women, disabled, disabled business enterprises and non-profit work centers for the blind and severely disabled. This includes utilizing subcontractors to perform the required functions in this RFP. Any questions concerning NC HUB certification, contact the North Carolina Office of Historically Underutilized Businesses at (919) 807-2330. The Vendor shall respond to question #1 and #2 below.

a) Is Vendor a Historically Underutilized Business? Yes No

b) Is Vendor Certified with North Carolina as a Historically Underutilized Business? Yes No

If so, state HUB classification: ________________________________________________________________

http://ncadmin.nc.gov/businesses/hub

http://ncadmin.nc.gov/businesses/hub


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13 ATTACHMENT G: TRAIN MAINTENANCE AND SERVICING SCOPE OF WORK

1/10/2020 UNCONTROLLED WHEN PRINTED Page 1 of 76

Attachment “G”

Train Maintenance and Servicing

“Piedmont” Intercity Rail Service

Capital Yard Maintenance Facility ◊ 860 Capital Blvd. Raleigh, NC 27603

Train Maintenance and Servicing – “Piedmont” Intercity Rail Service

Attachment G


Table of Contents

1 Description of Service Requirements ........................................................................................................ 5 2 General Terms and Conditions .................................................................................................................. 6 2.1 Separate Billing ..................................................................................................................................... 6 2.2 General Manager/Materials Controls Manager/Shift Forepersons ...................................................... 6 2.3 Skilled Technician Positions .................................................................................................................. 6 2.4 State Furnished Property ...................................................................................................................... 6 2.5 Chemicals .............................................................................................................................................. 7 2.6 Raleigh Capital Yard Maintenance Items .............................................................................................. 7 2.7 Required Work Environment ................................................................................................................ 8 2.8 Preventative Equipment Maintenance ................................................................................................. 8 2.9 Exterior Washing of Equipment ............................................................................................................ 8 2.10 State Approval of All Modifications .................................................................................................. 8 2.11 Contractor-furnished Equipment and Materials at State-owned Facilities ...................................... 9 2.12 Safety Program .................................................................................................................................. 9 2.13 Required Personal Protective Equipment (PPE) ............................................................................. 10 2.14 Contractor Furnished Equipment and Services............................................................................... 10 2.15 Hours of Service Log ........................................................................................................................ 11 2.16 Drug and Alcohol Testing ................................................................................................................ 11 2.17 Recyclable and Hazardous Materials .............................................................................................. 11 2.18 Food Contamination Prevention ..................................................................................................... 11 2.19 Notification Obligations .................................................................................................................. 11 2.20 Blue Flag Protection ........................................................................................................................ 11 2.21 Contractor Employee Time Logs ..................................................................................................... 12 2.22 Contractor Supplied Cellular Phones .............................................................................................. 12 2.23 Contractor Furnished Communications Services and Equipment .................................................. 12 2.24 “Over the Road” Service Protection ................................................................................................ 13 2.25 Contractor’s Recordkeeping Responsibilities .................................................................................. 14 2.26 Material Control Scope of Work ..................................................................................................... 14 2.27 Material Control Processing Requirements .................................................................................... 15 2.28 Work Management ......................................................................................................................... 16 2.29 Tool Control System Implementation/Maintenance ...................................................................... 17 2.30 Contractor Access to State Owned Computer Resources ............................................................... 17 2.31 Training / Documentation ............................................................................................................... 17 2.32 Staffing of Services by the Contractor ............................................................................................ 18 2.33 Warranty / Program Modification Support ..................................................................................... 18 2.34 Audit Compliance/Cooperation ...................................................................................................... 19 2.35 Contract Startup .............................................................................................................................. 19 2.36 Compliance with Applicable Laws, Policies and Procedures ........................................................... 19 2.37 Contract Performance Measurement ............................................................................................. 20 2.38 Subcontracting ................................................................................................................................ 20 2.39 Contractor Furnished Vehicle: ........................................................................................................ 21 2.40 Collective Bargaining Agreements .................................................................................................. 21 2.41 Holidays, Sick and Bereavement Leave, Vacations ......................................................................... 21 2.42 Employee Benefits/Insurance ......................................................................................................... 22

3 Piedmont Passenger Train Schedules ...................................................................................................... 23


Attachment G


4 Base Contract Scope of Work – Raleigh, NC – Trains 73, 74, 75, 76, 77 & 78 ......................................... 24 4.1 Operating Schedules ........................................................................................................................... 24 4.2 Consists ............................................................................................................................................... 24 4.3 Basic Services ...................................................................................................................................... 25 4.4 Equipment Repairs and Servicing ........................................................................................................ 25 4.5 Car Wheels .......................................................................................................................................... 26 4.6 Locomotive Combos/Wheels .............................................................................................................. 26 4.7 Piedmont Equipment Washing ........................................................................................................... 27 4.8 Fuel Deliveries ..................................................................................................................................... 27 4.9 Use of Containment Systems .............................................................................................................. 27 4.10 Layover Equipment ......................................................................................................................... 27 4.11 Terminal Switching .......................................................................................................................... 28 4.12 Watering Stations ............................................................................................................................ 28 4.13 Refuse .............................................................................................................................................. 28 4.14 Inbound Consist Servicing ............................................................................................................... 29 4.15 Restocking of Literature .................................................................................................................. 29 4.16 Restocking of Lounge Car Vending Machines ................................................................................. 29 4.17 Uniforms .......................................................................................................................................... 29

5 Base Contract Scope of Work – Charlotte, NC – Trains 73, 74, 75, 76, 77 & 78 ...................................... 30 5.1 Operating Schedules ........................................................................................................................... 30 5.2 Services ............................................................................................................................................... 30

5.2.1 Locomotive Inspection: ............................................................................................................... 30 5.2.2 Brake System Tests: .................................................................................................................... 30 5.2.3 Repairs / Servicing: ...................................................................................................................... 30 5.2.4 Toilet System Service: ................................................................................................................. 31 5.2.5 Potable Water Service: ................................................................................................................ 31 5.2.6 Turnaround Cleaning: .................................................................................................................. 31 5.2.7 Refuse: ......................................................................................................................................... 31 5.2.8 Restocking Of Literature: ............................................................................................................ 31

6 Maintenance Analysis Forms ................................................................................................................... 32 7 Contractor Position Descriptions ............................................................................................................. 33 7.1 Training, Qualification, and Designation Program .............................................................................. 33 7.2 Position Descriptions ........................................................................................................................... 33

7.2.1 General Manager (GM/QMS) ...................................................................................................... 33 7.2.2 Shift Foreperson (QMS) ............................................................................................................... 34 7.2.3 Relief Foreperson DLSE/Relief/QMS ........................................................................................... 35 7.2.4 PTC Technician/Electrician (PTC/E) ............................................................................................. 35 7.2.5 Materials Control Manager (MCM) ............................................................................................. 36 7.2.6 Materials Control Stockroom Clerk (MC) .................................................................................... 36 7.2.7 Administrative Assistant (AA)...................................................................................................... 37 7.2.8 Qualified Maintenance Person (QMP) ........................................................................................ 37 7.2.9 Qualified Person (QP) .................................................................................................................. 38 7.2.10 Cleaner/Entry Level (C/EL) .......................................................................................................... 39

8 Required Staff Levels ............................................................................................................................... 40 8.1 Piedmont Service ................................................................................................................................ 40 8.2 Personnel Designations ....................................................................................................................... 40

8.2.1 Raleigh First Shift ......................................................................................................................... 41


Attachment G


8.2.2 Raleigh Second Shift .................................................................................................................... 41 8.2.3 Raleigh Third Shift ....................................................................................................................... 42 8.2.4 Charlotte – All Piedmont Trains .................................................................................................. 43

9 "Extra" Work ............................................................................................................................................ 44 9.1 Chargeable to NCDOT ......................................................................................................................... 44 9.2 Invoicing for Extra Work: .................................................................................................................... 44 9.3 Chargeable to Amtrak/Others: ............................................................................................................ 44

10 Appendix A – Maintenance Schedules .................................................................................................... 46 11 Appendix B – Interior Cleaning Procedures/Tasks .................................................................................. 54 12 Appendix C – Amtrak/NCDOT Insurance Excerpts .................................................................................. 60 13 Appendix D – NCDOT Computer Usage Policies ...................................................................................... 65 14 Appendix E – NCDOT Equal Employment Opportunity Policy ................................................................. 71 15 Appendix F – Rail Division Current Equipment List ................................................................................. 76


Attachment G


1 Description of Service Requirements

The NCDOT Rail Division's goal is to make the Piedmont North America's premier intercity passenger rail service. The services rendered under this contract must contribute to this goal on a daily and long term basis.

The requirements for the Equipment Maintenance and Train Servicing for “The Piedmont” (Trains 73, 74, 75, 76, 77, and 78) for the State of North Carolina (the “Services”) will be contracted by NCDOT under a single contract to be performed at the State-owned maintenance facility in Raleigh and the leased Amtrak maintenance track in Charlotte, NC. Services will be provided by the successful Contractor under the direction of the NCDOT Rail Mechanical Services Contract Manager based in Raleigh, N.C. The NCDOT Rail Division Director, or the Rail Division Director’s designee, shall serve as the NCDOT Rail Mechanical Services Contract Manager and single point of contact regarding all issues related to the service contract including all billing matters, questions of interpretation, facility related matters, quality concerns, etc.

The Piedmonts operate in pull/pull or push/pull consists between Raleigh and Charlotte. All trainsets utilize NCDOT owned locomotives, CCUs, and railcars. Train operations are as follows:

• Train 73 operates daily Raleigh to Charlotte. Its equipment reverses direction at Charlotte to become Train 74, Charlotte to Raleigh.

• Train 75 operates daily Raleigh to Charlotte. Its equipment reverses direction at Charlotte to become train 76, Charlotte to Raleigh.

• Train 77 operates daily Raleigh to Charlotte. Its equipment reverses direction at Charlotte to become train 78, Charlotte to Raleigh.

Services performed in Raleigh shall include daily layover service of the Piedmont 73/74, 75/76, and 77/78 train sets. Performance of Preventative and Periodic Maintenance on all Piedmont equipment and task items noted in Section 3.

Charlotte Services shall include daily turnaround servicing on the Piedmont 73/74, 75/76, and 77/78 train sets. From time to time, extra work may be requested at either location by the NCDOT Rail Division.

The Contractor shall have a General Manager, based in Raleigh, designated to be the single point of contact for all contract administration issues. These issues shall include staffing levels, work schedules, maintenance and day to day actions of the mechanical operations. For the normal maintenance and day to day service operations, the point of contact for the Contractor is NCDOT Rail Mechanical Services Contract Manager.

The Capital Yard Maintenance Facility and its associated tools and equipment in Raleigh are owned by the State of North Carolina. The current servicing facility in Charlotte is leased by Amtrak from Norfolk Southern, with limited storage and office space provided. NCDOT provides a modular office and material storage containers for Contractor use in Charlotte. Within the term of this contract, NCDOT may move in to a new State owned maintenance facility in Charlotte. Should additional state sponsored train frequencies and/or a new Charlotte maintenance facility be placed in service during the term of this contract any additional Contractor responsibilities, liabilities, personnel requirements, and costs shall be addressed in a separately negotiated amendment to the base contract.


Attachment G


2 General Terms and Conditions

As used in this document, the term Contractor means “NCDOT’s mechanical contractor.”

2.1 Separate Billing

Because of contractual differences in the agreements for the Piedmont (NCDOT’s responsibility with regards to all mechanical services) and the Carolinian services (Amtrak’s responsibility with regard to all mechanical services), all labor, materials and supplies. shall be separately accounted for and billed according to the service for which such labor, materials and supplies apply, with appropriate breakdown of accounting detail (technician name, craft, hours worked, quantities issued, etc.), as supported by NCDOT’s SAP based computer record-keeping system (and/or the manual, paper based forms provided). The Contractor shall maintain accounts and accounting practices as described above, so as to ensure the accurate segregation of costs. All such records shall be subject to audit by NCDOT.

2.2 General Manager/Materials Controls Manager/Shift Forepersons

NCDOT shall review and approve proposed candidates for all positions staffed by the Contractor prior to those candidates being made formal offers of employment, including any form of temporary assignment, or continued employment from the existing agreement(s).

