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MBTA Contract No. Q09CN01 RFQ Red Line and Orange Line May12, 2017 Signals Systems Upgrades Design Build Project Request for Qualifications for Red Line and Orange Line Signals Systems Upgrades Design Build Project MBTA Contract No. Q09CN01 May 12, 2017 Statement of Qualification (SOQ) Submission Deadline: June 12, 2017 11: 00 AM Submit Statement of Qualifications to: Yvelisse Duvergé Manager of Construction Procurement Massachusetts Bay Transportation Authority Contract Administration Department 100 Summer Street, Suite 1200 Boston, MA 02110

Request for Qualifications for Red Line and Orange Line ... · MBTA Contract No. Q09CN01 RFQ Red Line and Orange Line May12, 2017 Signals Systems Upgrades Design Build Project Request

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Page 1: Request for Qualifications for Red Line and Orange Line ... · MBTA Contract No. Q09CN01 RFQ Red Line and Orange Line May12, 2017 Signals Systems Upgrades Design Build Project Request

MBTA Contract No. Q09CN01 RFQ Red Line and Orange Line May12, 2017 Signals Systems Upgrades Design Build Project

Request for Qualifications

for Red Line and Orange Line Signals Systems

Upgrades Design Build Project

MBTA Contract No. Q09CN01

May 12, 2017

Statement of Qualification (SOQ) Submission Deadline: June 12, 2017 11: 00 AM

Submit Statement of Qualifications to:

Yvelisse Duvergé Manager of Construction Procurement Massachusetts Bay Transportation Authority Contract Administration Department 100 Summer Street, Suite 1200 Boston, MA 02110

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MBTA Contract No. Q09CN01 RFQ Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

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TABLE OF CONTENTS

I. INTRODUCTION AND OVERVIEW ............................................................................1

1.1 Request for Qualifications .......................................................................................1

1.2 Background and Objectives .....................................................................................1

II. ABBREVIATIONS AND DEFINITIONS .......................................................................2

2.1 Abbreviations ...........................................................................................................2

2.2 Definitions................................................................................................................2

III. OVERVIEW 6

3.1 Overview of DB Services ........................................................................................6

3.1.1 General .........................................................................................................6

3.1.2 Functional Requirements of the Project .......................................................8

3.2 Scope of Services .....................................................................................................9

3.2.1 General DB Services to be Provided by the DB Entity ...............................9

3.2.2 Self-Performance .........................................................................................9

3.2.3 Completion Schedule .................................................................................10

3.2.4 Project Funding and Estimated Value........................................................10

3.3 Financial Strength and Guarantors.........................................................................10

3.4 Security for Performance, Insurance, and Licensing .............................................11

3.5 Governing Law ......................................................................................................11

3.5.1 State Law ...................................................................................................11

3.5.2 Federal Requirements ................................................................................11

3.5.3 Disadvantaged Business Enterprise Requirements ....................................12

3.5.4 Workforce/Equal Employment Opportunity (EEO) ..................................12

3.5.5 Title VI of the Civil Rights Act of 1964 and Nondiscrimination Requirements .............................................................................................12

3.5.6 Labor Laws ................................................................................................13

3.5.7 General Organizational Requirements .......................................................13

IV. PROCUREMENT PROCESS ........................................................................................13

4.1 Rules of Contact and Confidentiality .....................................................................13

4.1.1 Rules of Contact .........................................................................................13

4.1.2 Public Records Law ...................................................................................14

4.2 Conflicts of Interest and Respondent Teams .........................................................15

4.2.1 Personal Conflicts of Interest .....................................................................15

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4.2.2 Ineligible Firms and Organizational Conflicts of Interest .........................16

4.2.3 Respondent Team Members ......................................................................17

4.3 MBTA's Consultant Support Team ........................................................................17

4.4 Selection Committee ..............................................................................................18

4.5 Procurement Schedule ...........................................................................................19

4.6 Respondent Questions and Answers ......................................................................19

4.7 RFQ Addenda ........................................................................................................20

4.8 Stipend for Unsuccessful Proposers .......................................................................20

4.9 Procurement and Background Documents.............................................................20

4.10 Non-Disclosure Agreement and Certificate of Custody ........................................21

4.11 SOQ Evaluation and Selection Process .................................................................21

4.12 SOQ Content and Submittal Requirements ...........................................................21

4.13 RFP and Proposal Process .....................................................................................21

V. SOQ EVALUATION AND SHORT-LIST DETERMINATION ................................22

5.1 Evaluation Factor Objectives and Requirements ...................................................22

5.2 Responsiveness Review .........................................................................................22

5.3 Pass/Fail Review ....................................................................................................23

5.3.1 Legal Constraints .......................................................................................23

5.3.2 Construction Classification Minimum Single Project Limits ....................23

5.3.3 Financial .....................................................................................................23

5.4 Qualitative Evaluation Criteria and Weighting ......................................................24

5.5 Evaluation Rating Procedures ................................................................................24

5.6 Requests for Clarification ......................................................................................24

5.7 Selection of Most Qualified Respondents..............................................................25

5.8 Debriefings .............................................................................................................25

VI. PROTEST PROCEDURES ............................................................................................26

6.1 Pre-SOQ Submittal Decision of Protest .................................................................26

6.1.1 Procedure ...................................................................................................26

6.1.2 Appeal ........................................................................................................26

6.1.3 Final Decision ............................................................................................26

6.2 Post-SOQ Submittal Decision of Protest ...............................................................27

6.2.1 Procedure ...................................................................................................27

6.2.2 Appeal ........................................................................................................27

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6.2.3 Final Decision ............................................................................................27

6.3 Federally Funded Procurements ............................................................................28

6.4 Rights of the MBTA with Pending Protests ..........................................................28

VII. MBTA RIGHTS AND DISCLAIMERS ........................................................................28

7.1 MBTA Rights.........................................................................................................28

7.2 MBTA Disclaimers ................................................................................................30

ATTACHMENTS

ATTACHMENT A FORMAT AND ORGANIZATION FOR STATEMENT OF QUALIFICATIONS .............................................................................. A-1

1.1 General ............................................................................................................... A-1 1.2 Format ................................................................................................................ A-1 1.3 SOQ Organization .............................................................................................. A-2 1.4 SOQ Submission Requirements ......................................................................... A-2 1.5 Content of the SOQ ............................................................................................ A-3

ATTACHMENT B SOQ SUBMITTAL REQUIREMENTS AND EVALUATION CRITERIA................................................................................................................ B-1

1.1 Transmittal Letter............................................................................................... B-1 1.2 Confidential Contents Index .............................................................................. B-1 1.3 Executive Summary ........................................................................................... B-2 1.4 Evaluation Criteria Objectives and Requirements ............................................. B-2

ATTACHMENT C STATEMENT OF QUALIFICATIONS FORMS ................................. C-1

Form A Transmittal Letter Schedule A-1 Certificate Of Authorization Schedule A-2 Guarantor Acknowledgment Schedule A-3 Guarantor Certificate Of Authorization Schedule A-4 Confidential Contents Index Schedule A-5 Letters of Major Participants

Form B Information Regarding Respondent and Team Members Schedule B-1 Additional Information Regarding Respondent, Major

Participants, Lead Designer, Major Equipment Suppliers, Other Key Subcontractors, and Guarantors

Schedule B-2 Certification Schedule B-3 Public Project Experience and References

Form C List of Key Personnel Schedule C-1 Key Personnel References

Form D Terminations, Failure to Complete, Material Breaches and Actual or Liquidated Damages

Form E Affidavit of Compliance

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Form F Convictions and Fines and Litigation, Arbitration and Dispute Resolution Form G Certification of Tax Compliance Form H Safety Experience Record Form I DBE Compliance Record Form J Firm’s Employee Profile Form K Respondent’s Management Diversity Profile Form L Title VI Program Development and Implementation and Summary of

Achievements in a Design Build context, including Community Participation Form M Work History

ATTACHMENT D NON-DISCLOSURE FORMS AND QUESTION REQUEST FORM .................................................................................................. D-1

Form 1 Sensitive Security Information Non-Disclosure and Confidentiality Agreement Form 2 Sensitive Security Information Certification and Conditions of Custody Form 3 Respondent’s Question Request Form

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I. INTRODUCTION AND OVERVIEW

1.1 Request for Qualifications

The Massachusetts Bay Transportation Authority (the “MBTA”) is issuing this Request for Qualifications (“RFQ”) to solicit Statements of Qualifications (“SOQs”) from qualified Respondents interested in providing design build (DB) services necessary to implement (i) upgrades to the signaling systems for both the Red Line and Orange Line, (ii) the Columbia Junction signal replacement project (Phase 2), and (iii) the Southwest Corridor wayside signal replacement (Orange Line), all as more fully summarized in Sections 3.1 and 3.2 of this RFQ (the “DB Services”). The MBTA intends that these services will be performed using the DB delivery method pursuant to MGL c.149A §§ 14 – 21 (the “DB Act”). In accordance with the DB Act and the Design Build Procurement Procedures adopted by the MBTA pursuant thereto (the “DB Procedures”), the MBTA anticipates selecting a single entity comprising one or more firms (the “DB Entity”) who will be responsible to the MBTA for the performance of all DB Services.

This RFQ invites respondents to submit SOQs describing in detail their technical and financial qualifications (including identification of proposed members of the respondent team and their respective qualifications) to perform the DB Services. SOQs from individual firms not intending to assume responsibility for all of the DB Services in accordance with these requirements will not be accepted.

The issuance of this RFQ is the first step in a two-step, best value procurement process being undertaken by the MBTA pursuant to the DB Act and the DB Procedures. Only those respondents that respond to this RFQ and are included on the short-list in accordance with the requirements of this RFQ will be issued a Request for Proposals (“RFP”) and invited to submit detailed technical and price proposals in response to the RFP. If only one qualified, responsive entity is identified for the MBTA to issue an RFP to, the MBTA will terminate this procurement, and may elect to re-advertise and renew the RFQ process.

The MBTA anticipates entering into the DB Contract with the selected DB Entity for the performance of the DB Services. The award of the DB Contract will be subject to the terms and conditions of the RFP. This RFQ is not an offer, tender or request for proposals, and there is no intention on the part of the MBTA to make an offer by issuing this RFQ.

1.2 Background and Objectives

In April 2015 the MBTA retained the Joint Venture of Hatch Mott MacDonald (now known as Mott MacDonald) and Patrick Engineering (the joint venture being named “PHM”) to serve as Program Manager/Construction Manager for the Project under Contract No. R19PS03. One of the main observations from PHM’s assessment, which has been confirmed by the MBTA, is that a majority of elements of the signaling system are nearing the last stages of their useable life and are difficult to service and maintain. The MBTA has concluded that it is essential to modernize the train control systems because the signal and train control systems are critical for the safe movement of trains.

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Article III (Overview) of this RFQ summarizes the nature and scope of work that will be covered by this procurement, which will be set forth in greater detail in the RFP.

II. ABBREVIATIONS AND DEFINITIONS

This RFQ includes abbreviations and specific defined terms as indicated below. Capitalized terms and abbreviations not otherwise defined in this RFQ shall have the meanings ascribed to them in the DB Procedures.

2.1 Abbreviations

CIH Central Instrument House CIR Central Instrument Room CPER Contractor Performance Evaluation Record CTH Central Termination House DB Design Build DBE Disadvantaged Business Enterprise EEO Equal Employment Opportunity LOI Letter of Interest MBTA Massachusetts Bay Transportation Authority NDA Non-Disclosure Agreement RFLOI Request for Letters of Interest RFP Request for Proposals RFQ Request for Qualifications SOQ Statement of Qualifications S&TCS Signal and train control systems. 2.2 Definitions

“Addenda” means supplemental additions, deletions, and modifications to the provisions of this RFQ following issuance of this RFQ by the MBTA.

“Background Documents” means the documents describing existing track and signal technology which will be posted in the Document Library. Access to the Background Documents will be limited to those individuals that, pursuant to Section 4.9 (Procurement and Background Documents) and Section 4.10 (Non-Disclosure Agreement and Certificate of Custody) of this RFQ, (i) have executed a Non-Disclosure Agreement, and (ii) are employed by an entity that has executed a Certificate of Custody.

“Book of Plans” means a compilation of track plans, wiring diagrams, circuit drawings, internal plan layouts, and detailed drawings for the wayside signaling system.

“Certification of Custody” means the certificate to be executed by an entity with respect to sensitive security information in the form set forth in Form 2 in Attachment D (Massachusetts Bay Transportation Authority Sensitive Security Information Certification and Conditions of Custody) of this RFQ.

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“CIH” means Central Instrument House.

“Clarifications” means a written exchange of information that takes place between a Respondent and the MBTA after submission of SOQs. The purpose of Clarifications is to address ambiguities, omissions, errors or mistakes, and clerical revisions in an SOQ as part of the evaluation process.

“Consultant Support Team” means the entities identified in Section 4.3 (MBTA’s Consultant Support Team) of this RFQ.

“DB Act” has the meaning specified in Section 1.1 (Request for Qualifications) of this RFQ.

“Disadvantaged Business Enterprises” or “DBE” means an entity

a) that is at least fifty-one (51%) percent owned by one or more individuals who are both socially and economically disadvantaged, or in the case of any corporation in which at least fifty-one (51%) percent of the stock is owned by one or more such individuals; and

b) where the management and daily business operations are controlled by one or more of the socially and economically disadvantaged individuals who own it.

“DB Entity” means the Selected Proposer entering into the DB Contract with the MBTA.

“DB Procedures” has the meaning specified in Section 1.1 (Request for Qualifications) of this RFQ.

“DB Services” has the meaning specified in Section 1.1 (Request for Qualifications) and Section 3.2.1 (General DB Services to be Provided by the DB Entity) of this RFQ and includes the furnishing of all labor, materials and services necessary to perform the design, construction, equipment acquisition and equipment installation services summarized in this RFQ and to be set forth in the DB Contract.

“Design Build” or “DB” means a construction delivery system that provides responsibility for the delivery of design services, construction services, and, in certain cases, Construction Engineering Inspection Services within a single contract.

“Design Build Contract” or “DB Contract” means the written agreement by and among the MBTA and the DB Entity setting forth the obligations of the parties thereunder, including, but not limited to, the performance of the DB Services, the furnishing of labor and material, and the basis of payment.

“Document Library” means online data rooms more fully described in Section 4.9 (Procurement and Background Documents) of this RFQ which will contain the RFQ, Background Documents, any responses to questions, any Addenda, and other material relating to

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this procurement during the RFQ stage. The Document Library will be established as two sites accessible by password.

“Existing Wayside Peripheral Equipment” has the meaning specified in Section 3.1.1 (Overview of DB Services – General) of this RFQ.

“Guarantor” means an entity that will irrevocably and unconditionally guarantee the DB Entity’s or a Major Participant’s payment and performance obligations under the DB Contract.

“Key Personnel” means the key personnel required to be identified pursuant to Section 1.4.6 of Attachment B (Project Staffing/Key Personnel) and Form C of Attachment C (List of Key Personnel) to this RFQ.

“Key Subcontractor” means a proposed subcontractor to a Respondent that: (a) the Respondent reasonably estimates will have a subcontract value greater than or equal to $10 million; (b) is the Lead Designer; (c) is a Major Equipment Supplier; or (d) is an entity used to meet the minimum single project limit set forth in Section 1.4.4 of Attachment B (Construction Classification Minimum Single Project Limits) to this RFQ.

“Lead Designer” means the qualified professional engineering firm registered in the Commonwealth of Massachusetts and primarily responsible for the design services included in the DB Services.

