1. CATS Bid #269-20160821002 South Blvd. North Grade Crossing Repair Pre-Bid Conference and Site Tour September 18, 2015

2. South Blvd North Grade Crossing Repair Project Overview The project is to improve grade crossings at South Boulevard North, allowing better operation and maintenance to the rail line. The drainage at the grade crossing will be evaluated and improved as needed. The work is to be conducted according to the approved plans and specifications. Contract Period – two (2) weekends forty-seven (47) hour line cuts each weekend Estimate is $534,876.00 10% DBE Goal

3. Key Dates and Times BID OPENING Friday, October 2, 2015, at 3:00ET Charlotte-Mecklenburg Government Center Room 901 REQUESTS FOR INFORMATION/CLARIFICATION 7 Days Prior to Bid

4. www.ips.state.nc.us/ ADDENDUM DISTRIBUTION will be sent to pre-bid attendees and posted to the State IPS site http://www.ips.state.nc.us/.ips.state.nc.us/ And found on the E&PM site: http://charmeck.org.city/charlotte/emp/Services/ Bids/Pages/default.aspx

5. www.RIDETRANSIT.org Buy America Requirements Buy America Requirements

6. www.RIDETRANSIT.org Buy America Requirements U.S. Congress passed the law requiring the Secretary of Transportation not to obligate any funds authorized to be appropriated to carry out the Surface Transportation Assistance Act of 1982 (96 Stat. 2097) or this title and administered by the Department of Transportation, unless steel, iron, and manufactured products used in such project are produced in the United States

7. www.RIDETRANSIT.org Buy America Requirements Buy America is a separate and distinct program from Buy American Buy American applies to all federal direct procurements; it covers approximately 100 products and has completely different rules Requirements are found in 41 U.S.C. 10(a)-10(c).

8. www.RIDETRANSIT.org Buy America Requirements Buy America Applicability Applies to all FTA assisted projects Includes local roads and highways, transportation enhancement projects, and non-highway construction when funded by FTA grant money Applies to manufactured products Steel and iron requirements

9. www.RIDETRANSIT.org Buy America Compliance What happens when BA requirements are not met? Remove the foreign iron and steel products and replace with domestic iron and steel products FTA will not accept non-domestic items as donations The entire project will be classified as non-compliant and costs for the entire project will become ineligible

10. Buy America Certification A Buy America Certificate of Compliance is required. DO NOT SIGN BOTH COMPLIANCE AND NON- COMPLIANCE Failure to properly submit Buy America Certificate or Bid Bond will render the bid non-responsive

11. Federal Applicability This is a federally funded contract: Do not perform any act, Fail to perform any act, Refuse to comply with any City request, Which will cause the City to be in violation of the FTA Terms and Conditions

12. No Government Obligation No Government Obligation to Third Parties “The Federal Government is not a party to this contract and shall not be subject to any obligations or liabilities pertaining to the contract”

13. Required Forms  ITIMIZED BID FORM  BID BOND – 5%  BUY AMERICA CERTIFICATION  Non-Discrimination Certificate  E-Verify  No Conflict of Interest Certificate  Debarment Certificate  Debarment Certificate (subcontractor)  Lobbying Certification  Form A – Disadvantaged Business Enterprise Program Form

14. www.RIDETRANSIT.org Contact Information Any Additional Questions? Phil Charneskie pcharneskie@charlottenc.gov 704-432-1121

15. DBE / Davis Bacon Compliance www.RIDETRANSIT.org

16. DBE / Davis Bacon Compliance www.RIDETRANSIT.org  Purpose of DBE Program  DBE Qualifications  Bid Requirements  Good Faith Efforts  Davis-Bacon Requirements

17. Disadvantaged Business Enterprise Program (DBE) www.RIDETRANSIT.org Purpose of DBE Program  Ensures non-discrimination in the award and administration of federally-assisted contracts  Levels the playing field for small minority firms to compete for federally assisted aviation, highway, and transportation contracts