The General Manager (GM/QMS), Materials Manager (MCM), and all Shift Foreperson (QMS) positions (including any designated “Relief Foreperson” positions) are hereby designated as being “Key Positions” for purposes of this agreement and are subject to be on call on a 24/7 - 365 basis. Note also that this “Key Position” designation shall include any Contractor personnel who are Designated Supervisor Locomotive Engineer (DSLE) certified under 49 C.F.R. § 240.105.

The GM/QMS, MCM, and Shift Foreperson positions are supervisory positions. All supervisory positions must be fully protected (i.e., qualified employees must be on duty at all times) at all locations for all scheduled shifts, without exception. Note that unless otherwise authorized on a case by case basis, all “extra work” effort shall also be appropriately supervised by an authorized Shift Foreperson.

Should a Materials Control Stockroom Clerk (MC) position not be filled for any given shift (as required in this Scope of Work), the Shift Foreperson, in addition to their other duties, shall fully protect the material control functions required hereunder.

2.3 Skilled Technician Positions

NCDOT shall review and approve technical qualifications of all proposed candidates for all positions staffed by the Contractor prior to those candidates being made formal offers of employment, including any form of temporary assignment, or continued employment from the existing agreement(s).

2.4 State Furnished Property

State owned facilities and equipment located at Capital Yard or Charlotte including, without limitation, major tools, power tools, test equipment, material handling and storage equipment, data processing equipment, and safety equipment that are used by the Contractor and/or furnished to the Contractor by the State shall be the responsibility of the Contractor so long as such facilities, equipment and tools are


Attachment G


within the Contractor's care, custody and control. The Contractor shall use due care when using same. All state-owned property shall be strictly accounted for by the Contractor. Damage, other than by normal use, to any State furnished property shall be the Contractor’s responsibility. Contractor must reimburse the State, as applicable, or repair or replace any such damaged item in a timely manner. The Contractor shall promptly report any damaged or missing tools, equipment or inventory items to NCDOT.

The following equipment will be provided by NCDOT:

a) One (1) – 5,000 lb. capacity forklift b) One (1) – 35,000 lb. capacity forklift c) One (1) – 8,400 lb. telescopic handler d) One (1) – electric four wheel utility vehicle e) One (1) – gas four wheel utility vehicle

NCDOT shall be responsible for tracking and scheduling preventative maintenance on the 35,000 lb. capacity forklift and the 8,400 lb. telescopic handler. The Contractor shall be responsible for tracking and scheduling preventative maintenance on the 5,000 lb. capacity forklift, the electric four wheel utility vehicle, and the gas four wheel utility vehicle. The Contractor shall be responsible for daily servicing and general upkeep of these vehicles.

The Contractor shall also be responsible for preventative maintenance on the following property furnished by NCDOT:

a) Four (4) – air compressors (two behind shop, one in shop, one in electrical building) b) One (1) – Backup Generator c) Four (4) – Whiting 35 Ton jacks

NCDOT carries property insurance on all state-owned property. Refer to Appendix C – Amtrak/NCDOT Insurance Excerpts for amounts and requirements.

2.5 Chemicals

All cleaning and servicing chemicals must be NCDOT approved. Non-approved chemicals may not be brought on the property at either facility. The Contractor shall obtain and maintain appropriate files of SDS documents for each product, and shall be responsible for compliance with all “Right to Know” requirements, including labeling of product dispensing packages.

2.6 Raleigh Capital Yard Maintenance Items

This section includes NCDOT buildings, warehouses, storage containers, and railyard related infrastructure.

The Contractor shall be responsible for the following maintenance items, under the direction of the NCDOT:

a) Removal of scrap and recyclable materials as necessary (NCDOT and/or North Carolina Department of Administration (NCDOA) to retain any resulting salvage value)

b) Cleaning of restrooms during each shift and daily cleaning of floors c) Routine washing of windows as necessary d) Quarterly stripping and waxing of all floors by a professional company


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e) Renewal of safety striping as necessary f) Monthly inspection and servicing of safety equipment (fire extinguishers, first aid kits, AEDs, etc.) g) Inspection pit, track pans, track platforms, shop floor, and warehouse floors shall be pressure

washed as needed h) Mowing of grass, removal of debris, leaves, and weeds i) Assist with monthly inspection of facility in accordance with the NCDOT Stormwater Pollution and

Prevention Plan

2.7 Required Work Environment

A clean, orderly and safe work environment shall be maintained by the Contractor at all times at all work locations. The Raleigh maintenance facility is secured by an enclosed fence around the property; gates automatically close at 5:30pm and open 5:30am – Monday through Friday. On Saturdays, Sundays, and State holidays the gates remain closed. The facility is monitored by video surveillance by NCDOT Security Office and NC State Capital Police. Contractor is not responsible for providing additional security personnel.

The Charlotte facility is an “open” facility with no security fencing, and 24 hour access. The facility has minimum video surveillance. Amtrak and Norfolk Southern police routinely patrol the service area. The Contractor is not responsible for providing additional security personnel at Charlotte. However, it is the Contractors’ responsibility to ensure that any Contractor or NCDOT assets associated with the Charlotte maintenance operations are properly secured and protected.

2.8 Preventative Equipment Maintenance

The Contractor shall be responsible for preventative, periodic, and routine maintenance (as recommended by the equipment manufacturer and/or the NCDOT Rail Mechanical Services Contract Manager) of all major tools, power tools, test equipment, material handling and storage equipment, and safety equipment, that may be located at the facilities. The “base contract” shall include providing labor and supervision for routine maintenance and/or repair of facility related items (i.e. Facility Maintenance), including but not limited to: changing light bulbs, fixture ballasts, adjustments/lubrication of overhead doors, renewal of air filters, building HVAC system maintenance, with related materials being at the expense of NCDOT.

2.9 Exterior Washing of Equipment

The Contractor shall be responsible for exterior washing of all equipment only at Raleigh where there are approved containment systems in place. Requirements are outlined in 3.7 Piedmont Equipment Washing.

2.10 State Approval of All Modifications

a) Facilities and Equipment. The Contractor shall not modify any aspect of Raleigh’s Capital Yard facility or its equipment without the concurrence and prior written authorization of the NCDOT Rail Mechanical Services Contract Manager.

b) Rolling Stock. The Contractor shall not alter the configuration or jeopardize the integrity of any system or component on NCDOT owned locomotives, CCUs, and railcars without concurrence by the NCDOT Rail Mechanical Services Contract Manager and documentation or validation by the Mechanical Engineering Department. The Contractor shall obtain written approval from the Operations & Facilities Branch Manager or the NCDOT Rail Mechanical Services Contract Manager


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prior to performing any structural, mechanical, electrical and/or cosmetic alterations to the state-owned locomotives, CCUs and Railcars.

2.11 Contractor-furnished Equipment and Materials at State-owned Facilities

The Contractor may occupy State-owned facilities only for the purpose of performing services as outlined within.

a) Contractor Employees’ Personal Property. The Contractor employees’ personal items such as tools, test equipment, technical documents, etc. may be brought on property as deemed reasonably necessary for the fulfillment of the Contractor’s Service obligations. However, the Contractor and/or employee shall be responsible for the security and condition of all such items. Furthermore, all such personal items shall be subject to inspection by NCDOT to assure that they meet all safety requirements. Personal items may be kept on State property only so long as their owner is an employee of the Contractor performing Services. It shall be the Contractor’s responsibility to remove all such Contractor employees’ personal items promptly when their owner(s) is no longer an employee of the Contractor.

b) Personal Property Not Used in the Performance of Services. Any personal property brought onto State property not deemed necessary to perform the Services shall be promptly removed upon written notification, or shall be subject to seizure, condemnation, or other legal action by the State.

c) Storage of Non-NCDOT Owned Equipment and Materials. The Contractor and the Contractor’s Employees shall cooperate and coordinate with the NCDOT for the appropriate storage and placement of all such items at all work locations.

Any additional storage facilities desired by the Contractor for the Contractor’s sole and exclusive use shall be provided and maintained at the expense of the Contractor, and shall be subject to prior approval and periodic inspection by NCDOT. Note that State owned tools, materials, equipment, supplies, etc. may not be kept within such areas at any time. Any necessary permits, inspections, etc. associated with such additional storage facilities shall be the responsibility of the Contractor.

Removal of such additional storage facilities shall also be at the expense of the Contractor (including returning the affected portion of the facility to its prior condition), and shall be accomplished within thirty (30) days of written notification requiring such removal, or upon expiration of this agreement.

2.12 Safety Program

Within thirty (30) days of contract award, the Contractor shall furnish a comprehensive Workplace Safety Program specific to its personnel, the equipment, and the facilities under this agreement. This program shall be sufficiently detailed as to prescribe both pro- and re-active policies and procedures to cover all types of work place risks and hazards.

The program shall include both workplace safety and training plans per the requirements of OSHA General Industry Standards in 29 CFR Part 1910. These plans shall identify current and potential workplace hazards. All personnel in supervisory positions shall be required to complete training and carry a card for OSHA 10 hour General Industries Awareness. The Contractor shall provide an employee onsite trained in fall


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protection requirements of 29 CFR Part 1910. Training records shall be maintained by the Contractor as required by OSHA. Training records shall be available and provided to NCDOT upon request.

The Contractors program shall also comply with 49 CFR Part 214 for Railroad Workplace Safety.

NCDOT must review and accept in writing of the Contractors’ Safety Program prior to the services starting. The Contractor must update its Safety Program on an annual basis, or more frequently as necessary. Contractor shall submit annual Safety Program updates or changes to NCDOT for review and acceptance prior to the beginning of each new contract year.

2.13 Required Personal Protective Equipment (PPE)

Appropriate PPE shall be used at all times by the Contractor’s personnel while in designated areas. The Contractor shall furnish all required PPE for the Contractor’s use. While on State property, as a minimum, all Contractor personnel shall wear approved safety shoes or boots, approved safety glasses (with side shields), and approved hard hats. Reflective safety vests must be worn by all contractor personnel involved the movement of rail equipment during nighttime or limited visibility conditions.

Contractor personnel will be required to utilize approved fall protection systems when working at unprotected heights above 4 feet.

2.14 Contractor Furnished Equipment and Services

The Contractor shall provide all Contractor personnel with specialty hand tools, equipment, and shop supplies. This equipment shall be maintained by the Contractor to ensure safe operation. It is the Contractor’s responsibility to train all Contractor personnel in the proper and safe use of all equipment. Contractor furnished items shall include but are not limited to:

• Flashlights • Personal Blue Lights • Batteries • Hand Cleaner • Rags • Shop Towels • Tape • Solvent • Sealant • Specialty Lubricants • Cutting Tools • Welding Supplies • Welding Gases • Drill Bits

• Cleaning Tools and Supplies • Pressure Washers • Steam Cleaners • Vacuum Cleaners • Shampoo Equipment • Brooms • Mops • Buckets • Brushes • Gloves • Personal Protective

Equipment • Motorola Handheld Radios • Industrial Safety Lights • Drinking Water

Contractor shall also be responsible for providing the following services at Capital Yard Maintenance Facility at the Contractors expense:


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a) Trash Pickup (at 80% full) b) Professional Floor Cleaning (waxing – once per quarter)

2.15 Hours of Service Log

The Contractor shall maintain Hours of Service log for affected Contractor employees in accordance with United States Code of Federal Regulations, 49 C.F.R. § 228.7.

2.16 Drug and Alcohol Testing

The Contractor shall assure that its employees are subjected to drug and alcohol testing, as may be required by United States Code of Federal Regulations, 49 C.F.R. Part 219.

2.17 Recyclable and Hazardous Materials

The Contractor shall assure compliance at each work location with all recycling and hazardous material labeling and disposal requirements in accordance with all applicable regulations and/or NCDOT policies and procedures. Such work shall be performed by properly trained and licensed employees of the Contractor. All training records, including refresher training, shall be verified by NCDOT and maintained by the Contractor. The Contractor shall assist with compliance at Capital Yard with the NCDOT Stormwater Pollution Prevention Plan / NPDES Permit No. NCS000250 (or as amended). The Contractor shall maintain appropriate spill containment materials at both Charlotte and Raleigh facilities.