“Letter of Interest” or “LOI” means the document submitted by respondents in response to the RFLOI on or prior to the due date of responses to the RFQ.

“Major Equipment Supplier” means any entity (and any affiliate of such entity or joint venture arrangement of which such entity is a participant) that is a member of the Respondent Team that (i) is identified by the Respondent as the proposed supplier of equipment (regardless of whether such entity may be identified as also providing additional services) of the type referred to in Section 3.1.1 (Overview of DB Services – General) of this RFQ that is represented by the Respondent as being compatible with the Existing Wayside Peripheral Equipment (such that Existing Wayside Peripheral Equipment is not required to be replaced), and (ii) is supplying equipment that the Respondent reasonably estimates the value of which is expected to exceed $10 million. A Major Equipment Supplier may not be a Major Participant.

“Major Participant” means a member of a Respondent Team that is either: (a) if the Respondent is a consortium, partnership or any form of joint venture, a member of the consortium, partnership or joint venture; or (b) if the Respondent is or will be a special purpose limited liability entity formed for purposes of entering into the DB Contract, a member or owner of such entity. A Major Equipment Supplier may not be a Major Participant.

“Massachusetts Bay Transportation Authority” or “MBTA” means the body politic and corporate and the political subdivision of the Commonwealth of Massachusetts existing pursuant to MGL Chapter 161A as amended.

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“Non-Disclosure Agreement” or “NDA” means a non-disclosure agreement to be executed by an individual with respect to sensitive security information in the form set forth in Form 1 of Attachment D (Massachusetts Bay Transportation Authority Sensitive Security Information Non-Disclosure and Confidentiality Agreement) to this RFQ.

“Point of Contact” has the meaning specified in Section 4.6 (Respondent Questions and Answers) of this RFQ.

“Project” has the meaning specified in Section 3.1.1 (Overview of DB Services – General) of this RFQ.

“Proposal” means the offer (in response to the RFP) by a Proposer in accordance with all RFP provisions for the performance of the DB Contract, including the proposed price.

“Proposer” means a single legal entity selected for the Short-List and submitting a Proposal to serve as the DB Entity under the DB Contract.

“Request for Letters of Interest” or “RFLOI” means the MBTA’s legal notice announcing a Request for Letters of Interest for Design Build Services for the Red Line and Orange Line Project issued on February 24, 2017.

“Request for Proposals” or “RFP” means the written solicitation issued by the MBTA to Respondents identified on the Short-List to be used to identify the Proposer offering the best value to the MBTA for the DB Services.

“Request for Qualifications” or “RFQ” means this written solicitation issued by the MBTA seeking SOQs to be used to identify and Short-List the most highly qualified Respondents to receive the RFP for DB Services.

“Respondent” means the named interested party submitting an SOQ in response to this RFQ.

“Respondent Team” means the Respondent, each Major Participant, the Lead Designer, each Major Equipment Supplier, each other Key Subcontractor, any Guarantor, and any other contractor or subcontractor identified by the Respondent in its SOQ.

“S&TCS” means signal and train control systems.

“Selected Proposer” means the Proposer determined to offer the best value to the MBTA in accordance with the RFP and recommended for award of the DB Contract.

“Selection Committee” has the meaning set forth in Section 4.4 (Selection Committee) of this RFQ.

“Short-List” means the list of those Respondents that are deemed by the MBTA, based on evaluating the SOQs, to be the most highly qualified Respondents and selected to receive the RFP.

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“Southwest Corridor” means the existing S&TCS infrastructure along the southwest corridor of the Orange Line (all the locations south of Haymarket Station to Forest Hills).

“Specialty Work” means the supplying, designing, testing and commissioning of transit signals and communications equipment. Specialty Work does not include actual construction and installation.

“Statement of Qualifications” or “SOQ” means the complete package of information received from a Respondent in response to this RFQ for the purpose of seeking to be included on the Short-List.

III. OVERVIEW

3.1 Overview of DB Services

3.1.1 General

The Signals Systems Upgrades Project (the “Project”), and therefore the DB Services, comprises the following components: (1) Red Line and Orange Line signal upgrades; (2) Columbia Junction signal replacement project (Phase 2); and (3) Southwest Corridor wayside signal replacement (Orange Line), each more fully summarized below.

1. Red Line and Orange Line Signal Upgrades

This component of the DB Services comprises the renewal of the track circuit electronics for the Red Line and Orange Line using the latest generation of digital audio frequency technology and the replacement of the existing relay based train control logic with the latest generation of microprocessor based train control logic. Currently, there are approximately 400 track circuits on the Red Line, 271 track circuits on the Orange Line associated subsystems and equipment that require to be upgraded in CIHs and CIRs. The DB Entity shall design the track circuits with the capacity to add additional speed commands in the future to take advantage of the improved performance of the new railcars being acquired by the MBTA for the Red Line and Orange Line, designated as the Red Line No. 4 Vehicles and Orange Line No. 14 Vehicles. Except for the equipment along the Southwest Corridor (as further discussed in Item 3 of this Section below), the existing wayside equipment, impedance bonds, loop antennas and cabling in the Red Line and Orange Line (the “Existing Wayside Peripheral Equipment”) are deemed to be in acceptable condition and are compatible with modern digital track circuits. The challenge is for the DB Entity to execute an incremental upgrade of the existing relay and early generation track circuits on the operational S&TCS equipment on the Red Line and Orange Line safely and without disruption to service to the public. An ‘over and back’ upgrade strategy shall be utilized by the DB Entity to ensure that the incremental upgrade can be evaluated and tested over an extended duration and then, if necessary, returned back to its original configuration. This enables a cautious and deliberate introduction of the new technology by the DB Entity so as not to affect train operations. As the project progresses and new technology enters service, the obsolete equipment will be removed and recovered by the DB Entity.

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The MBTA will provide the existing Book of Plans for each CIH to each Proposer during the RFP process. It will be up to each Proposer to validate the existing Book of Plans, including the control lines, against the current operational status of the signaling system and make the appropriate changes required to the Book of Plans to support the integration of the new signaling system. Each Proposer will be responsible for making determinations as to whether the proposed new upgraded equipment will be compatible with the Existing Wayside Peripheral Equipment, and whether or not replacement of Existing Wayside Peripheral Equipment is required to ensure compatibility. The Existing Wayside Peripheral Equipment is primarily manufactured by Alstom Signaling, Inc. Technical scoring will consider impacts of technical solutions which include the replacement of such equipment on schedule, safety, effect on service, MBTA manpower requirements and other relevant factors. The DB Entity shall be responsible for any cost associated with replacement of Existing Peripheral Wayside Equipment that is included in its proposal. This includes all peripheral equipment, installation material, and installation effort. Space availability in the existing CIHs and CIRs will be a critical concern for transitioning to the new system. The Ashmont CIH (located at the tail end of the Ashmont Station platforms and is a terminus for the Red Line’s Cambridge - Dorchester Branch) houses all the signal equipment that provides for the safe movement of trains entering and exiting the station as well as controlling the access and egress from Codman Yard. This CIH has gone through numerous upgrades and modifications and has reached the end of its operating life from both a structural and systems technology standpoint. The Ashmont CIH will be replaced by the DB Entity with a new pre-fabricated CIH, factory tested and delivered with a modern processor based system employing the latest technologies capable of interfacing with and being controlled from the MBTA Operations Control Center. The CIH shall be complete with HVAC, fire suppression and communication systems and all the equipment necessary for interfacing with all the adjacent locations and wayside equipment. 2. Columbia Junction Signal Replacement Project (Phase 2)

The Columbia Junction Signal replacement project is a two-phase program. The first phase was completed at the end of 2014 and therefore is not included in the DB Services. This past phase consisted of (i) the replacement of the wayside signal equipment, track turnouts and ties for the interlocking system between Andrew and North Quincy Stations on the Braintree Branch and Fields Corner Station on the Ashmont Branch, (ii) the installation and placement in service of a new cable trough / raceway system within those boundaries, and (iii) the installation and commissioning of a new CTH, which interfaces with existing CIHs and the new wayside equipment to include the installation of fiber cable throughout the limits of this project. The second phase is included in DB Services, and comprises the replacement and consolidation of the equipment within the existing CIHs into a new CIH, using modern S&TCS equipment to interface with the first phase wayside equipment. The scope for this phase includes: (i) the

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upgrade of the equipment and the reconfiguration of the current Columbia Junction signal control limits into a new Columbia Junction CIH and a new Tenean Beach CIH located between Columbia Junction and North Quincy; (ii) subdividing existing track circuit lengths that exceed 1,400 feet; (iii) converting the existing emergency electric lock crossover at Andrew Station to a Columbia Junction remote controlled crossover with a full suite of S&TCS equipment required for a fully interlocked signaled crossover utilizing powered switch machines and wayside signals; and (iv) replace all Columbia Junction existing interlocking single-rail power frequency track circuits and speed command loops used for mainline straight through moves with audio frequency track circuits.

3. Southwest Corridor Wayside Signal Replacement (Orange Line)

The Southwest Corridor is in a state of disrepair. This affects the performance and reliability of the train control system which causes service perturbations and delays. This component of the DB Services consists of the replacement-in-kind of all cabling, switch machines, and signals (replacement of LED type aspects) along the Southwest Corridor. 3.1.2 Functional Requirements of the Project

1. The RFP will provide performance based specifications for the implementation of the DB Services. In particular, the RFP will require that the upgraded signaling system shall interface and be compatible with the Existing Wayside Peripheral Equipment or provide an alternative technical solution that includes replacement of Existing Wayside Peripheral Equipment if required to ensure compatibility. The Proposer will be required to demonstrate to the MBTA in its Proposal and warrant in the DB Contract that the equipment replacements and upgrades will be compatible with all the components of the existing Red Line and Orange Line track circuits and any interfaces with other elements of the MBTA system. Each Proposer will be required to determine and represent that the equipment replacements and upgrades are compatible with such existing components or include within its proposal a replacement of those components that need to be replaced to ensure compatibility.

2. The Red Line track circuits shall be capable of generating the existing wayside speed commands plus three additional speed commands. The speed commands are as follows:

a. New speed command: 5 mph.

b. Existing speed commands: 10 mph and 15 mph. New speed command: 20 mph.

c. Existing speed command: 25 mph. New speed command: 35 mph.

d. Existing speed command: 40 mph.

e. Existing speed command: 50 mph.

3. The Orange Line track circuits shall be capable of generating the existing wayside speed commands plus two additional speed commands to take advantage of the new vehicle performance characteristics. The speed commands are as follows:

a. New speed command: 5 mph.

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b. Existing speed commands: 10 mph, 18 mph, and 25 mph. New speed command: 35 mph.

c. Existing speed command: 40 mph.

d. Existing speed command: 55 mph.

4. The new signal design shall incorporate new CIHs at Ashmont, JFK (Columbia Junction) and Tenean Beach on the Red Line.

5. To ensure the No. 1, 2 and 3 Vehicles can operate with the upgraded Red Line signaling equipment, the DB Entity will be required to design the signaling system based on the current operation, allowing the system to be upgradeable in the future (the MBTA may choose to upgrade control lines at a later time).

6. To ensure the No. 12 Vehicles can operate with the upgraded Orange Line signaling equipment, the DB Entity will be required to design the signaling system based on the current operation, allowing the system to be upgradeable in the future (the MBTA may choose to upgrade control lines at a later time).

7. The track circuit solution shall provide/maintain broken rail protection.

3.2 Scope of Services

3.2.1 General DB Services to be Provided by the DB Entity

The DB Entity will be responsible for performing all the DB services, including: (i) design of the Project (including all required related communications systems); (ii) procurement of materials, labor, and equipment; (iii) installation of equipment; (iv) testing and commissioning of the Project; (v) coordination with the MBTA during installation, testing, and commissioning; (vi) minimization of interference of service to the public; (vii) training of MBTA personnel (including training equipment); (viii) delivering operations and maintenance manuals to the MBTA; (ix) design of quality assurance and electromagnetic programs and safety program; (x) supply of spare equipment; and (xi) removal of retired equipment; and with respect to all of the foregoing including all related design, construction, reconstruction, engineering, acquisition and installation of equipment, physical alteration, remodeling, wiring, electrical services and testing (collectively, together with the other requirements set forth in this SOQ, the “DB Services”).

3.2.2 Self-Performance

The DB Entity, either as the DB Entity itself or through its Major Participants, must self-perform a minimum of 50% (by dollar value) of the non-specialty construction value. The calculation of the minimum requirement will be based on 50% of the total potential work value established by subtracting the Specialty Work value from the construction value. By way of example, if the total DB price is $100 million, the design portion of that total is $10 million, and the Specialty Work value is $15 million, then:

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Total DB Price Example: $100,000,000

Less Design Portion of Price (Excluding Design Value Included in Specialty Work Value Below)

Example: $ 10,000,000

Equals Construction Value Example: $ 90,000,000

Less Specialty Work Value Example: $ 15,000,000

Potential Work Example: $ 75,000,000

MINIMUM SELF-PERFORMANCE (50%) Example: $ 37,500,000

3.2.3 Completion Schedule

The DB Contract will include a projected completion schedule which will require the DB Entity to have fully commissioned and tested the Project and achieved final completion within 45 months following the date of the notice to proceed. In addition, the DB Contract may include interim milestones.

3.2.4 Project Funding and Estimated Value

The Project is currently expected to be funded with state funds, but will be subject to all requirements that must be satisfied in order to allow the project to be eligible for federal funding if the MBTA determines to request such federal funding (see Section 3.5.7 (Federal Requirements) of this RFQ). The contract value is estimated at approximately $185 million.

3.3 Financial Strength and Guarantors

As a general matter, in order to be included on the Short-List, Respondents must demonstrate sufficient financial strength to assure the MBTA that they are capable of performing the DB Services; i.e., a financial capability at least commensurate with the value of the DB Services. Each Respondent and Major Participant which is an affiliate of a group of one or more companies and is not the ultimate upstream owner, must propose to have the ultimate upstream owner serve as the Guarantor and guarantee, through a guaranty agreement, all of the Respondent’s or Major Participant’s obligations under the DB Contract, as applicable.

In addition to and not in lieu of the foregoing, a Respondent or Major Participant may propose to supplement its financial strength by proposing a guaranty of all of the applicable Respondent’s or Major Participant’s obligations under the DB Contract from another creditworthy entity.

Respondents shall note that the MBTA may, in its discretion based upon the review of the information provided, specify that a replacement or an additional Guarantor is required as a condition of short-listing.

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3.4 Security for Performance, Insurance, and Licensing

Proposers will be required to provide a bid deposit with their Proposals in accordance with the DB Act and DB Procedures. Information concerning the bid deposit requirements will be included in the RFP.

The DB Entity will be required to assume liabilities and provide security for performance and insurance coverage to indemnify and defend the MBTA in accordance with the DB Contract. The security for performance and insurance requirements of the DB Contract will be specified in the RFP.

The DB Entity is expected to provide performance and payment bonds in amounts equal to the full value of the DB Services. Surety companies issuing such bonds must meet the applicable requirements indicated in Section 1.4.7(B) of Attachment B (Financial) to this RFQ. Additional details will be provided during the RFP process.

The types of insurance, insurance limits, and named insured requirements will be commensurate with the DB Contract and its level of risk. Details of the insurance requirements will be provided in the RFP.

Prior to execution of the DB Contract, all legal entities and personnel providing services under the DB Contract must obtain all licenses and permits and take all necessary steps to conduct business in the Commonwealth of Massachusetts and to perform the DB Services under the DB Contract.