18. Disadvantaged Business Enterprise Program (DBE) www.RIDETRANSIT.org DBE Qualifications  Disadvantaged individual must own and control at least 51% of the business  Net worth must not exceed $1.32 million  Business can not exceed SBA size standards for small business  Majority owners must be US Citizens and part of a protected class (i.e. Hispanic, woman, Native American, etc.)  Past 3 years average annual sales can not exceed $22.41 million

19. Disadvantaged Business Enterprise Program (DBE) www.RIDETRANSIT.org Certification Application www.ncdot.org/business/ocs/dbe/ Call: 919-508-1948 Database to Confirm DBE Certification https://partner.ncdot.gov/VendorDirectory/default.html..with “DBE” in the vendor profile

20. Disadvantaged Business Enterprise Program (DBE) www.RIDETRANSIT.org Bid Requirements CATS Form A:  Must be completed and signed  Include all subcontractors / suppliers which will participate on the project - including DBEs and Non-DBEs  All DBE firms must be certified prior to bid opening date to count toward contract goal -affidavits and assurances of submitted DBE applications cannot be considered. On listing in the NCDOT online database as a “DBE” at bid submission counts.

23. Disadvantaged Business Enterprise Program (DBE) www.RIDETRANSIT.org  Include total amount you intend to spend with each subcontractor  DBE’s vendors are the only commitments  DBE supplier participation is 60% of contract amount  Properly describe work activities for all listed firms  Total bid amount must include “Contingency”  DBE’s will be required to complete CATS Form D to verify participation on project

24. Disadvantaged Business Enterprise Program (DBE) www.RIDETRANSIT.org 1 st tier and 2 nd tier Subcontractors  Include copies of Form A’s from subcontractors for maximum participation  Form A’s are required for each subcontractor tier level

25. Disadvantaged Business Enterprise Program (DBE) www.RIDETRANSIT.org  Vendor A:Non-DBE (1 st tier sub) utilizes Vendor B:DBE (2 nd tier sub)  Vendor A must submit to prime contractor:  CATS Form A showing Vendor B as subcontractor  Vendor B must submit to Vendor A:  CATS Form A showing work to be completed

26. Disadvantaged Business Enterprise Program (DBE) www.RIDETRANSIT.org Good Faith Efforts (GFE)  Should be submitted as part of the bid package if total DBE Participation on Form A is less than specified…  DBE goal of 10% for South Blvd. North Grade Crossing Repair Project If DBE participation is verified to be less than the DBE goal, and no GFEs are submitted, a bidder will be found to be… Nonresponsive

27. Disadvantaged Business Enterprise Program (DBE) www.RIDETRANSIT.org Good Faith Efforts Examples ….Extensive & Intensive actions leaving impression of an intention to reach the goal.  Soliciting interest from certified DBEs  Actions at pre-bid meeting  Advertising the opportunity  Following up with DBE firms to confirm interest or no interest in the project  Written requests for quotes / actual quotes…including records of negotiations (offer and counter offer)  Participation in outreach meetings, minority contracting groups  Breaking up work into economically feasible units if it is too big for smaller firms  Providing plans to interested DBEs  Making efforts to assist DBEs in obtaining necessary equipment, supplies, materials, or related services DOCUMENT ALL EFFORTS

28. Davis Bacon Compliance www.RIDETRANSIT.org Davis Bacon

29. Mechanics & Workers Davis Bacon Compliance

30. The Basics  Review and Follow the “Heavy” Project Wage Rate Schedule (provided with the solicitation in Project Manual/Final Contract)  Provide copies to all subcontractors working on the project with an instructions to follow it. Missing rate:  Submit a Conformance Request Form SF1444 www.wdol.gov/docs/sf1444.pdf to CATS www.wdol.gov/docs/sf1444.pdf  (if applicable) Supply the local Union Shop (Collective Bargaining) agreement as these rates may become part of the schedule for areas not covered. i.e. if similar wage rates have been based on Union rates.  Certified Payrolls are created weekly for each laborer & mechanic who has worked on the construction site (project)  Wage Rates and Conformances should be posted (or made available) on site for employees to review in English and Spanish. (including bi-lingual minimum wage FLSA posters)