2.18 Food Contamination Prevention

The Contractor shall cooperate with the State with regards to protecting snack and beverage service operations at the Raleigh and Charlotte facilities and on the rolling stock. If as a result of mechanical failure a food service car in the Piedmont equipment pool must be substituted, the Mechanical Contractor shall take whatever steps are necessary to protect the service, including transferring all snack items, beverages and commissary supplies to the outbound car at no additional charge (i.e. within the base contract scope of work).

2.19 Notification Obligations

The Contractor shall promptly report all unusual or out-of-the-ordinary incidents and defects involving the State-owned equipment to the NCDOT Rail Mechanical Services Contract Manager. The Contractor shall also promptly report locomotive, CCU, or railcar mechanical, structural, electrical issues, and/or defects along with corrective actions taken directly to the Mechanical Engineering Department for documentation and cataloging purposes.

2.20 Blue Flag Protection

The Contractor shall provide and remove Blue Flag Protection at each work location in accordance with all applicable Federal Regulations, and local written policies and procedures.


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2.21 Contractor Employee Time Logs

The Contractor shall be required to track employees time and attendance in accordance with NCDOT policies and procedures. The Contractor shall provide and maintain an electronic time clock (at each location) for the documentation of contract compliance as part of the mechanical records system for the entire term of the contract. The Contractor employees shall be required to use this system for time and attendance tracking. In the event such system is temporarily unavailable, daily time logs of the Contractor’s employees shall be maintained via written records.

During the term of the Contract, Contractor must be able to provide copies of all daily time logs upon request by NCDOT.

The respective Shift Foreperson (or other designated supervisor) shall be held accountable for those employees assigned to their team for that work period (or shift), to ensure that employees are properly clocking in and out as required. If work conditions require that employees report for duty at a location not equipped with a clock, the supervisor in charge will keep such records as necessary for later manual entry into the system. Only the General Manager shall be authorized to perform such edits of time records. At no time may any supervisory staff member edit or approve his/her own time records. General Manager shall be required to notify NCDOT of any modification to records.

Individual employees are specifically prohibited from punching time for any other individual for any reason. “Cross punching” will be deemed to be a breach of contract, and evidence of willful fraud.

At the conclusion of each month, the necessary reports from the Contractor owned timekeeping system will be generated by the Administrative Assistant. These reports will be reviewed by NCDOT and Contractor management personnel, as part of the process to create / authorize a payment request for the prior month services.

2.22 Contractor Supplied Cellular Phones

The Contractor shall furnish cellular telephones and service for all designated “Key Personnel” at the Contractor’s cost.

Such wireless communications services shall be maintained by the Contractor on a continuous basis (24 hours a day / 7 days a week) for the duration of the agreement. Should a device fail, it is expected that the Contractor make alternate arrangements for the NCDOT management team to contact the Contractor’s staff by an equally expeditious manner until such failed device can be repaired/replaced (including but not limited to rental of temporary devices if necessary).

All such equipment and/or service costs shall be included within the “base contract” and not subject to extra or pass-through charges to NCDOT.

2.23 Contractor Furnished Communications Services and Equipment

The Contractor shall furnish all communications equipment for its exclusive use, and be responsible for all charges (e.g., for local and long distance services) in connection therewith. Installation of telecommunications equipment shall comply with NCDOT standards, policies, etc. At a minimum, Contractor shall furnish one (1) land line and one (1) fax line at each contract location. The Contractor shall


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ensure all “Key Personnel” have access to email and shall provide sufficient training for proper and effective use.

The Contractor shall furnish handheld radios for the exclusive use of its personnel at its expense.

2.24 “Over the Road” Service Protection

Using such resources as described in, and as part of this Contract, the Contractor shall provide whatever additional technical support may be required to protect normal passenger service operations on Trains 73/74, 75/76, and 77/78 over the entire Service Route (Raleigh – Charlotte). Such support does not include “heavy wreck repairs.” The Contractor shall provide appropriate support for the situation, given the nature of the resources required. Heavy wreck repairs (if required) will be treated as “Extra Work” and may be contracted out to other parties by NCDOT. Heavy wreck repairs will also be treated as “Extra Work” if repairs cannot be completed during regularly scheduled work shifts.

At all times the Contractor shall maintain a Mechanics Road Kit and Accident Response Kit. Mechanics Road Kit shall be carried by Contractor Personnel when riding the train for work purposes. Contractor personnel shall be required to wear uniform while on duty.

Mechanics Road Kit shall include at a minimum: • Electrical Meters • Channel Locks • Pipe Wrenches • Screwdrivers • Allen Wrenches • Small Socket Wrench Set • Flashlights • Hearing Protection • PPE • Gloves • Duct Tape • Vests • Tag Outs • Blue Flag Protection

An Accident Response Kit shall be stored in Contractor vehicle and shall include at a minimum: • Chains • Heavy Bars • Spare Hoses • Runaround Hose • Come-along • Spare HEP Cable • Cable Ties


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• Spill Prevention Kit

Cutting torches and gasses shall be readily available for loading onto Contractor vehicle for response situations. Mechanics Kit shall be available and brought along in response situations but is not required to be stored in Contractor vehicle. Contractor is required to inventory vehicle once a quarter and report status to NCDOT Rail Mechanical Services Contract Manager.

2.25 Contractor’s Recordkeeping Responsibilities

The Contractor shall perform all record keeping functions to support maintenance and material control activities (i.e. MAP forms, FRA, inventory records, etc.), as well as an electric time clock. Records shall be maintained on a Contractor owned computer system.

NCDOT reserves the right from time to time to apply updates or upgrades to its computer systems (hardware and software), and to modify methods and procedures as it deems necessary for the good of the service, without incurring additional liability or expense (within the terms of this agreement).

The NCDOT computer forms shall be the official “Forms of Record” for documenting all Services, including extra services, relating to NCDOT equipment. The details of all work relating to NCDOT equipment shall be tracked with the NCDOT computer system.

Contractor shall use Amtrak MAP forms to track all services, including extra services, and additional services when applicable.

2.26 Material Control Scope of Work

Included within the baseline “Scope of Work” (i.e., not subject to any extra charges), the Contractor shall perform the following tasks relating to material control as necessary at each facility using NCDOT's computer system, including all tasks necessary for:

a) The procurement of tools, materials, and supplies (including research, obtaining quotations, entering new item records, creating purchase requisitions/orders, placing orders with vendors, etc.)

b) The receipt of tools, materials, and supplies (including unloading deliveries from common carriers, inspecting goods received for damage, entering receiving records, placing goods received upon shelving, etc.)

c) The issuing of tools, materials, and supplies (including “kitting parts,” pulling requested items from shelving, entering issue records, etc.)

d) Transferring stock from one location to another (including packing goods for re-shipment, entering stock transfer records, etc.)

e) Returning goods to vendors (including packing goods for shipment, preparing shipping documents, entering associated inventory transactions, loading shipments on common carriers, etc.)

f) Maintaining a perpetual inventory (including cycle counts, annual physical inventory counts, entering associated inventory transactions, etc.)


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g) Processing vendor invoices / credit memos (including matching packing lists with invoices submitted, entering payment requests, transmitting records to other offices, etc.)

Upon initially taking over the daily service under this contract, the Contractor shall perform an initial physical inventory of all materials, supplies, tools, etc. (including serialized components) at all contract locations and ensuring consistency of quantities as shown in the NCDOT computer system.

Materials and supplies which will ultimately be billed to NCDOT Rail Division shall be regarded as property of the State. Items consumed for any reason other than servicing or provisioning NCDOT Rail Division owned equipment must be strictly accounted for, to allow appropriate cost recovery by the State.

The Contractor shall be responsible for all functions related to environmental or hazardous material reporting / control as relating to services rendered under this agreement.

Inbound / Outbound freight charges for materials and supplies are specifically not within the scope of this agreement, and shall be separately billable to NCDOT (typically on a prepay and add basis). Note that NCDOT policy prohibits accepting “collect” shipments.

2.27 Material Control Processing Requirements

The Contractor’s goals under this agreement are to protect the service, and not exceed the agreed upon budget that may be set by NCDOT, or exceed inventory levels at either location. All parties involved (the Contractor & NCDOT) shall work together to achieve these goals.

The scope of work otherwise provides for material control functions by the Contractor to support train servicing, which will include those aspects of the procurement process leading to the creation of Purchase Orders. Normal practice shall require that all purchasing or other procurement of materials and supplies be processed by the Contractor, including any necessary accounts payable functions.

The Contractor shall use due diligence to obtain the best price, delivery, and quality of materials consistent with sound business practice while protecting the needs of the service, as agreed upon by NCDOT, and shall be governed by the following policies and procedures:

a) Before making any purchase on the behalf of NCDOT, the Contractor shall obtain the Federal Tax Identification Number (FTIN) of the vendor, and maintain record of same for inspection by NCDOT (IRS W-9 Form; Request for Taxpayer Identification Number and Certification).

b) All other purchases must be made through generation of a Purchase Order and the associated Material Receipt processes (using the NCDOT computer based solution then in use) except local purchasing up to $2,500 as approved by NCDOT.

c) Purchases of any given item or overall order over $5,000 shall require a good faith effort by the Contractor to obtain three (3) quotations for same, and be subject to review and approval of the NCDOT prior to release of any order to the vendor. Purchases of any given item or overall order over $10,000 shall require the prior approval of the NCDOT Rail Operations and Facilities Branch Manager and Division Business Officer.


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d) All invoices presented by vendors shall be reviewed by the Material Manager for billing and accuracy, and shall be matched to packing slips and/or receiving reports prior to authorization for payment. The General Manager is authorized to conduct a review in the absence of the Material Manager. Original invoices shall be kept on file at Capital Yard for inspection by NCDOT.

e) The Contractor shall process payment for invoices as authorized by the above policies within the commercial terms given by the vendor, or shall absorb at its cost any associated late fees, interest charges, etc. Disputes to charges by vendors shall be resolved by the Contractor prior to submission to NCDOT for reimbursement (including but not limited to: overages or shortages, freight damage claims, etc.). Each invoice shall have an electronic receipt or equivalent showing payment.

f) After the conclusion of each calendar month, the Contractor shall prepare a summary listing of invoices submitted for reimbursement by NCDOT showing: • Vendor Name • Invoice Date • Invoice Number • Invoice Subtotal (for materials, supplies, services, etc.) * • Invoice Freight Charges (if included on the vendor invoice) * • Invoice Sales & Use Tax * • Invoice Total *

Note: Items above marked with an asterisk (*) shall be totaled by column. This summary listing shall be submitted electronically in Microsoft Excel file format for review by the NCDOT Rail Mechanical Services Contract Manager or other designated NCDOT staff, and shall be submitted in hard copy form as an attachment to the monthly invoice from the Contractor to NCDOT Rail Division.

The invoice to NCDOT Rail Division from the Contractor shall show the summary totals from the above report, with the invoice total serving as the basis for computation of the overhead and profit markups as described in this RFP.

Items which are designated by NCDOT Rail Division as being “Stock” items shall be procured using the current computer system. Other goods or services may be procured as needed and must be properly tracked and will require a written PO. Questions shall be addressed to the NCDOT Rail Mechanical Services Contract Manager and NCDOT Rail Division Business Officer.

Materials considered “non-standard” or not considered essential to the daily train servicing or conducting periodic scheduled inspections shall be approved for purchase by the NCDOT Rail Mechanical Services Contract Manager. Purchase shall not be allowed for these types of items without prior approval.

2.28 Work Management

Included within the baseline “Scope of Work” (i.e., not subject to any extra charges), the Contractor shall use the current NCDOT computer system for entry and tracking of all work associated with this contract which will ultimately bill to NCDOT including:

• FRA Inspections – as performed by the Contractor.


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• Repairs / Preventive Maintenance Operations – as performed by the Contractor. • Work Orders – documenting work as performed by the Contractor. • Labor – documenting work by job / specific task • Serialized Components – documenting specific serialized components applied / removed • Parts – documenting materials & supplies consumed

Note: Daily FRA inspections are not reported in NCDOT’s computer system, but provided in documentation form and filed in Contractor’s office and available for review by NCDOT or FRA.

All work associated with this contract for servicing The Piedmont at each location, either “base contract” or “extra” work, shall be entered and tracked in the current NCDOT computer system except for labor.

2.29 Tool Control System Implementation/Maintenance

All NCDOT owned tools shall be deemed to be within the Contractor’s “care, custody, and control” and the Contractor shall be held accountable for proper functionality and maintenance.