3.5 Governing Law

3.5.1 State Law

The laws of the Commonwealth of Massachusetts will govern this RFQ, the RFP and the DB Contract. The DB Entity will be subject to all applicable prevailing wage laws of the Commonwealth of Massachusetts. For federal law requirements see Section 3.5.2 (Federal Requirements) of this RFQ.

3.5.2 Federal Requirements

The MBTA may request federal funding from the Federal Transit Administration (“FTA”) for the Project. Accordingly, the procurement documents and DB Contract will conform to requirements of applicable federal law and United States Department of Transportation (“USDOT”) and FTA regulations, including Buy America requirements; Title VI of the Civil Rights Act of 1964, as amended (“Title VI”); Title VII of the Civil Rights Act of 1964, regarding Equal Employment Opportunity (“EEO”); and Title 49 Code of Federal Regulations Part 26, as amended regarding Disadvantaged Business Enterprises. The MBTA reserves the right to modify the procurement process described herein to address any concerns, conditions, or requirements of FTA.

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3.5.3 Disadvantaged Business Enterprise Requirements

The MBTA has adopted a DBE program, in accordance with 49 Code of Federal Regulations Part 26, which is a requirement of USDOT as a condition of receiving federal assistance (the “DBE Program”. The DBE Program ensures business opportunities for firms owned by disadvantaged individuals that certified as DBEs through the Commonwealth of Massachusetts Supplier Diversity Office (“SDO”). The objective of the DBE Program is to support equal access to MBTA contracting opportunities for DBEs as contractors, subcontractors, suppliers, and providers of goods and services. The MBTA′s Office of Diversity and Civil Rights (“ODCR”) is responsible for the development, implementation, monitoring, and enforcement of the DBE Program. ODCR′s Government Compliance Unit manages all aspects of the DBE Program and works together with the MBTA′s procurement departments to identify business opportunities for certified DBEs.

The DBE participation requirement for this Project is 4% of the design services and 7% for the construction portions of the work performed under the DB Contract. The MBTA’s policy is to encourage the participation of DBEs in all facets of the business activities of the MBTA, consistent with applicable laws and regulations. In responding to this RFQ, a Respondent may include team members to satisfy DBE goals. The DBE participation requirement set forth in this Section supersedes the requirement set forth in the RFLOI.

3.5.4 Workforce/Equal Employment Opportunity (EEO)

The MBTA recognizes and appreciates that diversity is an advantage in the business community of today. The MBTA encourages, supports, and nurtures diversity, and requires any firm contracting with the MBTA to do the same in compliance with federal law, including the FTA’s Circular 4704.1A. During the term of the DB Contract, the DB Entity shall maintain a Minority Manpower Utilization of not less than 15.3% and a Female Construction Workforce Utilization goal of 6.9%, determined as the ratio of minority/female employee man hours to total man hours for each job category on the project including, but not limited to, bricklayers, carpenters, cement masons, electricians, ironworkers, operating engineers, and “the classes of work” enumerated in Mass. Gen. Laws, ch. 149, § 44F. 3.5.5 Title VI of the Civil Rights Act of 1964 and Nondiscrimination Requirements

The MBTA is required to ensure nondiscrimination toward any member of the public based on race, color, national origin, disability, age, and sex in all of its programs, services, and activities under Title VI and related federal nondiscrimination requirements, as well as nondiscrimination requirements under state and local law that protect people in additional categories. The DB Entity must comply with Title VI and nondiscrimination requirements as it undertakes all efforts leading to successful completion of this Project, and will be expected to follow the policies, practices and procedures of the MBTA’s Title VI Program during public meetings, response to complaints, compliance monitoring and reporting, and support for required analyses, all in a manner consistent with good civil rights practice. This type of project encourages discretion in

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the selected Proposer, and the MBTA wants to ensure that the effects of the Project, including disruption of travel and livability, are carefully considered and minimized, particularly concerning minority and low-income individuals who are most vulnerable to adverse impacts.

3.5.6 Labor Laws

The Project will be subject to federal wage and hourly laws and rates and minimum state wage rates as well as all other applicable labor laws.

3.5.7 General Organizational Requirements

Respondents should be aware that during the RFP phase, they will be required to provide evidence that they, and each member of their Respondent Team, are chartered in the Commonwealth of Massachusetts, hold a Foreign Corporation Certificate or, if not a corporation, are otherwise qualified to do business in the Commonwealth of Massachusetts.

IV. PROCUREMENT PROCESS

4.1 Rules of Contact and Confidentiality

4.1.1 Rules of Contact

The following rules of contact shall apply during this procurement process. Contact includes mail, face-to-face, telephone, electronic-mail (e-mail), or formal written communications. The MBTA’s Point of Contact for this RFQ is identified in Section 4.6 (Respondent Questions and Answers) of this RFQ.

The rules of contact are designed to promote a fair, unbiased, legally defensible procurement process. The MBTA is the single source of information regarding this procurement.

The procurement process began with the MBTA’s issuance of the Request for Letters of Interest, and will be completed with the award and execution of the DB Contract. These rules of contact are now in effect. The specific rules are as follows:

A) After submittal of SOQs, no Respondent or any of its members may communicate with another Respondent or members of another Respondent Team with regard to this procurement or the DB Services, unless: (i) a subcontractor is on both its team and another proposal team; and (ii) a protocol is established by the two proposal teams in question to ensure that the subcontractor will not act as a conduit of information between the proposal teams.

Note: Limited communication among Respondents and their members is allowed during MBTA sponsored site visits and meetings.

B) After issuance of this RFQ, correspondence between (i) recipients of this RFQ or Respondents, and (ii) the MBTA regarding the RFQ and RFP will only be through the Point of Contact and the Respondent’s designated representatives;

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C) No Respondent, Proposer or representative thereof shall have any ex parte communications regarding the RFQ, the RFP, the DB Contract, or the procurement described herein with any member of the MBTA’s Fiscal and Management Control Board (“FMCB”) or MassDOT Board of Directors, or with any MassDOT or MBTA staff, advisors, contractors or consultants involved with the procurement, except for communications expressly permitted by this RFQ or the RFP; provided that the foregoing restriction shall not preclude or restrict communications with regard to matters unrelated to the RFQ, RFP, DB Contract or the procurement or from participating in public meetings of the FMCB or the MassDOT Board of Directors;

D) Respondents shall not, with respect to any matter relating to the RFQ, RFP or award of the DB Contract, contact employees, representatives or members of any entity precluded from participating in this procurement, including the Consultant Support Team;

E) Any contact determined to be improper, at the sole discretion of the MBTA, may result in disqualification;

F) Any official information regarding the procurement will be disseminated from the MBTA, and any official correspondence will be in writing from the Point of Contact;

G) The MBTA will not be responsible for any oral communication or any other information or contact that occurs outside the official communication process specified herein; and

H) The restrictions set forth in this Section shall continue until the earliest of:

1) Award and execution of the DB Contract,

2) Rejection of all Proposals by the MBTA, or

3) Cancellation of the procurement.

4.1.2 Public Records Law

SOQs will not be publicly opened or publicly evaluated.

All written correspondence, exhibits, reports, printed material, photographs, tapes, electronic disks, and other graphic and visual aids submitted to the MBTA during this procurement process, including as part of the response to this RFQ, become the property of the MBTA upon their receipt by the MBTA and will not be returned to the submitting parties. Except as provided in MGL c. 66 § 10 (the Massachusetts Public Records Law, or “Public Records Law”), all materials submitted to the MBTA are subject to release as public records. Respondents shall familiarize themselves with the provisions of the Public Records Law. In no event shall the MBTA, or any of their agents, representatives, consultants, directors, officers or employees, be liable to a

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Respondent or Respondent Team member for the disclosure of all or a portion of a SOQ or related information submitted during this procurement.

If a Respondent has special concerns about information which it desires to make available to the MBTA but which it believes constitutes a trade secret, proprietary information, or other information excepted from disclosure, such Respondent shall specifically and conspicuously designate that information by placing “CONFIDENTIAL” in the header or footer of each such page affected and by identifying such confidential information in the Transmittal Letter (Schedule A-4 of Form A of Attachment C (Transmittal Letter – Confidential Contents Index) to this RFQ). Nothing contained in this provision shall modify or amend requirements and obligations imposed on the MBTA by the Public Records Law or other applicable law. The provisions of the Public Records Law or other laws shall control in the event of a conflict between the procedures described above and the applicable law.

If the MBTA receives a request for public disclosure of all or any portion of an SOQ or its related information that is designated as confidential, the MBTA will endeavor to use reasonable efforts to notify the applicable Respondent of the request. The Respondent can assert, in writing and at its sole expense, a claimed exception under the Public Records Law or other applicable law, including MGL c. 149A § 17(e), within the time period specified in the notice issued by the MBTA and allowed under the Public Records Law. The Respondent can choose to defend any action seeking release of the records it believes to be confidential information. The Respondent shall indemnify, defend, and hold harmless the MBTA and its agents and employees from any judgments awarded against the MBTA and its agents and employees in favor of the party requesting the records, including any and all costs connected with that defense. This indemnification survives the MBTA’s cancellation or termination of this procurement or award and subsequent execution of a DB Contract. In submitting an SOQ, the Respondent agrees that this indemnification survives as long as the confidential business information is in possession of the MBTA.

The MBTA shall not under any circumstance be responsible for securing a protective order or other relief enjoining the release of information marked confidential in any SOQ, nor shall the MBTA be in any way financially responsible for any costs associated with securing any such order or for any loss associated with the release of information marked confidential or otherwise.

4.2 Conflicts of Interest and Respondent Teams

4.2.1 Personal Conflicts of Interest

MGL Chapter 268A (the “Conflict of Interest Law”) governs the conduct of all public officials and employees, including all dealings with potential contractors. Therefore, it is the responsibility of each Respondent to ensure compliance with the Conflict of Interest Law and avoid any conduct which might result in or give the appearance of creating for Board members, officers or employees of the MBTA in their relationship with the Respondent any conflicts of interest or favoritism and/or the appearance thereof or any conduct which might result in a Board member, officer or employee failing to comply with MGL, c. 268A. Non-compliance with the

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terms of the Conflict of Interest Law shall constitute a material breach of this provision and may result in disqualification.

For purposes of this solicitation, it is understood and agreed that no gift, loan or other thing has been or will be given to any employee, agent or officer of the MBTA by any Respondent Team member or its employees, subcontractors, or agents in connection with the award or performance of the DB Contract. It is further understood and agreed that no Board member, officer, or employee of the MBTA; no officer or employee of MassDOT or of any independent authority or political subdivision of the Commonwealth of Massachusetts; no officer, employee, or elected official of the Commonwealth of Massachusetts; and no executive or legislative representative of any city, county, or town within the 175 cities and towns serviced by the MBTA shall have any interest, direct or indirect, in the DB Contract or the proceeds thereof.

4.2.2 Ineligible Firms and Organizational Conflicts of Interest

The Respondent is responsible for disclosing all potential organizational conflicts of interest in its SOQ. A potential organizational conflict of interest may occur in any of the following instances:

A) When a Respondent is unable, or potentially unable, to provide impartial and objective assistance or advice to the MBTA due to other activities, relationships, contracts, or circumstances;

B) Where a Respondent has an unfair competitive advantage through obtaining access to nonpublic information during the performance of an earlier contract; or

C) Where, during the conduct of an earlier procurement, a Respondent has established the ground rules for a future procurement by developing specifications, evaluation criteria, or similar documents.

The Respondent is required to provide information concerning potential organizational conflicts of interest in its SOQ. If a potential or real organizational conflict of interest is determined to exist that cannot be neutralized or mitigated, the firm or firms subject to the potential or real organizational conflict of interest will be ineligible to participate in this procurement. Any determinations rendered by the MBTA regarding organizational conflicts of interest will be final.

The Selected Proposer and its members must disclose all relevant facts concerning any past, present, or currently planned interests which may present an organizational conflict of interest. The Selected Proposer and its members must state how their interests, or those of their chief executives, directors, key personnel, or any proposed subcontractor may result, or could be viewed as, an organizational conflict of interest.

The MBTA will analyze any potential organizational conflicts of interest in order to avoid, neutralize, or mitigate potential conflicts before award of the DB Contract. In addition, any firm that is rendered ineligible through any state or federal action is ineligible to participate with any Respondent/Proposer.

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By submitting its SOQ, each Respondent agrees that, if an organizational conflict of interest is thereafter discovered, the Respondent must make an immediate and full written disclosure to the MBTA that includes a description of the action that the Respondent has taken or proposes to take to avoid or mitigate such conflict. If an organizational conflict of interest that the Respondent knew or should have known about but did not disclose is determined to exist during the procurement process, the MBTA may, at its sole discretion, disqualify the Respondent. If an organizational conflict of interest that the Proposer knew or should have known about but did not disclose exists and the Proposer has entered into a DB Contract, the MBTA may, at its sole discretion, cancel the contract. In either case, the MBTA may avail itself of any remedies it may have at law or in equity.

4.2.3 Respondent Team Members

The following set forth rules regarding the make-up of the Respondent Team:

A) Members of the Respondent Team (other than the Major Participants and the Lead Designer, which are discussed in (B) and (C) below) may serve on more than one proposal team.

B) Major Participants are prohibited from serving as members of more than one proposal team.

C) Lead Designers are prohibited from serving as Lead Designers on more than one proposal team. However, a firm serving as a Lead Designer on one proposal team may participate on another proposal team as long as it is not serving as Lead Designer on the second proposal team.

D) An entity that is a Major Equipment Supplier may not be a Major Participant.

E) An entity that is a Major Equipment Supplier, if requested by more than one proposal team to provide equipment of the nature that caused such entity to be a Major Equipment Supplier, will be required to enter into good faith negotiations with the proposal teams requesting such equipment, to supply such equipment on commercially reasonable terms.

F) The MBTA discourages changes to the Major Participants, the Lead Designer, a Major Equipment Supplier, or other Key Subcontractors following the SOQ Submittal Date and reserves the right, in its sole discretion, to approve or reject the replacement or deem the SOQ non-responsive based on any such change. The MBTA is under no obligation to approve or disapprove such requests for changes, or portions thereof.

4.3 MBTA's Consultant Support Team

The following entities have been retained to serve as the primary Consultant Support Team for the DB Services:

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• Allegro Construction Services

• Arcadis

• Bryant Associates

• Burns Engineering, Inc.

• CityPoint Partners

• Dino DiFronzo Consulting

• Hawkins Delafield & Wood LLP (legal advisors)

• HDR Engineering, Inc.

• Kennedy-Jenks Consultants

• Keville Enterprises

• Kristine Fallon Associates

• LTK Engineering Services

• Mott MacDonald

• PHM Joint Venture (Joint Venture of Patrick Engineering and Mott MacDonald)

• Patrick Engineering

• Rachel Moran Engineering

• Stantec

• Steere Engineering

• Triunity Engineering & Management

• VJ Associates, Inc.

• Weston & Sampson (MBTA owner representative)

Members of the Consultant Support Team are not eligible to assist or participate as team members with any Respondent without the express written consent of the MBTA in its discretion.

Additional members may be added to the Consultant Support Team for the DB Services. The MBTA may identify any new members in an Addendum if and when a member is added.

The Consultant Support Team’s scope of services requires team members to provide assistance to the MBTA and its Selection Committee in preparing this RFQ and the RFP, and in evaluating SOQs and Proposals, including providing financial, contractual and technical advice. The Consultant Support Team may also provide support to the MBTA in connection with Project implementation.