31. Certified payroll records should be submitted for each worker on the project. No reports = payment withheld in part or whole.  Subcontractors are expected to submit payroll records via you to us. The prime is responsible for DBA compliance of subs.  Note: We do not recommend nor like to see 1099’s employees must be treated as employees not contractors …pay employment insurance and deduct taxes. The use is a possible IRS violation.  Expect City staff to conduct periodic random private interviews with workers onsite to determine what wage rates are being paid. Davis Bacon Compliance

32. DBA: Creating & Submitting  Once a trade works on a project, you must furnish weekly reports on that employee until the last day you (the prime) work on the project  Each report must be signed and the original should in blue ink  Reports should be created weekly, uploaded into e-builder within 7 days and sent in hardcopies with pay applications. Davis Bacon Compliance

33. DBA: Certified Payrolls cont.  Employers are required to pay workers in full each week, and  To submit weekly payrolls to CATS/City showing  Employee name,  ID number -last 4 digits of the SSN only. No addresses. Full data is only for Prime and Subs Records.  classification,  hours worked,  wage rate(s), straight-time and overtime compensation. Davis Bacon Compliance

34. Paying DBA Wages and Benefits  Wages may be paid by an hourly rate, piecework rate, salary or a combination.  BUT, the earnings each week must meet the minimum DBA hourly wage rate for all covered hours  Benefits must be provided via a bona fide fringe benefit plan or cash equivalent, or combination  Note: Overtime (excess of 40 hours) requires 1.5 time pay. Shift work changes in rates do not reset the clock or forgive the 1.5 increase. They reset the regular rate based on the average of the different rates paid over 40 hour week. Davis Bacon Compliance

35. Deductions from wages, other than taxes and authorized deductions by the USDOL, may not be taken (possible violations of Copeland Anti-Kickback Act) Copeland “Anti-Kickback” Act Compliance

36. Social security or Federal or state income tax Withholding Bona fide prepayment of wages Court ordered payments (child support, Garnishments) Fringe benefits plans Purchase of U.S. savings bonds Repayment of loans/purchase shares in a credit union Allowable Deductions Without DOL Approval

37. Deduction to pay regular union initiation fees and membership dues provided by a collective bargaining agreement (CBA) Authorized contribution to charitable organizations such as the Red Cross, United Way, etc. Deduction for “reasonable cost” of board, lodging, or other facilities meeting the requirements of section 3(m) of FLSA Deduction for safety equipment - if not prohibited by FLSA, or required by law for employer to furnish Allowable Deductions Without DOL Approval

38. Deductions Requiring USDOL Approval Everything Else DOL may approve payroll deductions when: – Contractor makes no direct or indirect profit – Deduction is not prohibited by law – Deduction is voluntarily consented to in writing before work begins, or deduction is provided for under CBA terms – Deduction serves the convenience and interest of employee

39. Examples of Deductions needing approval: – Uniforms (Rental and Cleaning) – Truck (personal use) – Cell phones Deduction request letters may now be submitted electronically. Simply scan a copy of the signed request and email your request to dbadeductions@dol.gov.dbadeductions@dol.gov Deductions Requiring USDOL Approval

40. www.RIDETRANSIT.org What to Remember…? Use only online confirmed NCDOT federally certified DBEs to meet the goal. Utilization of other CBI, SWUC, SBA etc. certified firms is of no use Include the “Contingency” in the Form A Denominator (total bid amount) Make sure your efforts to meet the goal are intensive, extensive, and ongoing/long lasting until the goal is met or exceeded Keep records of all those efforts to meet the goal. Turn in your utilization and summary of efforts with copies of all documentation with your bid Prepare your staff and subcontractors to follow the wage schedule, use conformances, get permission for deductions, and to submit certified payrolls; by relaying the requirements and a copy of the schedule. ASK 1 st, the DBE program is detailed….just doing something… will not suffice… ASK 1 st

41. Contact Information www.RIDETRANSIT.org Arlanda Rouse arouse@charlottenc.gov 704-432-2566 Terrence Watson tewatson@charlottenc.gov 704-432-2554

42. Questions? Thank You for your interest in this project What is said in this meeting does not automatically become part of the contract. Any information or responses that require inclusion into the contract will be provided in the form of an addendum.