2.30 Contractor Access to State Owned Computer Resources

The Contractor shall be granted access to the NCDOT Rail Division LAN at Capital Yard for the purpose of entry and maintenance of material control, timekeeping, and work management records. Such State-provided computer access will include (at a minimum):

• One (1) terminal in the Raleigh shop office • Three (3) terminals in the Raleigh Materials Control Office • Two (2) terminals in the Raleigh General Manager’s Office • One (1) terminal at Charlotte.

Any other use of State-owned computer resources is not permitted and shall be at the sole and exclusive risk of the Contractor. The Contractor shall comply with all NCDOT data access system policies and instructions as outlined in Appendix D – NCDOT Computer Usage Policies.

2.31 Training / Documentation

All Contractor personnel shall be trained on all required criteria in a timely manner. All training and related supplies and materials required (including transportation, meals, lodging, etc.) shall be at the Contractor’s expense. Contractor shall only use NCDOT approved trainers (typically approved by the NCDOT Rail Mechanical Services Contract Manager and/or Engineering Manager for Engineering related training), training materials, etc. Course materials furnished by the Contractor shall be submitted for review by NCDOT sufficiently in advance of first use to permit review and comment as necessary. NCDOT reserves the right to retain training materials as necessary, but material may not be redistributed to any third party without the express written permission of the Contractor. All training shall be compliant with the current Training, Qualification, and Designation Program (49 C.F.R. § 238.109) as adopted by NCDOT. It shall be the responsibility of the Contractor to establish written procedures (subject to the approval of NCDOT) within 30 days following the Notice to Proceed for


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determining the existing qualifications and basic core competencies for each current and/or proposed employee.

NCDOT reserves the right to attend all contractor training sessions for monitoring and auditing purposes. NCDOT further reserves the right to have the Contractor modify training programs and/or instructors based on audit results. NCDOT reserves the right to solicit feedback from trainees to ensure effective training as part of the auditing process. The Contractor shall be responsible for testing. NCDOT may provide oversight and proctoring. Work performed by personnel who are not yet fully trained, qualified, or designated under the above training program will subject the Contractor to be compensated at a lower rate than those who are fully qualified.

All Shift and Relief Forepersons shall be fully cross trained in all functions to be interchangeable with regards to work assignments.

a) Retention of Training Records. The Contractor shall maintain training records in a manner satisfactory to NCDOT for all Contractor personnel (including entry into the Contractors computer system). Contractor shall provide records in a timely manner to NCDOT upon request for purposes of determining compliance with this training requirement.

b) Other NCDOT Furnished Training. NCDOT may provide other training opportunities for the Contractor. In these cases, the Contractor shall provide personnel with all expenses, including transportation, meals, etc.

c) NCDOT Furnished Documentation. NCDOT may provide technical manuals, drawings, schematics, etc. for the use of the Contractor to better maintain the state-owned equipment and facilities. All materials furnished by NCDOT shall remain the property of NCDOT, and must be returned to NCDOT upon request, or at the conclusion of the contract.

2.32 Staffing of Services by the Contractor

The Contractor shall ensure that staffing levels are adequate to perform the required Services specified in each “Scope of Work” and the “Required Staff Level”. If staffing levels fall below levels designated in the contract to perform all required Services for more than thirty (30) consecutive days at any time during the term of the Contract, NCDOT may reduce payment(s) due to the Contractor by five hundred dollars ($500.00) per day for each day until required staffing levels have been reestablished. Such reductions are not a penalty but rather liquidated damages compensating NCDOT for the Contractor’s diminished work effort. In addition, the Contractor shall submit to NCDOT upon its request proof of efforts for hiring during staffing level shortages.

2.33 Warranty / Program Modification Support

Technical support efforts (installation and/or removal of parts, serialized components, sub-assemblies, etc.) directly associated with warranty or other program modification projects authorized by NCDOT shall be handled by the Contractor within the base scope of work subject according to the terms and conditions otherwise outlined within. General overhead (record-keeping, material control, etc.) efforts for such


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warranty of other program modification projects shall be handled by the Contractor within the base scope of work, as otherwise outlined within.

Warranty or other program modification administration (including planning, engineering, procurement, etc.) shall remain the responsibility of NCDOT Rail Division. General Manager shall meet at a minimum twice weekly with the NCDOT Rail Mechanical Services Contract Manager and the Capital Yard Chief Mechanical Engineer to review equipment issues and modifications.

2.34 Audit Compliance/Cooperation

Contractor and its employees shall cooperate fully with, and maintain professional conduct during any investigation, audit, process control assurance review, etc. and shall not knowingly submit incomplete, false, or misleading information. Any original source documents (employee time cards, vendor or supplier invoices, etc.) shall be maintained for inspection by state authorities for the duration of three (3) years, and shall be submitted to NCDOT within fifteen (15) calendar days upon written request. All aspects of this Contract and the Contractor’s performance of Services shall be subject to full audit and disclosure (subject to the laws of the State of North Carolina).

2.35 Contract Startup

All certification requirements for Contractor “Key Personnel” shall be met prior to the Contractor assuming daily service under this agreement. Other personnel requiring certification shall be trained and certified (at Contractor’s expense) within 60 days of the start of the initial term of the contract, or for new hires or transfers, within 60 days of initial employment under this contract.

2.36 Compliance with Applicable Laws, Policies and Procedures

The Contractor shall be required to comply with the following:

a) Federal Railroad Administration (FRA) Regulations. Contractor shall comply with all applicable FRA regulations including, without limitation, 49 C.F.R. Parts 214, 215, 216, 217, 218, 219, 221, 223, 225, 228, 229, 231, 232, 238, 239, 240, and 242. All inspection processes outlined within these FRA regulations at the tri-annual or more frequent level for NCDOT owned equipment as outlined within, as based at Capital Yard, shall be included within the base “Scope of Work” and shall not be subject to extra charges.

b) NCDOT Requirements. At all times the Contractor and all Contractor personnel shall comply with applicable laws and with NCDOT written policies, procedures, instructions, code of conduct and ethics, etc. (e.g., Diversity and EEO) as NCDOT may deem necessary for the performance of Services. NCDOT EEO policy is outlined in Appendix E – NCDOT Equal Employment Opportunity Policy.

c) Compliant Drug and Alcohol Testing Program. Any Contractor manager or employee that performs an hours-of service function, or that operates a qualifying commercial vehicle or railroad equipment on behalf of NCDOT, is responsible for maintaining an employee drug and alcohol-testing program that meets Federal and/or NCDOT requirements. NCDOT reserves the right to audit the Contractor’s program and its compliance with these policies.


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2.37 Contract Performance Measurement

Contract performance will be measured on the base practices of performance of all required work and proper billing for such work, in accordance with all required laws, FRA regulations, and NCDOT requirements.

Performance of all work shall include all work related to ensuring equipment is maintained in proper working order for passenger rail service. This includes proper maintenance practices (mechanical and electrical), material control practices, and cleaning practices of equipment and facility. Maintenance work is expected to be performed in accordance with existing maintenance instructions and/or equivalent documented procedures provided by NCDOT Mechanical Engineering. Work performed, including both labor and inspections, is required to be documented in order to provide a historical log for compliance oversight. Contractor shall use NCDOT approved forms for all documentation purposes.

Contract performance measurement will be directly related to the Work Performed and/or Material Control records as entered / maintained by the Contractor. Work invoiced for the benefit of NCDOT must be appropriately supported by such records or payment for such services may be withheld by NCDOT pending resolution of the discrepancies involved.

Contractor is required to maintain detailed records for labor and materials, including employee timecard records, purchase orders, invoices, daily shift logs, etc. NCDOT reserves the right to review all documentation associated with billable items and materials under the scope of this contract. Any “extra work” to be performed by the Contractor must be scoped, estimated, and approved by NCDOT in writing prior to commencement of the work. Any "extra work" billings must also be supported by evidence (unless otherwise agreed by NCDOT) that the Contractor continues to comply with all of its obligations and responsibilities under the Baseline Contract, or such “extra work” billing may be denied by NCDOT. All parties involved (the Contractor & NCDOT Rail Division) shall make a good faith effort to promptly resolve discrepancies in the record-keeping vs. billing systems (typically within 30 days of submission of billing to NCDOT). Payment will not be withheld by NCDOT for non-disputed portions of the monthly billing.

2.38 Subcontracting

Any portion of this scope of work which the Contractor desires to sub-contract must include all terms and conditions as outlined within the contract documents, and such arrangements must only be made with the concurrence of NCDOT Rail Division. This includes maintaining subcontractor consistency, i.e. not switching subcontractors, throughout the duration of the agreement.

At all times that work is being performed, the Contractor shall have present on the project one competent individual who has been authorized to act in a supervisory capacity over all work on the project including work subcontracted. The individual who has been so authorized shall be experienced in the type of work being performed and is to be fully capable of managing, directing and coordinating the work, of reading and thoroughly understanding the contract and of receiving and carrying out directions from NCDOT and its authorized representatives. He/she shall be an employee of the Contractor unless otherwise approved by NCDOT.


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2.39 Contractor Furnished Vehicle:

So as to facilitate the pickup and delivery of parts, equipment and supplies as necessary and to respond to servicing matters at remote locations, the Contractor shall provide a suitable four wheel drive pick-up truck of at least ½ ton capacity. Said vehicle must be no greater than five years old and must be maintained in good working order at all times. Contractor is responsible for all costs to operate, maintain, repair and service such vehicle(s).

2.40 Collective Bargaining Agreements

Any collective bargaining agreements, if any, between the Contractor and its work force associated with this scope of work shall:

a) Only apply so long as NCDOT Rail Division contracts with the Contractor for such services;

b) Provide for NCDOT to perform such services either with state employees, or for “extra work”, with alternate contractors, without regard for such collective bargaining personnel having any “prior rights”, etc. to such work;

c) That work rules, craft restrictions, or other similar restrictive provisions not apply, other than those benefits as state employees typically enjoy (i.e.: sick days, vacation time, bereavement leave, etc.);

d) That any such collective bargaining agent or organization not conduct meetings or other business on state property, either during or after normal working hours;

e) That any such collective bargaining agent be specifically prohibited from any effort or attempt to otherwise organize or represent any existing or future state employees of NCDOT, or any other state agency, or other vendor to the state;

f) That such agreements acknowledge that North Carolina is a “right to work state”, and that membership in any such collective bargaining agency or organization is not mandatory;

g) That all such provisions, terms and conditions, agreements, etc. be fully compliant with North Carolina law.

2.41 Holidays, Sick and Bereavement Leave, Vacations

For official designated State Holidays which fall on a normal work day for the First Shift at Capital Yard, those Contractor employees assigned to that shift shall be granted the holiday off with regular pay (or compensation as may be compliant with the Contractor’s written employment policies). Such authorized holiday leave shall not be subject to deduction for such absences. Such official designated State Holidays shall be as announced by the NC Department of Administration Office of State Personnel.

Those personnel working at outlying points or on the Second and Third Shifts at Capital Yard on an official designated State Holiday shall earn “overtime” pay for that shift (or compensation as may be compliant with the Contractor’s written employment policies), however such extra holiday rate compensation shall not result in additional charges to NCDOT, but shall be incorporated in the “base contract” rates as otherwise provided for within.


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NCDOT Rail Division will recognize the first 40 hours annually of Sick Leave for each Contractor employee, and not make deductions for such unscheduled absences. If the Contractor grants additional Sick Leave (beyond 40 hours annually) by its written employment policies, such additional leave may be granted employees, however the Contractor will be expected to otherwise cover the absence or face deductions for same. In the event of extenuating circumstances (lengthy illness, recovery from accident, etc.), on a case by case basis NCDOT will work with the Contractor for the mutual benefit of the service.

In the event of a death in the immediate family of a Contractor employee, NCDOT Rail Division will recognize the first three days of Bereavement Leave, and not make deductions for such unscheduled absences. If circumstances demand, on a case by case basis NCDOT will work with the Contractor for the mutual benefit of the service.

Vacation leave for Contractor personnel not designated as “Key Positions” may be granted by the Contractor at their discretion in compliance with the Contractor’s employment policies, while assuring that the needs of the service are not compromised. Such leave shall be protected by the Contractor or deductions will apply, since such leave can be scheduled and approved by Contractor management in advance.