4.4 Selection Committee

The MBTA will appoint a selection committee to review and evaluate the SOQs (the “Selection Committee”). Based upon its review and evaluation, the Selection Committee will prepare a written evaluation that provides the overall scores and ranks the Respondents based on the overall scores. The MBTA will notify all Respondents in writing regarding their inclusion on the Short-List.

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The Selection Committee may be assisted by one or more Project Evaluation Support Groups (“PESG”), which includes non-voting technical advisors from the ODCR, MassDOT, the MBTA or MBTA consultants. The role of the technical advisors is to provide subject matter advice that is considered non-routine to the Selection Committee. Technical advisors may be assigned to assist, inform, advise, and make recommendations to the Selection Committee’s voting members, who will make their own judgment for the scoring of the SOQs.

4.5 Procurement Schedule

The following represents the current procurement schedule for the Project. The schedule is subject to change at the discretion of the MBTA. All times are local Boston times unless otherwise indicated.

Activity Due Date

Issued Letter of Interest February 24, 2017

Issue Request for Qualifications to Firms Having Submitted Letters of Interest

May 12, 2017

Deadline for Respondents to Submit Questions Regarding the RFQ

May 22, 2017

Deadline for Questions Regarding Addenda Issued by MBTA 3 days after an Addendum is issued by the MBTA

Statement of Qualifications Due Date June 12, 2017 at 11:00 A.M.

Short-List Announced July 2017

Issue Request for Proposals, including DB Contract August 2017 Proposal Submittal Date October / November 2017

Price Proposal Public Opening November 2017

Award of Contract December 2017

4.6 Respondent Questions and Answers

Respondents are encouraged to submit questions regarding this RFQ in writing, including requests for additional information, interpretation and to correct any errors. All such requests must be submitted in writing in the format shown on Form 3 in Attachment D (Respondent’s Question Request Form) to the Assistant General Manager for Capital Delivery’s designee, Yvelisse Duvergé, Manager of Construction Procurement (the “Point of Contact”), via e-mail at [email protected]. The subject line of the e-mail must use the subject line “RFQ – RL/OL Signals Systems Upgrade Project”.

Only written requests to the above addressee and received by the date specified in Section 4.5 of this RFQ will be considered. No requests for additional information, interpretation and to correct any errors to any other MBTA office, consultant, or employee will be considered.

If the MBTA determines that a change or explanation to the RFQ is needed, all responses will be in writing and shall be made available as an Addendum (without attribution) to all Respondents. The MBTA reserves the right to respond or not respond to submitted questions and requests. To

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the extent that a response is merited, any response will be posted in the Document Library. Any responses to questions or Addenda not issued in accordance with this Section or Section 4.7 (RFQ Addenda) of this RFQ will be without legal effect.

Access instructions for the Document Library will be provided in accordance with Section 4.9 (Procurement and Background Documents) and Section 4.10 (Non-Disclosure Agreement and Certificate of Custody) of this RFQ to each Respondent’s primary contact, as provided by the Respondent in the LOI.

4.7 RFQ Addenda

The MBTA reserves the right to revise this RFQ by issuing written Addenda at any time before the SOQ due date. All Addenda will be considered part of this RFQ and will be posted to the Document Library. Each Respondent is solely responsible for obtaining all Addenda prior to submitting its SOQ. The MBTA assumes no responsibility or liability whatsoever for the distribution of Addenda to Respondents.

If an Addendum is issued, each Respondent must acknowledge receipt of the Addendum in the appropriate location of the Transmittal Letter included as Form A of Attachment C (Transmittal Letter) to this RFQ.

4.8 Stipend for Unsuccessful Proposers

The MBTA may provide a stipend to Proposers who are included on the Short-List and who submit to the MBTA a responsive Proposal that is not selected by the MBTA for the DB Services. Further details on the stipend, if any, will be included in the RFP.

4.9 Procurement and Background Documents

The RFQ, including all Background Documents, Addenda, responses to questions, and correspondence to Respondents, will be posted in the Document Library. Upon release of the RFQ, the MBTA will notify Respondents of the availability of the RFQ, and provide instructions and a password that will give the Respondent access to the Document Library, other than the portion of the Document Library set aside for Background Documents.

Respondents are responsible for monitoring the Document Library and being aware of any updates.

Individuals seeking access to Background Documents will be required to follow the procedures set forth in Section 4.10 (Non-Disclosure Agreement and Certificate of Custody) of this RFQ.

All Background Documents will be for reference and background information only. The MBTA makes no representation as to the accuracy, completeness, or pertinence of any Background Documents and shall not be responsible for any interpretations thereof or conclusions drawn therefrom.

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4.10 Non-Disclosure Agreement and Certificate of Custody

Each individual who a Respondent confirms is on the respondent team, as a condition of being granted access to the Background Documents, will be required to (i) execute and deliver a Non-Disclosure Agreement to the MBTA; and (ii) be employed by an entity on the respondent team that has executed and delivered a Certification of Custody to the MBTA. Upon satisfying the foregoing conditions, the MBTA will give such individual instructions for gaining access to the Background Documents, together with a unique password allowing such access. Please send executed Non-Disclosure Agreements and Certifications of Custody via email at [email protected]. The subject line of the e-mail must use the subject line “RFQ – RL/OL Signals Systems Upgrade Project”.

4.11 SOQ Evaluation and Selection Process

The process for procurement of the DB Services will be in accordance with applicable law, including the DB Act and the DB Procedures. This RFQ sets forth what is required during the RFQ phase of the procurement. The objective of the RFQ phase of the procurement is to create a Short-List of the highest rated Respondents with the general capability to successfully undertake and complete the DB Services. The Short-List will be determined based on the evaluation and rating criteria set forth herein. Neither the overall technical and financial ratings nor the ranking of the Respondents on the Short-List will be disclosed to Respondents during the procurement process.

The MBTA reserves the right to determine the final number of Respondents to be included on the Short-List in its discretion. Only those Respondents included on the Short-List will be invited to submit Proposals in response to the RFP. If only one qualified, responsive entity is identified for inclusion on the Shortlist, the MBTA will terminate this procurement and may elect to re-advertise and renew the RFQ process.

4.12 SOQ Content and Submittal Requirements

The MBTA expects SOQs to provide sufficient information in response to this RFQ so as to allow the MBTA to evaluate and competitively rank Respondents based on the criteria set forth in this RFQ. SOQs must include a response to each evaluation criterion specified herein. SOQs shall be submitted exclusively in the English language, inclusive of English units of measure and US dollar denominations (unless otherwise indicated).

All SOQs shall be organized in the manner described in Attachment A (Format and Organization for Statement of Qualifications) to this RFQ and shall meet the requirements set forth in Attachment B (SOQ Submittal Requirements and Evaluation Criteria) to this RFQ.

4.13 RFP and Proposal Process

During the second phase of the procurement, an RFP will be issued to each Respondent on the Short-List. The RFP will specify the requirements for submission of a technical proposal and a price proposal from each Respondent on the Short-List. Prior to the submittal date for Proposals,

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a pre-proposal submission conference may be held. Details related to this conference and the Proposal evaluation process will be included in the RFP.

V. SOQ EVALUATION AND SHORT-LIST DETERMINATION

5.1 Evaluation Factor Objectives and Requirements

In providing SOQs, Respondents should be guided by the objectives listed in Section 1.2 (Background and Objectives) of this RFQ and in Attachment B (SOQ Submittal Requirements and Evaluation Criteria) to this RFQ. An objective is stated for each evaluation factor in Attachment B (SOQ Submittal Requirements and Evaluation Criteria) to this RFQ to provide Respondents with an understanding of the expectations of the MBTA. The requirements for each evaluation factor and the information to be submitted are listed and described in detail in this RFQ. The SOQ scoring will be based on how well the SOQ responds to the requirements and meets or exceeds the goals and the objectives for each of the evaluation criteria.

5.2 Responsiveness Review

Each SOQ will first be reviewed to determine whether it is in compliance with all terms and conditions of this RFQ, including, without limitation, all submittal requirements specified in Attachment A (Format and Organization for Statement of Qualifications) and Attachment B (Format and Organization for Statement of Qualifications) to this RFQ and the forms set forth in Attachment C (Statement of Qualification Forms). The initial responsiveness review will consider, without limitation:

A) Identification of minor informalities, irregularities and apparent clerical mistakes which are unrelated to the substantive content of the SOQ;

B) Whether the required contents of the SOQ have been submitted;

C) Conformance to the RFQ instructions regarding organization and format; and

D) Overall responsiveness of the Respondent to the requirements set forth in this RFQ.

Without limiting any right of the MBTA under Article VII (MBTA Rights and Disclaimers) of this RFQ, any SOQ that is not responsive to the requirements of this RFQ may be deemed non-responsive. In such event, the Respondent submitting the nonresponsive SOQ will be notified and excluded from further consideration under this RFQ. The MBTA may also exclude from consideration any Respondent who fails to comply with the requirements of this RFQ before or after the submittal of its SOQ or whose SOQ is determined by the Selection Committee to contain a material misrepresentation. The MBTA may request Clarifications from a Respondent in accordance with Section 5.6 (Requests for Clarification) of this RFQ.

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5.3 Pass/Fail Review

Following or in conjunction with the evaluation of each SOQ for responsiveness, the MBTA will evaluate each SOQ based upon the pass/fail criteria set forth in Section 5.3.1 (Legal Constraints), Section 5.3.2 (Construction Classification Minimum Single Project Limits), and Section 5.3.3 (Financial) of this RFQ. All Respondents obtaining a “pass” on all pass/fail items will be evaluated under Section 5.4 of this RFQ. The MBTA may request Clarification from a Respondent in regard to an SOQ in which a Respondent obtains a “fail” on any item in accordance with Section 5.6 of this RFQ, after which the MBTA may evaluate the SOQ, at the MBTA’s sole discretion.

5.3.1 Legal Constraints

The SOQ must demonstrate that the Respondent’s organization is not subject to legal constraints as to its ability to enter into and perform the DB Contract, including but not limited to debarment, disqualification, removal or suspension from performing work by a governmental or regulatory entity.

5.3.2 Construction Classification Minimum Single Project Limits

The SOQ must demonstrate that the Respondent meets the minimum single project limits in the required construction classifications, as further described in Section 1.4.4 of Attachment B (Construction Classification Minimum Single Project Limits) to this RFQ.

5.3.3 Financial

The Respondent must:

A) provide evidence in the form of a surety letter from an approved surety indicating that the Respondent is capable of obtaining a performance bond and payment bond in an amount of up to 100% of the DB Contract amount, as further described in Section 1.4.7 of Attachment B (Financial) to this RFQ; and

B) demonstrate that the Respondent, the Major Participants and any Guarantor collectively have the financial capability to carry out the responsibilities of the DB Entity based on the financial information submitted in its SOQ, as further described in Section 1.4.7 of Attachment B (Financial) to this RFQ, and considering factors such as:

1) Profitability;

2) Capital structure;

3) Ability to service existing debt;

4) Other commitments and contingencies; and

5) Any material change in financial condition.

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5.4 Qualitative Evaluation Criteria and Weighting

Each responsive SOQ passing all of the pass/fail qualification requirements set forth in Section 5.3 (Pass/Fail Review) of this RFQ will then be evaluated and scored according to the qualitative criteria set forth in Table 5-1 (Qualitative Evaluation Criteria). Refer to Attachment B (SOQ Submittal Requirements and Evaluation Criteria) to this RFQ for details regarding each evaluation criterion.

Table 5-1: Weighting of Evaluation Criteria

QUALITATIVE EVALUATION CRITERIA Available

Points 1. PROJECT TEAM EXPERIENCE/TECHNICAL

QUALIFICATIONS/PAST PERFORMANCE (Sections 1.4.1, 1.4.5(B)(2), (5) and (6), and 1.4.8 of Attachment B, and completed Forms identified in Attachment C to this RFQ)

40

2. PROJECT STAFFING/KEY PERSONNEL (Sections 1.4.2 and 1.4.6 of Attachment B to this RFQ)

40

3. DB SERVICES UNDERSTANDING AND APPROACH (Section 1.4.3 of Attachment B to this RFQ)

20

TOTAL POINTS 100

The evaluation of the qualifications of each Respondent will be based on the SOQs received, correspondence with Respondent teams and personnel references and analysis of other publicly available information and information otherwise made available to the MBTA. Respondents shall submit all information in accordance with this RFQ. The MBTA, at its sole discretion, shall have the right to seek Clarifications from each of the Respondents.

5.5 Evaluation Rating Procedures

The Selection Committee will establish ratings of the responsive SOQs passing all of the pass/fail qualification requirements set forth in Section 5.3 (Pass/Fail Review) of this RFQ based on the scoring of the SOQs in accordance with this RFQ and the DB Procedures, and the Respondents will then be ranked in order of highest to lowest. Evaluations and rankings of SOQs are subject to the sole discretion of the MBTA.

5.6 Requests for Clarification

The Respondent shall provide accurate and complete information to the MBTA. If information is not complete, the MBTA may either declare the SOQ non-responsive or notify the Respondent that it will not be allowed to participate further in the procurement until all information required is provided. Any insufficient statements or incomplete affidavits may be returned directly to the Respondent by the MBTA with notations of the insufficiencies or omissions and with a request for Clarifications and/or submittal of corrected, supplemental, or missing documents. If a

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response is not provided prior to the deadline for submission of the response, the SOQ may be declared non-responsive.

The MBTA may waive minor irregularities in the form of the SOQ that do not alter the quality or quantity of the information provided.

The MBTA may, at its sole discretion, request Clarifications and/or supplemental information from Respondents during the SOQ evaluation and Short-List process.

All requests for Clarification will be in writing via e-mail, with responses submitted as per the instructions contained in the request for Clarification. Responses must be limited to answering the specific information requested by the MBTA.

The MBTA does not anticipate conducting interviews during the RFQ phase, but reserves the right to do so. If the MBTA elects to conduct interviews, the Respondents will be notified in writing.

In the event a material error is discovered in the RFQ during the SOQ evaluation process, the MBTA will issue an Addendum to all Respondents that have submitted SOQs requesting revised SOQs based upon the corrected RFQ.

5.7 Selection of Most Qualified Respondents

All Respondents submitting SOQs will be notified in writing of the results of the evaluation process. A short-list of firms determined by the MBTA to be the most qualified will be notified and invited to submit a Proposal in response to the RFP.

5.8 Debriefings

Respondents not selected for award may request a debriefing. Debriefings shall be provided at the earliest feasible time after award of the DB Contract.

Debriefings shall:

(a) Be limited to discussion of the unsuccessful Respondent’s SOQ and may not include specific discussion of a competing SOQ;

(b) Be factual and consistent with the evaluation of the unsuccessful Respondent’s SOQ; and

(c) Provide information on areas in which the unsuccessful Respondent’s SOQ had weaknesses or deficiencies.

Debriefing may not include discussion or dissemination of the thoughts, notes, or rankings of individual members of the Selection Committee, but may include a summary of the rationale for the selection decision.