Vacation leave for “Key Positions” shall be fully protected at all times by alternate equally qualified staff. Costs relating to temporary transfers of personnel from other locations to provide such protection shall be the responsibility of the Contractor. Costs associated with cross-training for Contractor personnel either from their headquarters or other locations in specific NCDOT policies and procedures or specific technical expertise necessary to protect the service shall be the responsibility of the Contractor.

2.42 Employee Benefits/Insurance

The Contractor shall provide to each employee a benefits package which includes insurance coverage that is fully compliant with the all requirements of the comprehensive health care reform law of 2010 (Affordable Care Act).


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3 Piedmont Passenger Train Schedules

The current Piedmont passenger train schedule to be considered for this contract is noted below. This schedule is effective January 1st, 2020. All trains operate with NCDOT owned rolling stock which shall be maintained by the Contractor

Train operation and schedules will determine work hours of the Contractor.

NCDOT operates two separate trainsets per day. Southbound trainset 73 turns in Charlotte to become the trainset for 74. Southbound trainset 75 turns in Charlotte to become the trainset for 76.

The 73/74 trainset typically lays over at Raleigh Union Station to become the 77/78 trainset of the same day. The Contractor shall dispatch appropriate Capital Yard personnel to Raleigh Union Station to perform required turnaround servicing and cleaning of the 77/78 trainset between the arrival at RGH of train 74 and the departure of train 77 from RGH.

73 75 77 74 76 78 Daily Daily Daily Daily Daily Daily

6:30am 10:00am 3:00pm dp. Raleigh ar. 1:41pm 6:26pm 10:11pm

6:42am 10:12am 3:12pm dp. Cary ar. 1:23pm 6:08pm 9:53pm

7:02am 10:32am 3:32pm dp. Durham ar. 1:03pm 5:48pm 9:33pm

7:38am 11:08am 4:08pm dp. Burlington ar. 12:24pm 5:09pm 8:54pm

8:03am 11:33am 4:33pm dp. Greensboro ar. 12:03pm 4:48pm 8:33pm

8:19am 11:49am 4:49pm dp. High Point ar. 11:44am 4:29pm 8:14pm

8:53am 12:23pm 5:23pm dp. Salisbury ar. 11:11am 3:56pm 7:41pm

9:09am 12:39pm 5:39pm dp. Kannapolis ar. 10:55am 3:40pm 7:25pm

9:40am 1:10pm 6:10pm ar. Charlotte dp 10:30am 3:15pm 7:00pm


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4 Base Contract Scope of Work – Raleigh, NC – Trains 73, 74, 75, 76, 77 & 78

4.1 Operating Schedules

Piedmont trains operate as follows:

Trains 73/74

• Train 73 departs Capital Yard (RCY) at approximately 6:00am daily, then departs Raleigh Union Station (RGH) at 6:30am, and arrives at Charlotte Amtrak Station (CLT) 9:40am

• Train 74 departs Charlotte Amtrak Station at 10:30am daily, then arrives at RGH approximately 1:41pm

• This trainset typically lays over at RGH and then departs as train 77 the same day.

Trains 75/76

• Train 75 departs Capital Yard at approximately 9:30am daily, then departs RGH at 10:00am, and arrives at Charlotte Amtrak Station 1:10pm

• Train 76 departs Charlotte Amtrak Station at 3:15pm daily, then arrives at RGH approximately 6:26pm

• This trainset arrives back at Capital Yard at approximately 7:00pm

Trains 77/78

• Train 77 departs RUS at 3:00pm, and arrives at Charlotte Amtrak Station 6:10pm • Train 78 departs Charlotte Amtrak Station at 7:00pm daily, then arrives at RGH approximately

10:11pm • This trainset arrives back at Capital Yard at approximately 10:30pm

4.2 Consists

The typical Monday-Wednesday consist includes:

• (1) – F59PH or F59PHI Locomotive • (1) – Baggage/Lounge Car • (2) – Coaches • (1) – CCU (or second F59PH or F59PHI Locomotive)

The typical Thursday-Sunday consist includes:

• (1) – F59PH or F59PHI Locomotive • (1) – Baggage/Lounge Car • (3 or 4) – Coaches • (1) – CCU (or second F59PH or F59PHI Locomotive)


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The typical consist may vary depending on that day’s load factor. Consists may also vary in makeup and length due to special events and/or holiday trains. There is no provision for any “extra equipment” charges to add or remove equipment for the Piedmont service (above the “typical consist”, as previously outlined). Any and all equipment in the equipment pool, or its functional equivalent, shall be deemed to be operable as part of the “base contract” on any day, in any combination.

Note: NCDOT reserves the right to substitute other functionally equivalent equipment (“non-pool”) upon notice, should circumstances require such, to protect the service. For example, should “pool” NCDOT equipment be wrecked, damaged and out of service for an extended period, NCDOT may lease other equipment to substitute for its own for the duration, without penalty arising from this agreement.

4.3 Basic Services

The Contractor shall perform all required inspections and preventative maintenance processes through the tri-annual level, daily and trip servicing, running repairs, and air brake COT&S on all equipment listed below (current pool effective 6/1/2020):

• Two (2) F59PHI Locomotives – 1755 and 1797 • Six (6) F59PH Locomotives – 1810, 1859, 1869, 1893, 1871, and 1984 • Five (5) Baggage/Lounge Cars – 400201-400205 • Seven (7) 66 Seat Coaches – 400001-400007 • Seven (7) 56 Seat Coaches – 400008-400014 • Five (5) Cab Control Units – 101-105

The Contractor shall also be responsible for providing inspections and maintenance for all spare and surplus equipment at Capital Yard owned by NCDOT.

During the term of this contract NCDOT may add additional locomotives and/or railcars to the Piedmont fleet. Should that occur, NCDOT will revise the terms of the maintenance and servicing contract with the Contractor on mutually agreed upon revised terms and conditions.

A complete listing of active NCDOT rail equipment is listed in Appendix F – NCDOT Rail Division Equipment List.

4.4 Equipment Repairs and Servicing

The Contractor shall perform all running repairs and daily servicing of the equipment to ensure a safe, clean, comfortable and on-time train service. All such work shall be in compliance with all applicable standards and regulations, performed in a manner which is consistent with FRA, Amtrak, and/or NCDOT policies, standard practices, and instructions, using only approved methods and materials.

The “first shift” (daylight, Mon. – Fri.) shall perform primarily but not exclusively whatever scheduled PM work is necessary, and other equipment repair and/or servicing work on the defined “pool” equipment, even if such work may not now be defined as a separate “job”. It shall be deemed to be the responsibility of this shift to “clear up” the shop and any necessary tracks (or alternate designated locations within the facility) as necessary to facilitate the inbound movement of any train or equipment for running repairs and daily servicing and inspection work.


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The “second and third shifts (Sunday-Saturday nights, daily) shall perform primarily but not exclusively all running repairs and daily servicing and inspection work on the defined “pool” equipment, even if such work may not now be defined as a separate “job”.

Typical practice at Capital Yard is to fuel an inbound consist every other day.

It shall be the responsibility of the General Manager on a daily basis to coordinate work efforts between the different shifts and teams of workers in whatever manner is necessary for the protection of the service.

For more detailed information on inspection schedules for 2020, refer to Appendix A – Maintenance Schedules.

For more detailed information on equipment cleaning tasks (light and heavy), refer to Appendix B – Interior Cleaning Procedures/Tasks.

4.5 Car Wheels

Car wheel change-outs are within the baseline “Scope of Work,” and not subject to any extra charges by the Contractor (car jacks are provided at the Capital Yard in Raleigh). The Contractor shall provide materials management, control and inventory of wheelsets (and associated materials and supplies) including, without limitation, all ordering, shipping, receiving, and proper storage of same, as part of the baseline “Work Scope.” ”Wheel Shop Work” (mounting wheels, brake disks, bearings, etc. on axles, truing of wheels, etc.) is specifically not within the scope of this agreement.

4.6 Locomotive Combos/Wheels

Locomotive combo change-outs (specifically the process to remove and apply combos) will be deemed to be within the “base contract” and not subject to extra work charges. Mounting and dismounting of locomotive roller support bearing equipped wheelsets to traction motors (D87BTR, as applied to F59PHI and F59PH locomotives) shall be provided by the Contractor as part of the baseline “Scope of Work”. Mounting and dismounting of locomotive friction support bearing equipped wheelsets to traction motors (D87B, as applied to F59PH locomotives), shall be provided by the Contractor as part of the baseline “Scope of Work”. The Contractor shall provide materials management, control and inventory of wheelsets and/or combos (and associated materials and supplies) including, without limitation, all ordering, shipping, receiving, and proper storage of same, as part of the baseline “Scope of Work.” The Contractor shall maintain all traction motor brushes, brush holders, sensors, connectors, lubrication, etc. (i.e.: running repair items) on all combos within the baseline “Scope of Work”. ”Wheel Shop Work” (mounting, re-qualifying, and/or replacement of wheels, gears, bearings, etc. on axles,


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truing of wheels, extensive traction motor reconditioning, etc.) is specifically not within the scope of this agreement.

4.7 Piedmont Equipment Washing

Subject to the provision of adequate containment systems, the Contractor shall wash:

a) The carbody of all active Piedmont equipment at Capital Yard in Raleigh twice a week (except when ambient outdoor temperature is below freezing).

b) The carbody of any other inbound equipment (not part of the Piedmont equipment pool) as desired by the respective car owner/operator (if on a “windows only” night, such private equipment washing may be subject to “extra work” charges to the responsible party, as otherwise provided for within).

c) The under-car portions with a heated pressure washing system (to be furnished by the Contractor), and the roof and other carbody areas not accessible without uncoupling the equipment (upper end sheets, for example), as needed;

d) All layover equipment on an as needed basis; and the exterior and interior windows of all in-service Piedmont equipment at Capital Yard in Raleigh on a daily basis.

4.8 Fuel Deliveries

Monitor fuel deliveries to ensure compliance with fueling procedures and verify quantities delivered. Fuel levels shall be monitored to ensure locomotives are fully fueled. Fuel costs are the responsibility of NCDOT.

From time to time, NCDOT may enter into fuel and emissions test programs with other government agencies and/or universities. Contractor shall be responsible for dispensing the alternate fuels into NCDOT locomotives as part of the base scope of work.

4.9 Use of Containment Systems

The Contractor shall:

a) Wash equipment exteriors only while located over approved containment systems (including “windows only” exterior cleaning); and

b) Locate all locomotives laying over at Capital Yard in Raleigh over approved containment systems except as necessary for switching or other movement. Locomotives may be temporarily (i.e., for a shift) moved off approved containment systems only as necessary for yard operations provided that suitable alternate groundwater protection is established and maintained during any such relocation.

4.10 Layover Equipment

The Contractor shall be responsible for maintaining all layover equipment in a “state of readiness,” i.e., capable of serving as protective equipment on notice of less than two (2) hours except where such layover


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equipment is out of service due to an ongoing inspection or servicing. All cutting or adding of layover equipment to consist is part of the baseline “Work Scope” for which the Contractor may not submit any additional charges. The Contractor may not submit any additional charges for any days “extra” cars or locomotives as may be necessary to meet temporary increased demands beyond that as outlined as being the “typical” consist. The Contractor shall maintain all layover equipment on wayside power and yard air unless necessary for movement of equipment. Outbound consists shall be removed from wayside power at least one hour prior to departure. The Contractor’s supervisor/foreperson shall inspect all layover equipment at the end of each shift to ensure that all equipment is secured from movement, end of car safety gates are closed and secured, and the equipment is properly protected from damage. When functional and freezing conditions exist, or are predicted, freeze protection layover systems shall be activated on all equipment.

4.11 Terminal Switching

All terminal switching at the Capital Yard in Raleigh shall be provided by the Contractor using assigned locomotives, without additional charge.

Any and all terminal switching at Capital Yard, for any NCDOT owned equipment, on any shift (as otherwise provided for) shall be deemed to be part of the “base contract”, without regard to active status, or otherwise.

Note that such switching of both cars and locomotives requires full compliance with 49 C.F.R. Part 240 by the Contractor personnel qualified as locomotive engineers and full compliance with 49 C.F.R. Part 242 by the Contractor personnel qualified as conductors under the Contractor’s certification plan and/or federal requirements.

All such movements shall be made in compliance with operating rules as published by the Contractor and/or designated special instructions issued by NCDOT Rail Division, whichever is more restrictive.

4.12 Watering Stations

The Contractor shall maintain and monitor all watering stations from hydrant to end of hose.

4.13 Refuse

The Contractor shall provide waste removal services at Capital Yard, including, without limitation, solid waste and recyclable materials. The Contractor shall provide dumpster(s) and shall comply with NCDOT regulations (1) for the placement of dumpsters including, without limitation, their distance from train and buildings, and (2) with all dumping procedures. The Contractor shall practice due diligence to assure that recyclable materials are properly segregated from other solid waste, including as a minimum: Corrugated Cardboard; Aluminum; Glass; Newsprint; Office Paper (white); Iron and Steel; pallets and other wood packaging materials (NCDOT to retain any resulting salvage value).


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Any such waste removal services are for the entire facility, inclusive.

4.14 Inbound Consist Servicing

All inbound consists shall have all trash removed, all toilets dumped and serviced as per OEM recommendations, and all potable water systems topped off.

4.15 Restocking of Literature

The Contractor shall restock the schedule/literature holders, seat notices, etc., with literature furnished by NCDOT and place signage or other display materials as needed.

4.16 Restocking of Lounge Car Vending Machines

Unless otherwise provided for, the Contractor shall restock the lounge car with such snack and beverage supplies as directed by NCDOT. Contractor shall also track and record snack and beverage supply quantities stocked on cars.

Contractor shall be responsible for provisioning and removal of coin stock from the vending machines in accordance with the Rail Division Business Office requirements. All coin stock and revenue shall remain the property of NCDOT.

4.17 Uniforms

Contractor shall provide uniforms for all employees.


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5 Base Contract Scope of Work – Charlotte, NC – Trains 73, 74, 75, 76, 77 & 78

5.1 Operating Schedules

Piedmont trains operate as follows:

Trains 73/74

• Train 73 arrives at Charlotte Amtrak Station 9:40am daily, then is normally serviced on the main tracks (1 or 2).

• Train 74 departs the service track at approximately 10:15am, then departs Charlotte Amtrak Station at 10:30am daily.

Trains 75/76

• Train 75 arrives at Charlotte Amtrak Station 1:10pm daily, then parks on the service track at approximately 1:30pm. This consist may also be serviced on the main tracks (1 or 2) depending on the arrival time.

• Train 76 departs the service track at approximately 2:55pm, then departs Charlotte Amtrak Station at 3:15pm daily.

Trains 77/78

• Train 77 arrives at Charlotte Amtrak Station 6:10pm daily, then is normally serviced on the main tracks (1 or 2).

• Train 78 departs the service track at approximately 6:45pm, then departs Charlotte Amtrak Station at 7:00pm daily.

5.2 Services

The Contractor shall perform the following functions daily at Charlotte:

5.2.1 Locomotive Inspection:

Perform inspection of locomotives as required in compliance with 49 C.F.R. Part 229.

5.2.2 Brake System Tests:

Perform inspection of all brake systems as required in compliance with 49 C.F.R. Parts 229 and 238.

5.2.3 Repairs / Servicing:

Perform all running repairs and daily servicing to equipment to ensure safe, clean, comfortable and on-time train service. Work shall be compliant with all applicable standards and regulations, performed in a manner which is consistent with FRA, and/or NCDOT policies, standard practices, and instructions, using only approved methods and materials.


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5.2.4 Toilet System Service:

Perform toilet dumping on an as needed basis as per OEM recommendations.

5.2.5 Potable Water Service:

Water cars on an as needed basis according to Amtrak standards.

5.2.6 Turnaround Cleaning:

Perform turnaround cleaning of equipment according to Amtrak Car Cleaning Standards (MCC-004).

5.2.7 Refuse:

Remove all trash and recyclable materials from equipment.

5.2.8 Restocking Of Literature:

Restock schedule/literature holders, seat notices, etc., with literature furnished by Amtrak / NCDOT and place signage, or other display materials as needed.


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6 Maintenance Analysis Forms

All work on Piedmont Pool equipment (as defined in Section 3, Item 1 “Basic Services”), equipment service records, defects and corrective actions, etc. shall be documented by the Contractor using NCDOT’s computer system, or NCDOT approved alternate. The Contractor may at its option also use its own documentation systems, provided that such effort shall not result in additional charges to NCDOT (subject to the approval of NCDOT).

Such procedures (jobs) include:

Frequency (days) Job Title Daily 0001 Day Car PM/Inspection Daily 0001 Day Loco PM/Inspection Daily 0001 Day Turnaround Cleaning / Inspection

90 0090 Day Loco PM/Inspection 180 0180 Day Car PM/Inspection 180 0180 Day Loco PM/Inspection 360 0360 Day Car PM/Inspection 360 0360 Day Loco PM/Inspection 720 0720 Day Loco PM/Inspection

1080 1080 Day Loco PM/Inspection 1472 1472 Day Loco PM/Inspection 1476 1476 Day Car COT&S

Note: PM services for CCUs are also required. Inspection points and frequencies are to be determined.

While all related effort for these procedures shall be tracked using the current NCDOT computer based solution (including associated forms, reports, etc.), the existing locomotive cab forms (Amtrak MAP 100/ 101, 1173/10C, etc.) will continue to be manual, paper-based forms provided and executed by the Contractor.

Procedures defined within the NCDOT computer system (Jobs and related Tasks) are similar to these Amtrak defined Maintenance Analysis Procedures (MAP), and will be made available to prospective offerors at the mandatory pre-proposal conference. Offerors are specifically cautioned that all Piedmont equipment (as outlined within) shall be maintained in strict compliance with (in order of precedence):

1 – Federal Regulations (C.F.R. Title 49, FRA, etc.), and

2 – NCDOT Policies and Procedures.

Note that the “locomotive” forms (Amtrak MAP 100/ 101 and 1173/10C) will continue to be “manual, paper based” forms, and shall be completed by the Contractor as part of the “base contract”.


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7 Contractor Position Descriptions

The “Required Staff Levels” are the specific reference for the minimum requirement at each location for contract compliance.

7.1 Training, Qualification, and Designation Program

The current Training, Qualification, and Designation Program (49 C.F.R. § 238.109) as adopted by NCDOT Rail Division Operations Branch shall govern the minimum standards acceptable for any given position as outlined within and shall be interpreted as being adopted by reference as part of this contract.

The following personnel meeting the job descriptions and having the qualifications and/or certifications pertinent to each such position shall be provided by the Contractor under this Contract:

7.2 Position Descriptions

7.2.1 General Manager (GM/QMS)

• Qualified Maintenance Supervisor (QMS) is a supervisory role and means a qualified person who has received, as a part of the training, qualification, and designation program required under 49 C.F.R. § 238.109, instruction and training that includes hands-on experience, under appropriate supervision or apprenticeship, in one or more of the following functions: troubleshooting, inspection, testing, maintenance, or repair of the specific train brake and other components and systems for which the person is assigned responsibility. This person shall also possess a current understanding of what is required to properly repair and maintain the safety-critical brake or mechanical components for which the person is assigned responsibility. Further, the GM/QMS shall be a person whose primary responsibility includes supervisory work generally consistent with the above-referenced functions.

7.2.1.1 GM/QMS Responsibilities The GM/QMS shall:

a) Be the single point of contact for contract administration issues; b) Work at the Capital Yard in Raleigh, NC; c) Report to the NCDOT Rail Mechanical Services Contract Manager; d) Meet all the qualification and certification requirements for Shift Forepersons (QMS); e) Meet all the qualification and training requirements for the MCM; f) Be fully qualified and capable of using such Work Management Systems software as NCDOT shall

implement as related to this agreement; g) Implement a comprehensive personnel safety program and mechanical operation work plan; h) Have overall active supervision of mechanical services and personnel at all locations; i) Coordinate Shift Forepersons at Raleigh and Charlotte; j) Supervise the MCM and AA; k) Assign and plan work to meet production schedules;


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l) Attend to all quality assurance issues; m) Ensure compliance with all FRA regulations; n) Coordinate with local NCDOT Rail Mechanical Services Contract Manager to ensure adequate

equipment to protect revenue seat inventory, sales and special events; o) Coordinate with NCDOT Mechanical Engineering Department to ensure equipment defects and

repairs are documented; p) Implement material control procedures and ensure material availability for all locations, purchasing

and procurement of materials and tools as required; q) Ensure material is received properly and stocking levels are correct; r) Be familiar with State purchasing procedures; s) Manage MC Stockroom Clerks for efficiency in material system; t) Produce required reports, conduct periodic physical inventory and comply with audits and

inspections; u) Ensure MCM position is covered during absence of MCM; and v) Ensure clean and safe work areas and environment.

7.2.2 Shift Foreperson (QMS)

• There shall be a first, second, and third Shift Foreperson at Capital Yard in Raleigh, NC, and one Shift Foreperson at the Charlotte Service Facility in Charlotte, NC.

• The Raleigh and Charlotte Shift Forepersons report to the Raleigh GM/QMS. • Each Shift Foreperson shall be further trained in both Mechanical and Electrical Trades Work (while

specializing in one).

7.2.2.1 Raleigh First Shift Foreperson Responsibilities The Raleigh First Shift Foreperson shall:

a) Supervise the Preventative Maintenance and Cycle Cleaning Work on Cars and Locomotives; b) Supervise all shop maintenance and repairs including re-wheeling, de-trucking, and heavy

maintenance on cars and locomotives; c) Maintain up-to-date maintenance records of all cars and locomotives; d) Supervise all first shift employees with special attention to safety issues; e) Maintain hours of service log if applicable; f) Communicate with General Manager and other shift forepersons on all maintenance and

operational issues; g) Provide support for material control functions as necessary; and h) Ensure clean and safe work areas and environment.

7.2.2.2 Raleigh Second and Third Shift Foreperson Responsibilities The Raleigh Second and Third Shift Foreperson shall:

a) Perform Quality Assurance Inspection upon arrival and prior to departure of each consist; b) Supervise/perform running repair and inspections for all cars and locomotive; c) Supervise cleaning on layover equipment;


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d) Supervision of all shift employees with special attention to safety issues; e) Perform Preventative Maintenance functions when required; f) Communicate with GM/QMS and other Shift Foreperson on all maintenance and operational issues; g) Provide assignments and scheduling of employees; and h) Ensure clean and safe work areas and environment.

7.2.2.3 Charlotte Shift Foreperson Responsibilities The Charlotte Shift Foreperson shall:

a) Perform Quality Assurance Inspection prior to departure of all consists; b) Supervise/Perform running repair and inspections for all cars and locomotives; c) Supervise cleaning on turnaround equipment; d) Supervision of all shift employees with special attention to safety issues; e) Communication with GM/QMS and other Shift Forepersons on all maintenance and operational

issues; f) Provide assignments and scheduling of employees; g) Maintain Hours of Service Log if applicable; h) Receive and send material transfers to/from other storerooms as required; i) Issue inventory items as required; j) Check tools in/out as required; k) Maintain local inventory at appropriate levels to protect the service; and l) Ensure clean and safe work areas and environment.

7.2.3 Relief Foreperson DLSE/Relief/QMS

• Working technician / foreperson • Normally located at Capital Yard, Raleigh, NC, but may work as assigned. • Reports to the Raleigh General Manager • Shall be further trained in both Mechanical and Electrical Trades Work (while specializing in one).

7.2.3.1 Responsibilities The DSLE/Relief/QMS shall:

a) Comply with the corresponding responsibilities for the position being protected; b) Normally be assigned to the First Shift at Raleigh but may be assigned to other shifts / locations as

necessary to protect the service; c) Perform the duties of a DSLE, at the discretion of the GM/QMS; d) Communicate with GM/QMS and other shift forepersons on all maintenance and operational

issues; and e) Ensure clean and safe work areas and environment.

7.2.4 PTC Technician/Electrician (PTC/E)

• Ensures PTC systems on locomotives and CCUs are maintained in good mechanical and operational state.

• Also functions as electrical technician for regular equipment pool. • Normally located at Capital Yard, Raleigh, NC, but may work as assigned.


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• Reports to the Raleigh General Manager

7.2.4.1 PTC/E Responsibilities The PTC/E Technician shall:

a) Have working knowledge of locomotive airbrake and electrical systems; b) Have working knowledge of PTC system components and their operation; c) Install, verify, test, and troubleshoot PTC equipment and software; and d) Collaborate with DSLE/Supervisors, the PTC Compliance Officer, and the Mechanical Engineering

Department to ensure compliance of all applicable Federal regulations pertaining to the PTC systems on locomotives and CCUs.