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VI. PROTEST PROCEDURES

6.1 Pre-SOQ Submittal Decision of Protest

6.1.1 Procedure

If it is the opinion of any interested party that the proposed procurement requirements are in any way ambiguous, incorrect, incomplete or restrictive, the interested party shall contact the MBTA, in writing, via U.S. mail, at least 10 business days prior to the SOQ submittal date. The letter should be addressed to the Director of Contract Administration at Massachusetts Bay Transportation Authority, 100 Summer Street, Suite 1200, Boston, MA 02110. The letter should identify the procurement that is underway (Contract No. Q09CN01, Request for Qualifications for Red Line and Orange Line Signals Systems Upgrades Design Build Project) and the specific issue to be addressed. Any protest about the content of a specification or requirement of the procurement is waived if not received prior to the SOQ submittal date. The MBTA will review the interested party's protest and will respond, in detail, to each substantive issue raised by the interested party within three business days. If the matter requires further evaluation, the MBTA will notify the protesting party in writing (by U.S. mail) of the extended review period. A final response will be issued by the MBTA upon final review of the matter. One of the following steps will be taken prior to the SOQ submittal date:

A) The MBTA may elect to conduct an informal conference on the merits of a protest with interested parties;

B) If, upon review, the MBTA determines that a change should be made to the RFQ, an Addendum will be issued;

C) If the MBTA determines that no change should be made to the RFQ, but that it is necessary to respond to any point made by the interested party, a letter including such response will be issued; or

D) If the MBTA determines that neither a change nor an explanation should be made to the RFQ, then the interested party will be notified in writing (by telephone, if possible) of the MBTA's determination.

6.1.2 Appeal

If the interested party does not believe that the response addressed his/her concerns, he/she may appeal this decision to the MBTA's General Counsel, in writing, prior to the SOQ submittal date. The matter will be reviewed and a response will be made in accordance with steps A through D above.

6.1.3 Final Decision

ONCE THE GENERAL COUNSEL'S DETERMINATION HAS BEEN MADE, THE MBTA'S DECISION IS FINAL AND WILL NOT BE RECONSIDERED UNLESS THERE IS

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ADDITIONAL INFORMATION WHICH WAS NOT AVAILABLE TO THE APPEALING PARTY AT THE TIME THE APPEAL WAS MADE.

6.2 Post-SOQ Submittal Decision of Protest

6.2.1 Procedure

Post-SOQ submittal protests by a Respondent shall be made in writing within three business days of the announcement date of the Short-List and shall be made as follows:

A) The initial protest shall be made to the Director of Contract Administration, at the contact information noted in Section 6.1.1 (Pre-SOQ Submittal Decision of Protest – Procedure) of this RFQ, who will collect the factual information pertaining to the protest.

B) After discussion and appropriate review, the MBTA will forward a recommendation to the Assistant General Manager for Capital Delivery (“AGM”) or his/her designee.

C) If the AGM does not concur with the recommendation, the AGM or his/her designee shall obtain any other additional information required so that a determination can be made, at which time the interested party will be notified in writing of the MBTA’s determination within five business days. If the matter requires further evaluation, the AGM or his/her designee shall notify the protesting party in writing of the extended review period. A final response will be issued by the AGM upon final review of the matter.

6.2.2 Appeal

A) If the protester does not agree with the determination, it may appeal directly to the MBTA’s General Counsel in writing within three business days of the AGM’s determination.

B) The General Counsel will review all facts of the appeal and will make a final determination and will so advise the protester within five business days. If the matter requires further evaluation, the General Counsel shall notify the protester in writing (by U.S. mail) of the extended review period. A final response will be issued by the General Counsel upon final review of the matter.

6.2.3 Final Decision

ONCE THE GENERAL COUNSEL’S DETERMINATION HAS BEEN MADE, THE MBTA’S DECISION IS FINAL AND WILL NOT BE RECONSIDERED UNLESS THERE IS ADDITIONAL INFORMATION WHICH WAS NOT AVAILABLE TO THE APPEALING PARTY AT THE TIME THE APPEAL WAS MADE.

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6.3 Federally Funded Procurements

All Respondents are notified that the following will be applicable if the project is federally funded:

1. FTA’s review of the protest will be limited to the MBTA’s failure to have or follow its written protest procedures. The appeal to FTA must be received by the cognizant FTA regional or Headquarters Office within five working days of the date the protester knew or should have known of the violation. The appeal is to be in accordance with FTA Circular 4220.1F (as periodically updated, most recently updated on March 18, 2013).

2. Note: The protester must exhaust all administrative remedies with the MBTA before electing to pursue a protest with the FTA.

6.4 Rights of the MBTA with Pending Protests

The MBTA reserves the right to proceed with the procurement, which may include the opening of submittals or Proposals and the subsequent award of the DB Contract, regardless of the existence of a protest that is pending, in the event that a determination has been made that:

A) The supplies or services to be contracted for are urgently required;

B) Delivery or performance will be unduly delayed by failure to make award promptly; or

C) Failure to make a prompt award will otherwise cause undue harm to the MBTA or the federal government.

If an award is made, the procurement file will be documented to explain the basis of award. Written notice of the decision to proceed with the award will be sent to the protester and other interested parties.

VII. MBTA Rights and Disclaimers

7.1 MBTA Rights

The MBTA may investigate the qualifications of any Respondent under consideration, may require confirmation of information furnished by a Respondent, and may require additional evidence of qualifications to perform the DB Services. The MBTA reserves the right, in its sole and absolute discretion, to any of the following:

A) Rejection of any or all Statements of Qualifications:

B) Issuance of a new Request for Qualifications following withdrawal of this RFQ or a subsequent RFP;

C) Cancellation, modification, or withdrawal of the Request for Qualifications;

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D) Issuance of Addenda, supplements, and modifications to this Request for Qualifications;

E) Modify the procurement process in its sole discretion to address applicable law and/or the best interests of the MBTA;

F) Not issue an RFP;

G) Modification of the Request for Qualifications process (with appropriate notice to Respondents);

H) Appointment of the selection and evaluation personnel to review SOQs and seek the assistance of outside technical experts in the SOQ evaluation, if necessary;

I) Approval or disapproval of the use of particular subcontractors and/or substitutions and/or changes in SOQs;

J) Revision and modification, at any time before the SOQ due date, of the factors it will consider in evaluating SOQs and to otherwise revise or expand its evaluation methodology, provided that, if such revisions or modifications are made, the MBTA will circulate an Addendum to all registered potential Respondents setting forth such revisions and modifications;

K) Correspondence and communications with the Respondents, including holding meetings, to seek Clarifications and an improved understanding and evaluation of the SOQs;

L) Seeking or obtaining data from any source that has the potential to improve the understanding and evaluation of the SOQs;

M) Waiver of weaknesses, informalities, and minor irregularities in SOQs;

N) Disqualification of any team that changes its SOQ without MBTA written approval;

O) Refusal to issue an RFQ to a prospective Respondent and to refuse to receive or open an SOQ, once submitted, or reject an SOQ if such refusal or rejection is based upon, but not limited to, the following:

1) Failure on the part of the Respondent or a member of the Respondent’s team to pay, satisfactorily settle, or provide security for the payment of claims for labor, equipment, material, supplies, or services legally due on previous or ongoing contracts with the MBTA;

2) Default on the part of the Respondent or a member of the Respondent’s team under previous contracts with the MBTA;

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3) Unsatisfactory performance by the Respondent or a member of the Respondent’s team under previous contracts with the MBTA;

4) Issuance of a notice of debarment or suspension to the Respondent or a member of the Respondent’s team;

5) Submittal by the Respondent of more than one SOQ in response to this RFQ under the Respondent’s own name or under a different name;

6) Existence of an organizational conflict of interest or evidence of collusion between a prospective Respondent (or any member of the Respondent’s team) and other Respondent(s) (or members of the Respondent’s team) in the preparation of an SOQ, proposal, or bid for any MBTA project; and/or

7) Uncompleted work or default on a contract in another jurisdiction for which the prospective Respondent or a member of the Respondent’s team is responsible which, in the judgment of the MBTA, might reasonably be expected to hinder or prevent the prompt and full performance of the DB Contract, if awarded; and

P) Exercise any other right reserved or afforded to the MBTA under this RFQ.

The RFQ does not commit the MBTA to enter into a DB Contract nor does it obligate the MBTA or any of its employees, advisors or representatives (including any member of the Consultant Support Team) to pay for any costs incurred in preparation and submission of the SOQs, in anticipation of a DB Contract, or in any other activities included as part of the procurement process, including, but not limited to, loss of anticipated profits, loss of opportunity or for any other loss, cost or expense. By submitting an SOQ, a Respondent disclaims any right to be paid for such costs.

In issuing this RFQ, the MBTA is not committing to issue the RFP or, following issuance of an RFP, to enter into a DB Contract.

In no event will the MBTA be bound by or be liable for any obligations with respect to the DB Contract until such time (if at all) as the DB Contract, in form and substance satisfactory to the MBTA, has been executed and authorized by the MBTA and approved by all required parties and then only to the extent set forth therein.

7.2 MBTA Disclaimers

In issuing this RFQ and undertaking the procurement process contemplated hereby, the MBTA specifically disclaims the following:

A) Any obligation to issue an RFP or to award or execute a DB Contract pursuant to this Request for Qualifications; and

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B) Any obligation to reimburse a Respondent for any costs it incurs in responding to this RFQ.

In submitting an SOQ in response to this RFQ, the Respondent is specifically acknowledging these disclaimers.

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MASSACHUSETTS BAY TRANSPORTATION AUTHORITY

Attachments To The

Request For Qualifications for

Red Line And Orange Line Signals Systems Upgrades Design Build Project

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TABLE OF CONTENTS

ATTACHMENT A FORMAT AND ORGANIZATION FOR STATEMENT OF QUALIFICATIONS .............................................................................. A-1

1.1 General ............................................................................................................... A-1 1.2 Format ................................................................................................................ A-1 1.3 SOQ Organization .............................................................................................. A-2 1.4 SOQ Submission Requirements ......................................................................... A-2 1.5 Content of the SOQ ............................................................................................ A-3

ATTACHMENT B SOQ SUBMITTAL REQUIREMENTS AND EVALUATION CRITERIA................................................................................................................ B-1

1.1 Transmittal Letter............................................................................................... B-1 1.2 Confidential Contents Index .............................................................................. B-1 1.3 Executive Summary ........................................................................................... B-2 1.4 Evaluation Criteria Objectives and Requirements ............................................. B-2

ATTACHMENT C STATEMENT OF QUALIFICATIONS FORMS ................................. C-1

Form A Transmittal Letter Schedule A-1 Certificate Of Authorization Schedule A-2 Guarantor Acknowledgment Schedule A-3 Guarantor Certificate Of Authorization Schedule A-4 Confidential Contents Index Schedule A-5 Letters of Major Participants

Form B Information Regarding Respondent and Team Members Schedule B-1 Additional Information Regarding Respondent, Major

Participants, Lead Designer, Major Equipment Suppliers, Other Key Subcontractors, and Guarantors

Schedule B-2 Certification Schedule B-3 Public Project Experience and References

Form C List of Key Personnel Schedule C-1 Key Personnel References

Form D Terminations, Failure to Complete, Material Breaches and Actual or Liquidated Damages

Form E Affidavit of Compliance Form F Convictions and Fines and Litigation, Arbitration and Dispute Resolution Form G Certification of Tax Compliance Form H Safety Experience Record Form I DBE Compliance Record Form J Firm’s Employee Profile Form K Respondent’s Management Diversity Profile Form L Title VI Program Development and Implementation and Summary of

Achievements in a Design Build context, including Community Participation Form M Work History

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ATTACHMENT D NON-DISCLOSURE FORMS AND QUESTION REQUEST FORM .................................................................................................. D-1

Form 1 Sensitive Security Information Non-Disclosure and Confidentiality Agreement Form 2 Sensitive Security Information Certification and Conditions of Custody Form 3 Respondent’s Question Request Form

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ATTACHMENT A

FORMAT AND ORGANIZATION FOR STATEMENT OF QUALIFICATIONS

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Attachment A-1

ATTACHMENT A FORMAT AND ORGANIZATION FOR STATEMENT OF QUALIFICATIONS

1.1 General

The MBTA expects SOQs submitted in response to this RFQ to provide enough information about the requested items so as to allow the MBTA to evaluate, competitively rank, and identify a Short-List of the most qualified Respondents to receive the RFP based on the evaluation criteria set forth in the RFQ.

SOQs shall be submitted exclusively in the English language inclusive of English units of measure and cost terms in United States of America dollar denominations (“U.S. dollars”).

References to Forms are to those forms set forth in Attachment C (Statement of Qualification Forms) to this RFQ.

1.2 Format

The SOQ shall be submitted in the following three volumes, which together constitute the SOQ: The Transmittal Letter (Form A, including Schedules A-1 through A-5) and the Executive Summary shall be included at the front of Volume 1.

• Volume 1 – Transmittal Letter, Executive Summary and Qualifications Statement (including completed SOQ Forms);

• Volume 2 – Financial Information; and

• Volume 3 – Corporate Safety and Accident Prevention Program.

Each Respondent shall submit the following:

(a) one original and nine copies (for a total of ten) of its SOQ Volume 1

(b) one original and two copies (for a total of three) of its SOQ Volume 2

(c) one original and one copy (for a total of two) of its SOQ Volume 3

All three Volumes shall be submitted in loose-leaf three ring binders, contained in sealed packages. The originals must be clearly marked “Original” on its face and spine. Each copy must be sequentially numbered on its spine (for example, “Volume 1, copy 1 of 9”). The Respondent’s name must be clearly marked on the spine. The Respondent shall also include a USB drive containing the contents of the SOQ.

Submittals must be prepared on 8-1/2 inch by 11 inch sized, white paper, and shall be double-sided. 11 inch by 17 inch pages are allowed (included in the page count contained in Volume 1) for schematics, organizational charts, other drawings, or schedules, but not for narrative text.

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Attachment A-2

Oversized (11 inch by 17 inch) schematics, organizational charts, drawings, or schedules may be single-sided. Printed lines may be single-spaced. Insofar as is practical or economical, all paper stock used shall be composed of recycled materials. Volume 1 shall have all pages sequentially numbered and shall not exceed 40 pages, excluding the cover, Transmittal Letter (Form A, including Schedules A-1 through A-5), table of contents, appendices, and dividers, provided that no substantive information is provided on the dividers. Information contained on pages above the 40-page limit will not be considered. Each printed side shall be considered one page. The font size in Volume 1 shall be no smaller than twelve-point, except for graphic elements such as organization charts, flow charts, other charts/tables, and photo captions, which may be smaller but must remain legible. The Volume 1 Transmittal Letter, appendices and forms, Volume 2 and Volume 3 need not have page numbering, and are not subject to any page limitation or type font size requirements.

The SOQ Forms appended at the end of Volume 1 (the “SOQ Forms Appendix”) shall include all of the completed SOQ Forms identified in Attachment C to this RFQ, other than Form A – Transmittal Letter, which shall be included at the beginning of Volume 1. The SOQ Forms Appendix shall include a Table of Contents in the front identifying the transaction forms in the order in which they appear in Attachment C to this RFQ. Completed SOQ Forms in the SOQ Forms Appendix shall be separated by tabs numbered alphabetically starting with B (representing Form B). Sub-tabs shall be included to separate Schedules of a SOQ Form, and additional sub-tabs may be included to separate forms or schedules of the same type provided by multiple entities or individuals.

Standard corporate brochures, awards, licenses, and marketing materials should not be included in a SOQ, and will not be considered in the evaluation of SOQs.

1.3 SOQ Organization

Each Respondent must organize its SOQ in the order set forth herein. If a Respondent believes it is necessary to include material in addition to the information specifically requested, the Respondent shall append that material to the end of the most appropriate defined section of the outline. Additional material is subject to the page limitation. Each volume may be subdivided beyond the requirements set forth herein as needed.