7.2.5 Materials Control Manager (MCM)

• Manages the daily activities of the material control department and warehouse areas. • Located at Capital Yard, Raleigh, NC. • Reports to General Manager.

7.2.5.1 MCM Responsibilities The MCM shall:

a) Monitor and direct the work of the MC Stockroom Clerks (as necessary on all shifts); b) Complete the procurement of tools, materials, and supplies (including, without limitation, research,

obtaining quotations, entering new item records, creating purchase orders, placing orders with vendors, etc.);

c) Maintain files and records relating to the procurement of goods and services; d) Follow NCDOT Policies, Procedures, and Practice relating to Material Control; e) Work directly with the NCDOT Rail Mechanical Services Contract Manager and Rail Division

Business office regarding procurement issues to be addressed; f) Perform record-keeping as required; g) Monitor the performance of cycle counts of items as required; h) Prepare reports, summaries, etc. as required; i) Other duties as assigned which do not negatively impact primary material control tasks; and j) Produce required reports, conduct periodic physical inventory and comply with audits and

inspections.

7.2.6 Materials Control Stockroom Clerk (MC)

• Maintains inventory levels, stocking of material, checking in/out of tools, updates computer systems.

• Located at Capital Yard, Raleigh, NC. • Reports to MCM (if assigned to 3nd shift, reports to Shift Foreperson).

7.2.6.1 Responsibilities The MC Stockroom Clerk shall:


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a) Receive materials; b) Issue inventory items; c) Check tools in/out as required; d) Pack items for shipping, including preparation and completion of associated paperwork; e) Transfer items from one stockroom to another as required; f) Prepare material kits; g) Perform record-keeping as required; h) Perform cycle counts of items as required; i) Prepare reports, summaries, etc. as required; j) Maintain clean and orderly work area; k) Other duties as assigned which do not negatively impact primary material control tasks; and l) Provide coverage of MCM duties during MCM’s absence.

7.2.7 Administrative Assistant (AA)

• Located at Capital Yard, Raleigh, NC. • Reports to General Manager.

7.2.7.1 AA Responsibilities The AA shall:

a) Process such data and records as assigned by the GM/QMS; b) Maintain files and records relating to duties as assigned; c) Prepare reports, summaries, etc. as required; d) Assist the MCM with regard to Accounts Payable processing; and e) Other duties as assigned.

7.2.8 Qualified Maintenance Person (QMP)

• QMP means a qualified person who has received, as a part of the training, qualification, and designation program required under 49 C.F.R. § 238.109, instruction and training that includes hands-on experience, under appropriate supervision or apprenticeship, in one or more of the following functions: troubleshooting, inspection, testing, maintenance, or repair of the specific train brake and other components and systems for which the person is assigned responsibility. This person shall also possess a current understanding of what is required to properly repair and maintain the safety-critical brake or mechanical components for which the person is assigned responsibility. Further, the GM/QMS shall be a person whose primary responsibility includes work generally consistent with the above-referenced functions.

• Performs mechanical inspections and running repairs on equipment including cars and locomotives. • Located at Capital Yard, Raleigh, NC and/or at Charlotte, NC • Reports to Shift Foreperson. • Shall have demonstrated specialized competencies in either Mechanical or Electrical Trades Work. • At least one QMP shall be a certified welder.


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7.2.8.1 QMP Responsibilities The QMP shall (according to their area of specialization):

a) Perform all required air brake tests; b) Perform Daily Inspections of Locomotives; c) Perform layover inspections of cars and locomotives; d) Maintain Hours of Service Log as required; e) Perform running repairs to cars and locomotives per standards; f) Perform Preventative Maintenance Inspections on both car and locomotives; g) Determine restrictions to movement of defective equipment; h) Perform welding, cutting, brazing, and/or other pipefitting or fabrication work as required; i) Resolve (troubleshoot) electrical problems on both car and locomotives; j) Inspect, troubleshoot, and repair air conditioning and refrigeration systems; k) Operate locomotives in compliance with Engineer Certification Requirements; and l) Clean and wash equipment.

7.2.9 Qualified Person (QP)

• Qualified Person means a person who has received, as a part of the training, qualification, and designation program required under 49 C.F.R. § 238.109, instruction and training necessary to perform one or more functions required under this part. The Qualified Person performs duties in a railroad environment for the Contractor. The Contractor is responsible for determining that the person has the knowledge and skills necessary to perform the required function for which the person is assigned responsibility. The Contractor determines the qualifications and competencies for employees designated to perform various functions in the manner set forth in this part. Although the rule uses the term “qualified person” to describe a person responsible for performing various functions required under this part, a person may be deemed qualified to perform some functions but not qualified to perform other functions. For example, although a person may be deemed qualified to perform the Class II brake test required by this part, that same person may or may not be qualified to perform the Class IA brake test or authorize the movement of defective equipment under this part. The Contractor will determine the required functions for which an individual will be deemed a “qualified person” based upon the instruction and training the individual has received pursuant to 49 C.F.R. § 238.109 on a particular function.

• Assist Shift Foreperson and QMP with running repairs on equipment including cars and locomotives.

• Located at Capital Yard, Raleigh, NC. • Reports to Shift Foreperson

7.2.9.1 QP Responsibilities The QP shall:

a) Assist with Daily Inspections of cars and locomotives; b) Assist with layover inspections of cars and locomotives; c) Maintain Hours of Service Log as required; d) Assist with running repairs to cars and locomotives per standards; e) Assist with Preventative Maintenance Inspections on both car and locomotives;


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f) Perform those inspection processes as permitted under 49 C.F.R. Part 238 for QP designated technicians; and

g) Clean and wash equipment.

7.2.10 Cleaner/Entry Level (C/EL)

• Performs layover and preventative maintenance cleaning of all passenger cars and locomotives and maintains the Capital Yard Facility.

• Located at Capital Yard, Raleigh, NC. (optionally, at Charlotte, NC). • Reports to Shift Foreperson.

7.2.10.1 C/EL Responsibilities Each C/EL shall:

a) Perform layover and Preventative Maintenance Cleaning; and b) Perform cleaning of facility as required.


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8 Required Staff Levels

The following staffing levels constitute the minimum required daily staff to maintain contract compliance. The Contractor may be required to provide additional staff to ensure that the level of service as defined and required in the “Scope of Work” is adequately protected and assured. The following only outlines the minimum required staff positions; these do not necessarily equate to the minimum number of employees that may be required. All positions are to be covered by sufficient staffing to avoid consistent overtime, double shifts, etc. by either staff or supervisors. All overtime is required to be pre-approved by NCDOT. NCDOT reserves the right to refuse payment for non-approved overtime (emergency situations are excepted from this requirement).

Note:

Each shift shall be scheduled to allow one half hour overall for non-paid (off the clock) meal and/or break periods (for full-time personnel). Non work related activities (i.e. consumption of snacks, personal phone calls, etc.) shall be confined to either the designated meal and/or break periods. Such meal and/or break periods may be scheduled during the shift at the discretion of the Contractor, however all personnel on that shift shall be governed by the same schedule. Employees shall be required to clock out when leaving the property for non work related reasons.

The Contractor shall propose and set lunch and break schedules accordingly for the various shifts.

At the discretion of the Contractor, the “teams” as outlined below may be periodically rotated either between first and second shifts, or in the case of second shift, between the Sunday through Wednesday and/or Wednesday through Saturday schedules, so long as such positions are adequately protected (including compliance with Hours of Service requirements).

8.1 Piedmont Service

The General Manager shall be scheduled to work a nominal 40 hour work week, and shall rotate their day to day schedule so as to provide adequate observation / supervision of all scheduled personnel as necessary on all shifts, at all locations, including nights, weekends, holidays, etc. Except for scheduled vacations, family emergencies, doctor appointments, etc., the General Manager shall be considered to be “on call” on a “24/7” basis. The specific work schedule shall be at the discretion of the General Manager, as necessary to protect the service. As required, the General Manager shall co-ordinate with the NCDOT Rail Mechanical Services Contract Manager as to specific details.

8.2 Personnel Designations

Current examples of minimum personnel levels at each service location for each shift and each day of the week are noted below. Employees shall be required to adhere to shift schedules set by the Contractor. The Contractor may propose alternate shift schedules for protection of the service on a 24/7, 365 day a year basis.


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8.2.1 Raleigh First Shift

• Five (5) – 8 hour days for each position o Hours – 6:00am – 2:30pm

Position Sun Mon Tue Wed Thu Fri Sat

Foreperson (A or B)1 X X X X X

Relief QMP 2 X X X X X

QMP (A or B) 1 X X X X X

QP X X X X X

Relief Foreperson/DSLE 2 X X X X X

PTC Technician/Electrician X X X X X

Administrative Assistant X X X X X

Materials Manager X X X X X

Clerk X X X X X

Cleaner X X X X X

Note 1 – If scheduled Foreperson is "A" (mechanical), then QMP will be scheduled as "B" (electrical), and vice versa.

Note 2 – Normally scheduled for 1st shift, but may be assigned as necessary to protect the service.

8.2.2 Raleigh Second Shift

• Four (4) – 10 hour days for each mechanical position o Hours – Sunday to Wednesday Group

Sunday – 8:00am – 7:30pm Monday, Tuesday – 9:00am – 7:30pm Wednesday – 10:00am – 6:30pm

o Hours – Wednesday to Saturday Group Wednesday – 10:00am – 6:30pm Thursday, Friday– 9:00am – 7:30pm Saturday – 8:00am – 7:30pm

• Five (5) – 8 hour days for cleaners o Hours – 4:00pm – 12:30am


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QMP X X X X

QMP X X X X

QP X X X X

QP X X X X

Cleaner X X X X X

Cleaner X X X X X

8.2.3 Raleigh Third Shift

• Four (4) – 10 hour days for each mechanical position o Hours – 7:30pm – 6:00am

• Five (5) – 8 hour days for cleaners o Hours – 9:30pm – 6:00am

• Five (5) – 8 hour days for clerk o Hours – Monday-Wednesday – 10:00pm – 6:30am o Hours – Sunday & Thursday – 9:00pm – 5:30am


Foreperson (A) X X X X

Foreperson (B) X X X X

QMP (A) (2) X X X X

QMP (B) (2) X X X X

QP X X X X

QP X X X X

Clerk X X X X X

Cleaner X X X X X

Cleaner X X X X X

Cleaner X X X X X


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8.2.4 Charlotte – All Piedmont Trains

• Four (4) – 10 hour days for each mechanical position o Hours – 9:00am – 7:30pm


Charlotte Foreperson (QMS) X X X X

Charlotte QMP X X X X

Part Time Cleaner (2) X X X X X X X


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9 "Extra" Work

Circumstances are likely to arise which will require services to be performed by the Contractor that are outside the Scope of Work defined in this RFP (the "Baseline Contract").

9.1 Chargeable to NCDOT

All such "extra" work for NCDOT must meet each of the following minimum requirements:

• Be specifically requested in writing by the NCDOT Rail Division. • Not have any negative impact, direct or indirectly, on the Contractor’s "regular" work unless

specifically agreed to in writing by the NCDOT Rail Division. • Be approved in writing by the NCDOT Rail Division prior to commencement. • Be fully documented with the currently implemented computerized recordkeeping system.

9.2 Invoicing for Extra Work:

If an agreement for such extra work is concluded between the Contractor and NCDOT, the Contractor shall submit to NCDOT management specified in this Contract such progress reports as may be requested. The Contractor shall bill NCDOT for such "extra" work within thirty (30) calendar days of completion. However, for projects extending over several months, the Contractor shall bill NCDOT on a monthly basis for work completed and accepted by NCDOT through the end of that current month. Any given invoice for extra work shall specifically reference the NCDOT Work Order Number(s) associated with that invoice.

All such billing for "extra" work shall comply with all applicable regulations, NCDOT policies and procedures, and shall be subject to audit and full disclosure (as per North Carolina law).

Additional or "extra" work subject to additional or extra charges to NCDOT may include (but not be limited to):

• Inspection / preventative maintenance procedures above and/or beyond those at the "tri-annual" level for any NCDOT-owned equipment or the Baseline Contract.