1.4 SOQ Submission Requirements

All packages constituting the SOQ shall be individually labeled as follows:

Response to the Request for Qualifications

for Red Line and Orange Line Signals Systems Design Build Project Contract No. Q09CN01

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Attachment A-3

SOQs shall be delivered by hand or courier to:

Manager of Construction Procurement Massachusetts Bay Transportation Authority 100 Summer Street, Suite 1200 Boston, MA 02110 Attn: Yvelisse Duvergé

The MBTA will not accept electronically submitted SOQs.

Acknowledgment of receipt of SOQs will be evidenced by the issuance of a receipt by a member of the MBTA staff.

SOQs will be accepted and must be received by the MBTA during normal business hours before the SOQ due date and time specified on the cover page of this RFQ. Any SOQs received after that date and time will be rejected and returned to the sending party unopened.

Respondents are solely responsible for assuring that the MBTA receives their SOQs by the specified delivery date and time at the address listed above. The MBTA shall not be responsible for delays in delivery caused by weather, difficulties experienced by couriers or delivery services, misrouting of packages by courier or delivery services, improper, incorrect, or incomplete addressing of deliveries, and other occurrences beyond the control of the MBTA. Respondents should be cognizant of the time required to pass through building security screening.

1.5 Content of the SOQ

In providing the SOQ, Respondents should be guided by the Background and Objectives in Section 1.2 of this RFQ, the Overview of DB Services in Section 3.1 of this RFQ and the Evaluation Criteria Objectives and Requirements listed in Section 1.4 of Attachment B to this RFQ. An objective is stated for each evaluation criteria to provide Respondents with the expectations of the MBTA. The requirements for each evaluation criteria and the information to be submitted are listed and described in detail. The SOQ evaluation ratings will be based on how well the SOQ responds to the requirements and meets or exceeds the project goals and the objectives for each of the evaluation criteria.

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Attachment A-4

The required SOQ contents are outlined in the table below:

Volume, Section/Appendix, Title, and Required Information RFQ Attachment B Reference

Volume 1, Transmittal Letter

Transmittal Letter (Form A)

Certificate of Authorization (Schedule A-1) Guarantor Acknowledgement (Schedule A-2) (if applicable) Guarantor Certificate of Authorization (Schedule A-3) (if applicable) Confidential Contents Index (Schedule A-4) Letters from Major Participants (Schedule A-5)

Sections 1.1 and 1.2

Forms and Schedules

Forms and Schedules are referred to throughout this outline of the organization of contents of Volume 1. All completed forms identified in Attachment C (Statement of Qualification Forms), other than Form A (Transmittal Letter), shall be included in the SOQ Forms Appendix in Volume 1 as directed in Section 1.2 of Attachment A (Format). Materials in the body of Volume 1 (which are subject to the page limitation) are intended to expand upon the information in the Forms and Schedules referred to herein. Such Forms and Schedules need not be duplicated in the body of Volume 1 that is subject to the page limitation. References should be made in the body of Volume 1 to such forms where applicable for ease of the Selection Committee reviewing the subject matter contained herein.

Volume 1, Executive Summary

Executive Summary Section 1.3

Volume 1, Section 1

Team Experience/Technical Qualifications Section 1.4.1

• Respondent and Major Participants

The text of the SOQ should make reference to completed Form B (Information Regarding Respondent and Team Members) and

1.4.1(B)(1)

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Attachment A-5

Volume, Section/Appendix, Title, and Required Information RFQ Attachment B Reference

Schedule B-3 of Form B (Public Project Experiences and References) for the information contained therein. The information in Form B and Schedule B-3 of Form B need not be repeated in the body of Volume 1 that is subject to the page limitation.

• Lead Designer

The text of this section of the SOQ should make reference to completed Form B (Information Regarding Respondent and Team Members) and Schedule B-3 of Form B (Public Project Experiences and References) for the information contained therein. The information in Form B and Schedule B-3 of Form B need not be repeated in the body of Volume 1 that is subject to the page limitation.

1.4.1(B)(2)

• Major Equipment Suppliers and Other Key Subcontractors

The text of this section of the SOQ should make reference to completed Form B (Information Regarding Respondent and Team Members) and Schedule B-3 of Form B (Public Project Experiences and References) for the information contained therein. The information in Form B and Schedule B-3 of Form B need not be repeated in the body of Volume 1 that is subject to the page limitation.

1.4.1(B)(3)

• Organizational structure 1.4.1(B)(4)

• Past experience 1.4.1(B)(5)

• Joint experience of Respondent Team members working together

1.4.1(B)(6)

• Time delays 1.4.1(B)(7)

• Incidents of claims/disputes history on past projects

The text of this section of the SOQ should refer to completed Form D (Terminations, Failure to Complete, Material Breaches and Actual or Liquidated Damages). The information in Form D need not be repeated in the body of Volume 1 that is subject to the page limitation.

1.4.1(B)(8)

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Attachment A-6

Volume, Section/Appendix, Title, and Required Information RFQ Attachment B Reference

• Respondent’s current workload 1.4.1(B)(9)

• Labor law compliance and labor relations 1.4.1(B)(10)

• Civil Rights Requirements

� Disadvantaged Business Enterprise Performance History and Summary of Achievements.

The information is to be provided on Form I in Volume 1 – SOQ Forms Appendix.

� Equal Employment Opportunity Performance History and Summary of Achievements.

The information is to be provided on Form J in Volume 1 – SOQ Forms Appendix and on Form K in Volume 1 – SOQ Forms Appendix.

� Title VI Performance History and Summary of Achievements with Community Participation.

The information is to be provided on Form L in Volume 1 - SOQ Forms Appendix.

1.4.1(B)(11)

• Guarantors

Each Guarantor must provide a letter in the form set forth in Schedule A-2 of Form A, together with a Guarantor Certificate of Authorization in the form set forth in Schedule A-3 of Form A, to be included with the Transmittal Letter at the front of Volume 1.

1.4.1(B)(12)

Volume 1, Section 2

Project Staffing/Key Personnel Section 1.4.2

• Key personnel and their responsibilities, experience and role in the project

The text of this section of the SOQ should make reference to completed Form C (List of Key Personnel) and Schedule C-1 of Form C (Key Personnel References). The information in Form C and Schedule C-1 of Form C need not be repeated in the body of

1.4.2

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Attachment A-7

Volume, Section/Appendix, Title, and Required Information RFQ Attachment B Reference

Volume 1 that is subject to the page limitation.

Volume 1, Section 3

DB Services Understanding and Approach Section 1.4.3

• Respondent shall demonstrate its understanding of the Project, the MBTA’s objectives and how the Respondent’s organization will contribute to the success of the Project. This information shall include the Respondent’s approach to advancing the design of the Project; how the Respondent intends to interface with the MBTA; the requirements of performing the work under the technical and safety constraints of an operating rail system; the need to perform the work with minimum interference with operating services; the need to ensure compatibility of all new and existing system electronic and computer components (including either compatibility with Existing Wayside Peripheral Equipment or a plan of replacement of the Existing Wayside Peripheral Equipment); the need of the MBTA for long-term equipment and performance warrantees; and the Respondent’s proposed method for managing the Project schedule and budget so that the Respondent will meet agreed upon completion dates.

• The Respondent shall also identify any potential Project risks, constraints, issues, or special requirements.

• The Respondent shall state that it will self-perform (either itself or through its Major Participants) 50% (by dollar value) of the non-specialty construction value.

Volume 1, Appendix A

Construction Classification Minimum Single Project Limits Section 1.4.4

• Respondent shall indicate ability to meet the minimum single project limits.

• Provide any currently effective Prequalification Certificate(s) issued by the MBTA to the Respondent, Major Participants, and Key Subcontractors, indicating the classifications and

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Attachment A-8

Volume, Section/Appendix, Title, and Required Information RFQ Attachment B Reference

single project limit amounts approved by the MBTA.

• The text of this section of the SOQ should make reference to completed Form M (Work History).

Volume 1, Appendix B

Legal and Past Performance Section 1.4.5

• A signed copy of the joint venture agreement or, if the joint venture agreement is not yet executed, a draft of the joint venture agreement or memorandum of agreement setting forth the relevant terms of a joint venture agreement, including, but not limited to, percentage of control of the joint venture, distribution of joint venture profit and loss, identification of work responsibilities, and a joint and several liability statement; also the organizational structure of the proposed entity that would enter into the DB Contract.

1.4.5(B)(4)

• Any significant anticipated legal issues which the Respondent must resolve in order to carry out the DB Services, or an affirmative statement that there are no such anticipated issues.

1.4.5(B)(5)

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Attachment A-9

Volume, Section/Appendix, Title, and Required Information RFQ Attachment B Reference

• The text of this section of the SOQ should make reference to completed Form B (Information Regarding Respondent Team Members), for information about the legal name and form of the Respondent and the state of its organization; if the name is a DBA (doing business as), the underlying names; and an individual who will act as a sole point of contact and include the following information: name, title, address, telephone number, and e-mail address. The information in Form B need not be repeated in this section.

1.4.5(B)(1)

• The text of this section of the SOQ should make reference to completed Schedule B-1 of Form B (Additional Information Regarding Respondent, Major Participants, Lead Designer, Major Equipment Suppliers, other Key Subcontractors, and Guarantor) and Schedule B-2 of Form B (Certification). Such forms shall be completed for the Respondent, each Major Participant, the Lead Designer, and each Key Subcontractor, Major Equipment Supplier and Guarantor. The information in Schedules B-1 and B-2 of Form B need not be repeated in this section.

1.4.5(B)(2)

• The text of the SOQ should refer to completed affidavit of compliance (Form E) (Affidavit of Compliance) for the Respondent, Major Participants, Lead Designer, Major Equipment Suppliers, and other Key Subcontractors. Include evidence of the Respondent’s and each Major Participant’s, other Key Subcontractor’s and Major Equipment Supplier’s registration with the Massachusetts Secretary of State indicating that the entity is registered to do business in the Commonwealth, or a commitment to become registered prior to award of the DB Contract (such evidence could take the form of a certificate a good standing from the Massachusetts Secretary of State). The information in Form E need not be repeated in this section. For any of the above entities that does not submit a Form E, there must be a statement indicating that the entity has made a commitment to become registered prior to award of the DB Contract.

1.4.5(B)(3)

• The text of the SOQ should refer to completed Form F – “Convictions and Fines and Litigation, Arbitration, and Dispute Resolution”, a list and a brief description (including the

1.4.5(B)(6)

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Attachment A-10

Volume, Section/Appendix, Title, and Required Information RFQ Attachment B Reference

resolution) of all convictions and fines for violation of any state or federal law within the past three years, and any arbitration, litigation, dispute resolution board and other dispute resolution proceeding occurring during the last three years involving the Respondent (or any other organization that is under common ownership with the Respondent), any Major Participant, the Lead Designer, any Major Equipment Supplier, or other Key Subcontractor. For each instance of dispute resolution proceeding, the Respondent shall identify a representative of the adverse party with a current telephone number (and e-mail address if available). The information in Form F need not be repeated in the text of the SOQ.

• The text of the SOQ should refer to completed Form G – “Certificate of Tax Compliance”, in which the Respondent and each Major Participant shall certify that it has filed all state tax returns and paid all state taxes required under law. The information in Form G need not be repeated in the text of the SOQ.

1.4.5(B)(7)

Volume 1, Appendix C

Project Staffing/Key Personnel Section 1.4.6

• Resumes for the proposed Key Personnel 1.4.6(C)(1)

• For each officer and principal of the Respondent and each Major Participant, the resume and other information pertaining to such individual’s professional experience and indicate the extent of any involvement of the officers and principals in the DB Services.

1.4.6(C)(2)

• Refer to completed Schedule C-1 of Form C – “Information Regarding Respondent and Team Members – Key Personnel References”, at least three references for the Project Manager and two references for each of the other individuals identified as Key Personnel for comparable projects in which the Key Personnel have played a primary role.

1.4.6(C)(3)

• An express, written commitment that the individuals designated in the SOQ as Key Personnel shall be available to serve the role

1.4.6(C)(4)

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Attachment A-11

Volume, Section/Appendix, Title, and Required Information RFQ Attachment B Reference

so identified in connection with the DB Services.

Volume 1 – SOQ Forms Appendix

Form B – Information Regarding Respondent and Team Members

Schedule B-1 – Additional Information Regarding Respondent, Major Participants, Lead Designer, Major Equipment Suppliers, Other Key Subcontractors, and Guarantor

Schedule B-2 – Certifications

Schedule B-3 – Respondent Team References

Form C – List of Key Personnel

Schedule C-1 – Key Personnel References

Form D – Terminations, Failure to Complete, Material Breach and Liquidated Damages

Form E – Affidavit of Compliance

Form F – Convictions and Fines and Litigation, Arbitration, and Dispute Resolution

Form G – Certification of Tax Compliance

Form H – Safety Experience Record

Form I – DBE Compliance Record

Form J – Firm’s Employee Profile

Form K – Respondent’s Management Diversity Profile

Form L – Title VI Program Development and Implementation and Summary of Achievements in a Design Build Context Including Community Participation

Form M – Work History

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Attachment A-12

Volume, Section/Appendix, Title, and Required Information RFQ Attachment B Reference

Volume 2, Section 1

Surety Letter Section 1.4.7

• A surety letter from a surety indicating that the Respondent is capable of obtaining a performance bond and payment bond in an amount of up to 100% of the DB Contract amount.

1.4.7(B)

Volume 2, Section 2

Financial 1.4.7(C)

• Bank references 1.4.7(C)(1)

• Financial statements and credit ratings 1.4.7((C)(2)

• Material changes in financial conditions 1.4.7(C)(3)

• Off-balance sheet liabilities 1.4.7(C)(4)

Volume 3

Team Experience/Technical Qualifications (Safety) Section 1.4.8

• Construction Safety Plan 1.4.8(B)(1)

• See Experience Modification Rating on completed Form H “Safety Experience Record”

1.4.8(B)(2)

• See OSHA Recordable Incident Rate on completed Form H – “Safety Experience Record”

Volume 3, Appendix A

Corporate Safety and Accident Prevention Program Section 1.4.8

• Respondent’s Corporate Safety and Accident Prevention Program

1.4.8(C)

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ATTACHMENT B

SOQ SUBMITTAL REQUIREMENTS AND EVALUATION CRITERIA

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Attachment B-1

ATTACHMENT B SOQ SUBMITTAL REQUIREMENTS AND EVALUATION CRITERIA

Note: References to forms set forth in this Attachment B to this RFQ are references to those forms set forth in Attachment C to this RFQ.

1.1 Transmittal Letter

The Transmittal Letter shall be included at the beginning of Volume 1. The form of Transmittal Letter is included as Form A, and includes Schedules A-1 through A-5. A duly authorized official of the Respondent should execute the Transmittal Letter, including the schedules to Form A (as is more fully described in the following paragraph), in blue ink. For Respondents that are, or are proposing to be, joint ventures, partnerships, limited liability companies, or other associations, the Transmittal Letter shall have appended to it letters on the letterhead stationery of each Major Participant, executed by authorized officials of each entity in the form set forth in Schedule A-5 to Form A, stating that representations, statements, and commitments made by the designated representative on behalf of the Respondent have been authorized by the Major Participant and may be included in the SOQ, are correct and accurately reflected in the SOQ, and accurately reflect the role of the Major Participant in the joint venture, partnership, limited liability company, or other association, as appropriate. The Transmittal Letter shall state the Respondent’s name and the name, title, address, e-mail address, and telephone number of the designated representative for the Respondent.

The Respondent must also submit Schedules A-1 and A-4 of Form A, and Schedules A-2, A-3 and A-5, if applicable. More information regarding Schedule A-4 (Confidential Contents Index) is in Section 1.2 of this Attachment B.

1.2 Confidential Contents Index

SOQs shall include an index, which is a page executed by the Respondent that sets forth the specific items (and the section and page numbers within the SOQ at which such items are located) that the Respondent deems confidential, trade secret, or proprietary information protected by the Public Records Law, as described in Section 4.1.2 of this RFQ, appended to the Transmittal Letter (Schedule A-4 of Form A). Blanket designations that do not identify the specific information are acceptable but may be cause for the MBTA to treat the entire SOQ as a public record. Schedule A-4 of Form A shall include a statement justifying the Respondent’s position that certain records are proprietary, trade secret or other information excepted from disclosure for each record so defined. Notwithstanding the foregoing, the list required under this Section is intended to provide input to the MBTA as to the confidential nature of a Respondent’s SOQ, but in no event shall such list be binding on the MBTA, determinative of any issue relating to confidentiality or a request under the Public Records Law, or override or modify the provisions of the Public Records Law or the MBTA’s responsibilities thereunder.

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Attachment B-2

1.3 Executive Summary

An Executive Summary shall be included in Volume I, immediately following the Transmittal Letter. The Executive Summary shall not exceed six pages, which shall count against the 40-page limit. The Executive Summary shall be written in a non-technical style and shall contain sufficient information for reviewers with both technical and non-technical backgrounds to become familiar with the SOQ and the Respondent’s ability to satisfy the requirements of the DB Services.

1.4 Evaluation Criteria Objectives and Requirements

1.4.1 Team Experience/Technical Qualifications

A) Objectives

1) To identify Respondents that are capable of effectively managing all aspects of the DB Contract in a quality, timely, and effective manner and will integrate the different parts of its organization collectively and with the MBTA in a cohesive and seamless manner;

2) To identify among the Respondents the best design and construction firms available with demonstrated experience, expertise, and capacity in and record of producing quality work on projects similar in nature to the Project described in the RFQ and work similar to the DB Services;

3) To identify Respondents which have the following attributes:

a) A superior record of completing contracts, including DB contracts, on time and within budget;

b) A superior record of managing contracts to minimize delays, claims, dispute proceedings, litigation, and arbitration;

c) A superior record of managing construction that minimizes disruption to the traveling public and neighboring communities and businesses; and

d) Excellent safety records.

4) To identify Respondents that have the technical and management experience and expertise to plan, organize, and execute the design and construction and assure the quality and safety of the DB Services.

5) To evaluate the Respondent’s approach to safety and security for employees of the DB Entity, the public, the MBTA, stakeholders, adjacent

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Attachment B-3

rail operators, and all businesses and contractors operating within or affected by the construction of the DB Services.

6) To identify the Respondent’s experience with safety certification process in accordance with the requirements of MBTA, FTA, or other governmental entity.

7) To identify Respondent’s ability to perform and achieve the Civil Rights requirements set forth below.

B) Requirements and information to be submitted in Volume 1, Section 1 of the SOQ (see Section 1.5 of Attachment A to this RFQ for SOQ section organization).

The following information is relevant to qualifications of the Respondent, Major Participants, Lead Designer, Major Equipment Suppliers, other Key Subcontractors, and Guarantors, as indicated.

1) Respondent and Major Participants.

a) Provide a brief description demonstrating the ability of the Respondent and Major Participants to carry out DB projects, including organization experience and the ability of the Respondent’s team members to work together to integrate design and construction disciplines; and

b) Provide a brief description of the history and structure of the Respondent and Major Participants in managing projects similar in size, scope, and complexity.

c) The text of this section of the SOQ should make reference to completed Form B (Information Regarding Respondent and Team Members) and Schedule B-3 of Form B (Public Project Experiences and References) for the information contained therein. The information in Form B and Schedule B-3 of Form B need not be repeated in the body of Volume 1 that is subject to the page limitation.

2) Lead Designer.

a) For the Lead Designer, identify the entity, the entity’s scope of work, the entity’s legal structure, a brief history and structure of the entity, and a brief description of the history of working with the Respondent and/or Major Participants on projects similar in size, scope, and complexity.

b) The text of this section of the SOQ should make reference to completed Form B (Information Regarding Respondent and Team

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Attachment B-4

Members) and Schedule B-3 of Form B (Public Project Experiences and References). The information in Form B and Schedule B-3 of Form B need not be repeated in the body of Volume 1 that is subject to the page limitation.

3) Major Equipment Suppliers and Other Key Subcontractors.

a) For each Major Equipment Supplier and other Key Subcontractor, identify the entity, the entity’s role, the entity’s legal structure, a brief history and structure of the entity, and a brief description of the history of working with the Respondent and/or Major Participants on projects similar in size, scope, and complexity.

b) The text of this section of the SOQ should make reference to completed Form B (Information Regarding Respondent and Team Members) and Schedule B-3 of Form B (Public Project Experiences and References). The information in Form B and Schedule B-3 of Form B need not be repeated in the body of Volume 1 that is subject to the page limitation.

4) Organizational Structure.

a) Describe the organizational structure of the Respondent, including how the Respondent will institutionally operate. Describe how the Respondent’s management structure will facilitate completion of all work, including design and construction of the Project and the DB Services. Identify how the organizational structure will result in an integrated and cohesive team for managing the DB Services;

b) Provide an organizational chart that sets forth the Respondent’s structure and reporting requirements that cover both the design and construction phases. Identify the management staff and Key Personnel on the organization chart;

c) Describe how the Respondent is planning to perform the design portion of the DB Services. Indicate whether the Respondent will set up a specific office that allows for continuous coordination between the Respondent’s design and construction team members. The Respondent shall require all Key Personnel to be located in the local office.

5) Past Experience.

a) Describe the Respondent’s and each Major Participant’s, the Lead Designer’s, Major Equipment Supplier’s, and each other Key

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Attachment B-5

Subcontractor’s experience with DB projects of a similar size and complexity as the Project, including:

i) Experience on projects similar in nature to the DB Services which have been designed, constructed, tested, commissioned and certified in accordance with the requirements of the MBTA, FTA or other governmental entity;

ii) Experience on projects similar in nature involving transit signals projects which demonstrate the ability to work on or around active operating rights of ways and facilities without causing disruption to service; and

iii) Experience with safety certification process in accordance with the requirements of MBTA, FTA, or other governmental entity.

b) The text of this section should make reference to completed Form H (Safety Experience Record) and each of the foregoing entities should submit a completed Form H in Volume 1- SOQ Forms Appendix.

c) The text of this section should make reference to completed Schedule B-3 of Form B (Public Project Experience and References) each Respondent and Major Participant shall provide a completed Schedule B-3 of Form B in Volume 1 – SOQ Forms Appendix that includes a list of all public projects on which it has worked within the past three years, including the following:

i) Project work title and location;

ii) Description of the work;

iii) Percent of contract completed by the entity;

iv) Owner contact name, telephone number and e-mail address;

v) Completion date;

vi) Value of the original bid;

vii) Value of the final contract amount; and

viii) Evaluation grade, to the extent applicable, including without limitation, any CPER provided on listed MBTA projects.

6) Joint Experience of Members of the Respondent Team Working Together.

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Attachment B-6

Provide a description of the prior experience (if any) of the Respondent, Major Participants, Lead Designer, Major Equipment Suppliers, and other Key Subcontractors working together on DB projects, other alternative delivery projects, or on traditional design-bid-build projects.

7) Time Delays.

The Respondent, each Major Participant, the Lead Designer, each Major Equipment Supplier, and each other Key Subcontractor shall provide a list of non-excused time delays on projects completed within the past three years.

8) Incidents of Claims/Disputes History on Past Projects.

a) The Respondent, each Major Participant, the Lead Designer, each Major Equipment Supplier, and each other Key Subcontractor shall demonstrate experience of resolution of issues concerning claims, changes, and other disputes, including disputes over delays and liquidated damage assessments and project termination.

b) The text of this section should make reference to completed Form D (Terminations, Failure to Complete, Material Breaches and Actual or Liquidated Damages). The Respondent, each Major Participants, the Lead Designer, Major Equipment Suppliers, and other Key Subcontractors shall provide completed Form D in Volume 1 – SOQ Forms Appendix that includes a list of each and every project on which the entity was terminated, failed to complete the work, was in material breach, or paid actual or liquidated damages within the past three years.

9) Respondent’s Current Workload.

Describe the Respondent’s, Major Participants’, Lead Designer’s, Major Equipment Suppliers’, and other Key Subcontractors’ current and forecasted/known workloads and a statement regarding the impact that the disclosed workload will have on the DB Services.

10) Labor Law Compliance and Labor Relations.

Describe the Respondent’s, Lead Designer’s, Major Participants’, Major Equipment Suppliers’, and other Key Subcontractors’ past record for compliance with labor laws, existing labor standards, and maintaining harmonious labor relations.

11) Civil Rights Requirements.

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Attachment B-7

a) Disadvantaged Business Enterprise Performance History and Summary of Achievements. For the Respondent, Major Participants, the Lead Designer, Major Equipment Suppliers, and other Key Subcontractors, provide the history in achieving DBE goals on projects valued at $20 million or above in the last five years. The information is to be provided for each of the foregoing on Form I in Volume 1 – SOQ Forms Appendix.

b) Equal Employment Opportunity Performance History and Summary of Achievements.

i) Provide the Ethnicity and Gender Profile for the Respondent, Major Participants, the Lead Designer, Major Equipment Suppliers, and other Key Subcontractors. The information is to be provided for each of the foregoing on Form J in Volume 1 – SOQ Forms Appendix.

ii) Provide the Respondent’s management team diversity profile, illustrating the ethnic and gender composition of the proposed organization for the Project. The information is to be provided on Form K in Volume 1 – SOQ Forms Appendix.

c) Title VI Performance History and Summary of Achievements with Community Participation. For the Respondent and each Major Participant, provide the methodology in achieving community participation and outcomes under Title VI guidelines on major projects (over $20 million) in the last five years. This information is to be provided for each of the foregoing on Form L in Volume 1 - SOQ Forms Appendix.

12) Guarantors.

Each Guarantor must provide an appropriate letter in the form set forth in Schedule A-2 of Form A, together with a Guarantor Certificate of Authorization in the form set forth in Schedule A-3 of Form A, which confirms that it will financially support all the obligations of the Respondent or Major Participant, as appropriate, with respect to the Project. Respondents shall note that the MBTA may, in its discretion based upon the review of the information provided, specify that a replacement or an additional Guarantor is required as a condition of short-listing. This section shall include a statement that a completed Schedule A-2 and Schedule A-3 of Form A are included in Volume 1 – SOQ Forms Appendix.

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Attachment B-8

1.4.2 Project Staffing/Key Personnel

A) Objective

To identify and evaluate the Key Personnel that will be assigned to and responsible for key project tasks.

B) Requirements and information to be submitted in Volume 1, Section 2 of the SOQ (see Section 1.5 of Attachment A to this RFQ for SOQ section organization)

1) The text of this section should make reference to completed Form C (List of Key Personnel). The Respondent shall provide completed Form C in Volume 1 – SOQ Forms Appendix. Completed Form C shall identify Key Personnel and their respective supervisory responsibilities. The Key Personnel, as set forth on Form C, consists of:

• a project manager;

• a project safety and security manager;

• construction manager;

• design manager;

• project controls manager;

• quality assurance manager;

• signaling manager / signal project engineer; and

• civil rights lead (responsible for DBE compliance, EEO compliance, and Title VI program).

Note: The project manager and design manager should each have previous design build experience.

2) In addition, the Respondent shall describe the relevance of each individual’s experience to their identified role on the project, including professional licenses and credentials, and why the experience will provide value to the Respondent becoming the DB Entity.

3) Describe the Key Personnel who have previously worked together as a team, if ever; the experience each person identified as Key Personnel has with the MBTA; and whether the Key Personnel identified have worked on any of the projects identified in response to Section 1.4.1(B)(5) (Past Experience) of this Attachment. Describe Key Personnel experience on DB projects similar in scope and nature to the Project and DB Services.

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4) The text of this section should make reference to completed Schedule C-1 of Form C (Key Personnel References). The Respondent shall provide completed Schedule C-1 of Form C in Volume 1 – SOQ Forms Appendix. Completed Schedule C-1 of Form C shall identify references for each of the Key Personnel.

1.4.3 DB Services Understanding and Approach

A) Objective

To evaluate the Respondent’s understanding of the MBTA objectives and the Respondent’s overall approach to managing, executing and implementing the DB Services.

B) Requirements and information to be submitted in Volume 1, Section 3 of the SOQ (see Section 1.5 of Attachment A to this RFQ for SOQ section organization)

1) The Respondent shall demonstrate its understanding of the Project, the MBTA’s objectives and how the Respondent’s organization will contribute to the success of the Project. This information shall include the Respondent’s approach to advancing the design of the Project; how the Respondent intends to interface with the MBTA; the requirements of performing the work under the technical and safety constraints of an operating rail system; the need to perform the work with minimum interference with operating services; the need to ensure compatibility of all new and existing system electronic and computer components (including either compatibility with Existing Wayside Peripheral Equipment or a plan of replacement of the Existing Wayside Peripheral Equipment); the need of the MBTA for long-term equipment and performance warrantees; and the Respondent’s proposed method for managing the Project schedule and budget so that the Respondent will meet agreed upon completion dates. The Respondent shall also identify any potential Project risks, constraints, issues, or special requirements.

2) The Respondent shall state that it will self-perform (either itself or through its Major Participants) 50% (by dollar value) of the non-specialty construction value. The calculation of the minimum requirement will be based on 50% of the total potential work value established by subtracting the Specialty Work value from the construction value.

1.4.4 Construction Classification Minimum Single Project Limits

A) Objective

To determine whether the Respondent meets the minimum single project limits.

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B) Requirements and information to be submitted in Volume 1, Appendix A of the SOQ (see Section 1.5 of Attachment A to this RFQ for SOQ section organization)

1) The Respondent shall indicate ability to meet the minimum single project limits stated in the table below.

Class Classification Title Minimum Single Project Limit

Class 1 General Transit Construction $30 million

Class 5 Electrical $30 million

Class 6A1 Transit Signals and Communications $30 million

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The MBTA intends the limits to be cumulative for the Respondent, Major Participants, Major Equipment Suppliers, and other Key Subcontractors. The table below provides an example of how the construction classification minimum single project limits may be satisfied.

Example

Class 1 Class 5 Class 6A1

Major Participant (Contractor A)

$10 million $20 million $5 million

Major Participant (Contractor B)

$10 million NA $18 million

Key Subcontractor(s)

$10 million $10 million $7 million

TOTAL $30 million $30 million $30 million

2) The text of this section should make reference to completed Form M

(Work History). The Respondent shall provide completed Form M in Volume 1 – SOQ Forms Appendix. Completed Form M shall identify projects performed by the Respondent, Major Participants, the Lead Designer, Major Equipment Suppliers, and other Key Subcontractors which included work in the above listed classes of work.

3) If the Respondent, Major Participants, and/or Key Subcontractors hold currently effective Prequalification Certificates issued by the MBTA, such Prequalification Certificates shall be submitted in Volume 1, Appendix A of the SOQ.

1.4.5 Legal and Past Performance

A) Objective

1) To identify legally constituted, qualified Respondents that may be requested to submit Proposals and, if selected, will enter into the DB Contract, complete the DB Services, and obtain all required registrations.