• Servicing special trains or other operations by NCDOT in addition to those specified in the Baseline Contract.

• Servicing additional NCDOT-owned equipment not now in the "active" equipment pool specified in the Baseline Contract.

• Other technical services as may from time to time be specifically agreed upon by NCDOT/Amtrak and the Contractor.

• Repainting of equipment (touch up and repairs due to vandalism are considered part of the normal workscope).

• Major accident/wreck repairs.

9.3 Chargeable to Amtrak/Others:

The Contractor may use "state-owned" facilities, tools, materials, or supplies only to:


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• Service privately owned equipment connecting to/from trains 73/74, 75/76, 77/78, 79/80, or other NCDOT approved special operations.

• Service on an “emergency basis” other Amtrak equipment operating in the area (other than as provided for in the Baseline Contract, i.e. Trains 73/74, 75/76, and 77/78).

• Service Amtrak owned equipment as part of Trains 73/74, 75/76, 77/78, and 79/80 equipment pool, as may be otherwise agreed upon by NCDOT and Amtrak.

Conditions precedent to performing any “extra” work using “state-owned” facilities, tools, materials, or supplies include:

• Work on NCDOT owned equipment shall take precedence over all other work. • Such “extra” work does not negatively affect normal or otherwise scheduled operations. • A prompt, complete accounting is made to NCDOT on labor, materials, and supplies consumed using

the currently implemented computerized records system.

All work, other than as required in the Baseline Contract, on equipment not owned by NCDOT is governed by the Standard Operating Procedure, Private Car Storage at Capital Yard, issued August 1996 (or as amended).


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10 Appendix A – Maintenance Schedules


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11 Appendix B – Interior Cleaning Procedures/Tasks


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12 Appendix C – Amtrak/NCDOT Insurance Excerpts

The State has entered into one or more contracts with third parties (each a “Contractor”) for the maintenance and/or service of State-owned or leased rail equipment used in the Section 209 Piedmont Service. The State shall assure throughout the term of this Agreement that the Contractor:

(a) complies fully with all applicable requirements of 49 C.F.R. Part 238 and all other

applicable laws and regulations; (b) maintains the equipment and all components (e.g., heating and cooling systems) in safe

and reliable operating condition, performs repairs as needed (including any repairs or modifications required by applicable laws and regulations) and performs housekeeping functions to provide a clean and sanitary condition on the exterior and interior of the equipment, including windows (“Operational Condition”);

(c) delivers the needed equipment in Operational Condition to Amtrak in a timely fashion

so that Amtrak can meet the schedule set forth in Appendix I; (d) agrees to defend, indemnify and hold harmless Amtrak and any railroad over which

State-owned or leased equipment is operated (each an “Operating Railroad”), their respective officers, directors, employees, agents, servants, successors, assigns and subsidiaries (collectively, “Indemnitees”), from and against any and all losses and liabilities, penalties, fines, forfeitures, demands, claims, causes of action, suits, costs, and expenses incidental thereto (including costs of defense and attorneys' fees) (collectively, “Losses”), which any or all of them may hereafter incur, be responsible for or pay as a result of injury, death, disease, or occupational disease (“Personal Injury”) to any person (including Contractor's employees), and for damage to or loss (including loss of use) of any property (including property of Contractor's employees and the parties hereto) (“Property Damage”), arising out of or in any degree directly or indirectly caused by or resulting from activities of or services performed by Contractor or Contractor's officers, employees, agents, servants, subcontractors, sub-subcontractors or the employees of any of them, or any other person acting for or by permission of Contractor (collectively, “Contractor's Agents”); provided however

1. Contractor shall be obligated to defend and indemnify the Indemnitees for Losses as a result

of Personal Injury to Contractor or Contractor’s Agents, or the employees of any of them, and Property Damage to property of Contractor or Contractor’s Agents regardless of cause or the negligence of State or Indemnitees.

2. Contractor shall not be obligated to indemnify the Indemnitees for Losses as a result of

Personal Injury to Amtrak employees or property damage to property of Amtrak or Amtrak employees regardless of cause or the negligence of Contractor or Contractor’s Agents.

3. That with respect to Losses as a result of Personal Injury or Property Damage suffered by

any person or entity, other than Contractor or Contractor's Agents or State, Contractor shall not be obligated to indemnify an Indemnitee to the extent such Losses were caused by the negligence, gross negligence or willful misconduct of that Indemnitee.


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4. Contractor’s duty to indemnify and insure the contractual liabilities assumed in this Subsection (d) shall not exceed the then-current statutory cap set forth in 49 USC §28103(a)(2), currently $294,278,983 per occurrence, with a $294,278,983 annual aggregate, as adjusted by the Secretary of Transportation at 81 Fed.Reg.1289 (January 11, 2016).

(e) where any lack of insurance coverage is due to the Contractor's failure to procure or

maintain insurance of the types and with the minimum limits required by Section 5(f) hereof, Amtrak shall have the right to halt the Service until such lack of insurance is cured. Contractor shall procure endorsements to its general liability policies that provide the following: (1) that Contractor's insurance carrier shall provide sixty (60) days’ notice to Contractor, the State, Amtrak and the other Indemnitees before terminating, amending and/or canceling any specific coverages including endorsements required under Sections 5(d), 5(e), 5(f) and 7(c) hereof for any reason; (2) (a) if any named insured requests cancellation of insurance, Contractor's insurer shall immediately notify Contractor, Amtrak, the State and the Operating Railroads (in the manners and at the locations listed below) of such request for cancellation, and (b) such insurance shall not be cancelled unless and until Contractor, Amtrak, the State and the Operating Railroads have given in writing their consent to such cancellation; and (3) that all notice contemplated by this Section shall be provided by certified mail, facsimile transmission, and electronic mail delivered as follows:

For the State: Director, Rail Division

North Carolina Department of Transportation Transportation Building 1 South Wilmington Street 1553 Mail Service Center Raleigh, NC 27699-1553 Facsimile: (919) 715-6580

For Amtrak: Director, Risk Management

National Railroad Passenger Corporation 1 Massachusetts Ave., NW Washington, D.C. 20001 Manager State Supported Corridors National Railroad Passenger Corporation 510 W. Martin Street, Suite 130 Raleigh, NC 27603

For Norfolk Southern: Director, Joint Facilities / NRPC Officer

Norfolk Southern Corporation 1200 Peachtree Street, NE, Box 158 Atlanta, Georgia 30309 Telephone: (404) 529-1813

mailto:


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For CSX Transportation: Vice President Passenger Operations 500 Water Street Jacksonville, FL Facsimile: (904) 245-2128

For Contractor: _______________________

_______________________

(f) Procures and maintains, at no cost to Amtrak or any Operating Railroad, during the entire period that it maintains and/or services State-owned rail equipment, the types of insurance specified below. The Contractor shall submit to Amtrak certificates of insurance giving evidence of the required coverages prior to the effective date of this Agreement and shall maintain the required coverages throughout the term of this Agreement and any extension thereof. All insurance shall be procured from insurers authorized to do business in the jurisdiction where operations are to be performed. The Contractor shall require all subcontractors to carry the insurance required herein, or may, at its option, provide the coverage for any or all subcontractors and, if so, the evidence of insurance submitted shall so stipulate. The insurance shall provide for thirty (30) days prior written notice to be given to Amtrak and each Operating Railroad in the event coverage is substantially changed, canceled or non-renewed. If the insurance provided is not in compliance with all the requirements herein, Amtrak maintains the right to cease operation of the Service until proper evidence is provided. Upon request, Amtrak shall be provided with copies of the applicable policies of insurance, and endorsements for the required coverages. In no event will Amtrak operate the Service until it has received a copy of the contract evidencing Contractor's indemnification obligations to Amtrak and the required evidence of insurance as specified in the proceeding sentence. During the term of this Agreement the State shall provide or cause its Contractor to provide copies of policies of insurance (or if unavailable, binders adopting the same) required hereunder upon written request of Amtrak within ten (10) days or such other time as agreed to the parties.

Evidence of insurance shall be submitted to:

Director, Risk Management Finance Department National Railroad Passenger Corporation 1 Massachusetts Ave., NW Washington, D.C. 20001

Workers' Compensation Insurance

A policy complying with the requirements of the statutes of the jurisdiction(s) in which the

contract work will be performed, covering all employees of the Contractor. Employer's Liability coverage with limits of liability of not less than $1,000,000 each accident or illness shall be included.


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General Liability Insurance and Excess Liability Insurance

A policy issued on an occurrence basis to and covering liability imposed upon the Contractor

with respect to all work to be performed and all obligations assumed by the Contractor under the terms of its contract with the State. Products-completed operations, independent contractors, and contractual liability coverages are to be included, and all railroad exclusions are to be deleted. If any machinery, equipment, storage containers or anything else that has the potential for releasing contaminants (e.g., fuels, lubricants, etc.) into the environment will be brought onto the job site, the policy shall be endorsed to provide coverage for sudden and accidental pollution. Amtrak and each Operating Railroad are to be designated as additional insureds with respect to operations to be performed in connection with the Contractor's contract with the State. Coverage under this policy, or policies, shall have limits of liability of not less than the then-current statutory cap set forth in 49 USC §28103(a)(2), as adjusted by the Secretary of Transportation at 81 Fed.Reg.1289 (January 11, 2016), currently $294,278,983 per occurrence, combined single limit for bodily injury (including disease or death), personal injury and property damage (including loss of use) liability, with a $294,278,983 annual aggregate, as adjusted by the Secretary of Transportation at 81 Fed.Reg.1289 (January 11, 2016), and a deductible/retention acceptable to Amtrak to be paid by the Contractor and/or the State.

Automobile Liability Insurance

A policy issued to and covering the liability of the Contractor arising out of the use of all owned, non-owned, hired, rented or leased vehicles which bear, or are required to bear, license plates according to the laws of the jurisdiction in which they are to be operated, and which are not covered under the Contractor's General Liability Insurance. The policy shall designate Amtrak and each Operating Railroad as additional insureds with respect to operations to be performed in connection with the Contractor's contract with the State. Coverage under this policy (or policies) shall have limits of liability of not less than $5,000,000 per occurrence, combined single limit for bodily injury and property damage liability.

Property Insurance

A policy issued to the Contractor to protect its interest in the equipment (excluding any State-

owned or leased rail equipment) to be used in performance of the Contractor's contract with the State, covering all risks of physical loss or damage to such equipment. The coverage under such policy shall have limits of liability adequate to protect the value of the equipment on a replacement cost basis. Amtrak and each Operating Railroad are to be designated as additional insureds as their interests may appear and the policy shall contain a waiver of subrogation against Amtrak and each Operating Railroad, their respective employees and agents.

Pollution Liability Insurance A policy issued to and covering the liability of the Contractor arising out of the pollution or

impairment of the environment, including costs of investigation and clean-up, caused by the performance of activity in connection with the Contractor's contract with the State. Amtrak and each Operating Railroad shall be named as additional insureds with respect to operations to be performed by


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the Contractor, and the policy shall contain a waiver of subrogation against Amtrak each Operating Railroad, their respective employees and agents. Coverage under this policy (or policies) shall have limits of liability of not less than $10,000,000 each claim. The Contractor may, at its option, cover this pollution liability exposure under its General Liability insurance required above, and if this is done, the certificate of insurance submitted must clearly indicate that these coverages are combined.

IF ANY LIABILITY INSURANCE SPECIFIED ABOVE SHALL BE PROVIDED ON A

CLAIMS MADE BASIS THEN, IN ADDITION TO COVERAGE REQUIREMENTS ABOVE, SUCH POLICY SHALL PROVIDE THAT:

1. The policy retroactive date coincides with or precedes the Contractor's start of work (including subsequent policies purchased as renewals or replacements).

2. The Contractor will make every effort to maintain similar insurance for at least two years following project completion, including the requirement of adding Amtrak and each Operating Railroad as additional insureds.

3. If insurance is terminated for any reason, the Contractor agrees to purchase an extended reporting provision of at least two (2) years to report claims arising from work performed in connection with its contract with the State.

4. The policy allows for reporting of circumstances or incidents that might give rise to future claims.


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13 Appendix D – NCDOT Computer Usage Policies


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14 Appendix E – NCDOT Equal Employment Opportunity Policy


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15 Appendix F – Rail Division Current Equipment List

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