2) The Respondent has presented evidence showing its organization is not subject to legal constraints as to its ability to enter into and perform the DB Services under the DB Contract.

B) Requirements and information to be provided in Volume 1, Appendix B of the SOQ (see Section 1.5 of Attachment A to this RFQ for SOQ section organization)

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1) The text of this section of the SOQ should make reference to completed Form B (Information Regarding Respondent Team Members), for information about the legal name and form of the Respondent and the state of its organization; if the name is a DBA (doing business as), the underlying names; and an individual who will act as a sole point of contact and include the following information: name, title, address, telephone number, and e-mail address. The Respondent shall provide completed Form B in Volume 1 – SOQ Forms Appendix. The information in Form B need not be repeated in this section.

2) The text of this section of the SOQ should make reference to completed Schedule B-1 of Form B (Additional Information Regarding Respondent, Major Participants, Lead Designer, Major Equipment Suppliers, other Key Subcontractors, and Guarantor) and Schedule B-2 of Form B (Certification). Such forms shall be completed for the Respondent, each Major Participant, the Lead Designer, and each Key Subcontractor, Major Equipment Supplier and Guarantor. The Respondent shall provide completed Schedule B-1 of Form B and Schedule B-2 of Form B in Volume 1 – SOQ Forms Appendix. The information in Schedule B-1 of Form B and Schedule B-2 of Form B need not be repeated in this section.

3) The text of this section of the SOQ should make reference to completed Form E (Affidavit of Compliance) for the Respondent, Major Participants, Lead Designer, Major Equipment Suppliers, and other Key Subcontractors. Include evidence of the Respondent’s and each Major Participant’s, Major Equipment Supplier’s, and other Key Subcontractor’s registration with the Massachusetts Secretary of State indicating that the entity is registered to do business in the Commonwealth (such evidence could take the form of a certificate of good standing from the Massachusetts Secretary of State). The information in Form E need not be repeated in this section. For any of the above entities that does not submit a Form E, there must be a statement in this section indicating that the entity has made a commitment to become registered prior to award of the DB Contract.

4) Joint venture entities shall include a signed copy of the joint venture agreement or, if the joint venture agreement is not yet executed, a draft of the joint venture agreement or memorandum of agreement setting forth the relevant terms of a joint venture agreement, including, but not limited to, percentage of control of the joint venture, distribution of joint venture profit and loss, identification of work responsibilities, and a joint and several liability statement;

5) The Respondent shall identify and explain any significant anticipated legal issues which the Respondent must resolve in order to carry out the DB

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Services, or shall make an affirmative statement that there are no such anticipated issues;

6) The text of this section of the SOQ should make reference to completed Form F (Convictions and Fines and Litigation, Arbitration and Dispute Resolution). On Form F, the Respondent shall provide a list and a brief description (including the resolution) of all convictions and fines for violation of any state or federal law within the past three years, and any arbitration, litigation, dispute resolution board and other dispute resolution proceeding occurring during the last three years involving the Respondent (or any other organization that is under common ownership with the Respondent), any Major Participant, the Lead Designer, Major Equipment Supplier, any other Key Subcontractor, or Guarantor. For each instance of dispute resolution proceeding, the Respondent shall identify a representative of the adverse party with a current telephone number (and e-mail address if available). The Respondent shall provide completed Form F in Volume 1 – SOQ Forms Appendix. The information in Form F need not be repeated in this section.

7) The text of this section of the SOQ should make reference to completed Form G (Certification of Tax Compliance). On Form G, the Respondent and each Major Participant shall certify that it has filed all state tax returns and paid all state taxes required under law. The Respondent shall provide completed Form G in Volume 1 – SOQ Forms Appendix. The information in Form G need not be repeated in this section.

8) Failure to provide the information required by this Section above, or by providing conditional or qualified submissions (i.e., “to our knowledge,” “to the extent of available information,” “such information is not readily available,” “such information is not maintained in the manner requested,” etc.) to requests or questions posed, incomplete, inaccurate, or non-responsive submissions, or failure to provide information enabling the MBTA to contact representatives of the adverse party may, in the sole discretion of the MBTA, lead to a “fail” rating for the team or disqualification from the procurement process.

1.4.6 Project Staffing/Key Personnel

A) Objective

To identify the best personnel for key management positions with demonstrated experience and expertise in and record of producing quality work on projects of a similar nature to the Project and DB Services, particularly those that have been delivered under a design-build contract and to review the business records and résumés of the officers and principals of the Respondent and each Major Participant.

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B) Requirements and information to be included in Volume 1, Section 2 have been addressed in Section 1.4.2 of this Attachment B.

C) Requirements and information to be submitted in Volume 1, Appendix C are set forth below (see Section 1.5 of Attachment A to this RFQ for SOQ section organization)

1) In Appendix C, the Respondent shall provide résumés for the proposed Key Personnel. Résumés should include the years of experience, licenses, certifications, description of comparable projects, the proposed Key Personnel’s role, and other relevant information. The Key Personnel, as set forth on Form C, consists of: a project manager; a project safety and security manager; construction manager; design manager; project controls manager; quality assurance manager; signaling manager / signal project engineer; and civil rights lead (responsible for DBE compliance, EEO compliance, and Title VI program). The project manager and design manager should each have previous design build experience.

2) In Appendix C, for each officer and principal of the Respondent and each Major Participant, include the resume and other information pertaining to such individual’s professional experience and indicate the extent of any involvement of the officers and principals in the DB Services.

3) The text of this section of the SOQ should make reference to completed Schedule C-1 of Form C (Key Personnel References). In Schedule C-1 of Form C, the Respondent shall list at least three references for the Project Manager and two references for each of the other individuals identified as Key Personnel for comparable projects in which the Key Personnel have played a primary role. References shall be previous owners or clients with whom the individuals have worked within the last ten years and shall include the name, position, company or agency, current address, telephone number, and e-mail address. The Respondent shall provide a completed Schedule C-1 of Form C in Volume 1 – SOQ Forms Appendix. The information in Schedule C-1 of Form C need not be repeated in this section.

4) In Appendix C, the Respondent shall include an express, written commitment that the individuals designated in the SOQ as Key Personnel shall be available to serve the role so identified in connection with the DB Services. Respondents shall identify and proffer Key Personnel that will be available for, and intend to assign to work on, the DB Services for the positions identified. Procedures concerning changes of such Key Personnel will be set forth in the RFP; however, commitment of the Key Personnel is significantly important to the MBTA and as such, requests to implement such changes will be reviewed very carefully by the MBTA

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and shall be subject to prior MBTA approval, which may be provided or withheld in the MBTA’s sole and absolute discretion. Failure to obtain MBTA approval for such changes may result in disqualification of the Respondent by the MBTA.

By listing staff as Key Personnel, the Respondent agrees to make the staff listed in its SOQ available to complete work under the DB Contract at whatever level the DB Services requires, in the determination of the MBTA. Changes in Key Personnel will be reviewed by the MBTA’s DB Services Manager to assure the replacement is equally qualified and has adequate experience. The MBTA will only allow changes in Key Personnel when caused by circumstances outside the control of the DB Entity (i.e., employee leaves employment with the DB Entity).

1.4.7 Financial

A) Objective

To identify Respondents that are capable of obtaining a performance bond and payment bond in an amount of up to 100% of the DB Contract amount and have the financial capability and equipment to carry out the responsibilities of the DB Entity under the DB Contract.

B) Requirements and information to be submitted in Volume 2, Section 1 of the SOQ (see Section 1.5 of Attachment A to this RFQ for SOQ section organization)

1) The Respondent shall provide evidence in the form of a surety letter from an approved surety indicating that the Respondent is capable of obtaining a performance bond and payment bond in an amount of up to 100% of the DB Contract amount. The evidence shall take the form of a letter from a surety indicating that such capacity exists for the Respondent. Letters indicating “unlimited” bonding capability are not acceptable. For a current list of approved sureties, see Department of the Treasury’s Listing of Approved Sureties (Department Circular 570).

2) The surety providing such letter must be licensed to do business in Massachusetts and must hold a certificate of authority as an acceptable surety under Department of the Treasury regulations located at 31 C.F.R. Part 223. In addition, the surety must be rated in one of the two top categories by two nationally recognized rating agencies or at least A- (A minus) or better or Class VIII or better by “AM Best Company,” and must indicate the relevant rating in the letter.

3) In instances where the response to Section 1.4.7(C)(3) of this Attachment contains descriptions of proposed or anticipated changes in the financial condition of the Respondent or any other entity for which financial information is submitted as required hereby for the next reporting period,

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the surety shall provide a certification that the surety’s analysis specifically incorporates a review of the factors surrounding such changes and identifying any special conditions which may be imposed before issuance of surety bonds for the DB Services.

4) If a Respondent is a joint venture, partnership, limited liability company or other association, separate letters for one or more of the individual Major Participants are acceptable.

C) Requirements and information to be submitted in Volume 2, Section 2 of the SOQ (see Section 1.5 of Attachment A to this RFQ for SOQ section organization)

1) Bank References. The Respondent shall provide bank references in accordance with MGL ch. 149A §17(c)(2) for each Major Participant and Guarantor.

2) Financial Statements and Credit Ratings. Financial statements for the Respondent, Major Participants and Guarantor for the three most recent completed fiscal years must be provided to demonstrate financial capability of the Respondent.

Financial statement information must include the following:

a) Opinion Letter (Auditor’s Report);

b) Balance Sheet;

c) Income Statement;

d) Statement of Changes in Cash Flow; and

e) Footnotes audited by a certified public accountant in accordance with U.S. Generally Accepted Accounting Principles (U.S. GAAP).

In addition, financial statements must meet the following requirements:

i) U.S. GAAP: Financial statements must be prepared in accordance with U.S. GAAP. If financial statements are prepared in accordance with principles other than U.S. GAAP, a letter must be provided from a certified public accountant discussing the areas of the financial statements that would be affected by a conversion to U.S. GAAP.

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ii) U.S. Dollars: Financial statements must be provided in U.S. dollars. If financial statements are not available in U.S. dollars, the Respondent must include summaries of the income statements and balance sheets for the applicable time periods converted to U.S. dollars by a certified public accountant.

iii) Audited: Financial statements must be audited by an independent party qualified to render audit opinions (e.g., a certified public accountant). If audited financials are not available for the Respondent and/or a Major Participant, the SOQ shall include unaudited financial statements for such entity, certified as true, correct and accurate by the chief financial officer (“CFO”) or treasurer of the entity.

iv) English: Financial statement information must be prepared in English. If audited financial statements are prepared in a language other than English, translations of all financial statement information must be accompanied with the original financial statement information.

v) Newly Formed Entity: If the Respondent is a newly formed entity and does not have independent financial statements, financial statements for the Major Participants shall be provided (and the Respondent shall expressly state that the Respondent is a newly formed entity and does not have independent financial statements).

vi) Guarantor Letter of Support: Each Respondent and Major Participant which is an affiliate of a group of one or more companies and is not the ultimate upstream owner, must propose to have the ultimate upstream owner serve as the Guarantor and guarantee, through a guaranty agreement, all of the Respondent’s or Major Participant’s obligations under the DB Contract, as applicable. In addition, a Respondent or Major Participant may propose to supplement its financial strength by proposing a guaranty of all of the applicable Respondent’s or Major Participant’s obligations under the DB Contract from another creditworthy entity.

If a Guarantor is required or offered by the Respondent or a Major Participant, such Guarantor must provide a letter in the form set forth in Schedule A-2 of Form A, together with a Guarantor Certificate of Authorization in the form set

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forth in Schedule A-3 of Form A, which confirms that it will financially support all the obligations of the Respondent or Major Participant, as appropriate, with respect to the Project.

Respondents shall note that the MBTA may, in its discretion based upon the review of the information provided, specify that a replacement or an additional Guarantor is required as a condition of short-listing

vii) Securities and Exchange Commission Filings: If the Respondent, Major Participant, or Guarantor files reports with the Securities and Exchange Commission, then such financial statements shall be provided through a copy of their annual report on Form 10-K. For all subsequent quarters, the Respondent, Major Participant, or Guarantor shall provide a copy of any report filed on Form 10-Q or Form 8-K which has been filed since the latest filed Form 10-K.

viii) Confidentiality: The Respondent shall identify any information which it believes is entitled to confidentiality under MGL Chapter 66, by placing the word “confidential” on each page as described in Section 4.1.2 of this RFQ.

ix) Credit Ratings: Credit ratings must be supplied for the Respondent, Major Participants, and Guarantor to the extent such entities have credit ratings. If no credit ratings exist, include a statement specifying that no credit ratings exist for that entity.

3) Material Changes in Financial Condition. The Respondent shall provide information regarding any material changes in financial condition for Respondent, each Major Participant, and Guarantor for the past three years and anticipated for the next reporting period. If no material change has occurred and none is pending, the Respondent, Major Participant, or Guarantor, as applicable, shall provide a letter from its CFO or treasurer so certifying.

Set forth below is a representative list of events intended to provide examples of what the MBTA considers a material change in financial condition. This list is intended to be indicative only.

a) An event of default or bankruptcy involving the affected entity, a related business unit within the same corporation, or the parent corporation of the affected entity;

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b) A change in tangible net worth of 10% of shareholder equity;

c) A sale, merger, or acquisition exceeding 10% of the value of shareholder equity prior to the sale, merger, or acquisition which in any way involves the affected entity, a related business unit in the same corporation, or parent corporation of the affected entity;

d) A change in credit rating for the affected entity, a related business unit in the same corporation, or parent corporation of the affected entity;

e) Inability to meet conditions of loan or debt covenants by the affected entity, a related business unit in the same corporation, or parent corporation of the affected entity which has required or will require a waiver or modification of agreed financial ratios, coverage factors or other loan stipulations, or additional credit support from shareholders or other third parties;

f) In the current and three most recently completed fiscal years, the affected entity, a related business unit in the same corporation, or the parent corporation of the affected entity either:

i) Incurs a net operating loss;

ii) Sustains charges exceeding 5% of the then shareholder equity due to claims, changes in accounting, write-offs or business restructuring; or

iii) Implements a restructuring/reduction in labor force exceeding 200 positions or involving the disposition of assets exceeding 10% of the then shareholder equity; or

g) Other events known to the affected entity, a related business unit in the same corporation, or parent corporation of the affected entity which represents a material change in financial condition over the past three years or may be pending for the next reporting period.

At the discretion of the MBTA, any failure to disclose a prior or pending material change may result in disqualification from further participation in the selection process.

In instances where a material change has occurred, or is anticipated, the affected entity shall provide a statement describing each material change in detail, the likelihood that the developments will continue during the period of performance of the DB Contract, and the projected full extent of the changes likely to be experienced during the period. Estimates of the

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impact on revenues, expenses, and the change in equity must be provided separately for each material change as certified by the CFO or treasurer. References to the notes in the financial statements are not sufficient to address the requirement to discuss the impact of material changes.

Where a material change will have a negative financial impact, the affected entity shall also provide a discussion of measures that would be undertaken to insulate the DB Services from any such material changes and those measures that are currently in progress or reasonably anticipated in the future. If the financial statements indicate that expenses and losses exceed income in each of the three most recently completed fiscal years (even if there has not been a material change), the affected entity shall provide a discussion of measures that will be undertaken to make the entity profitable in the future and an estimate of when the entity will be profitable.

4) Off-Balance Sheet Liabilities. The Respondent shall provide a letter from the CFO or treasurer of or the certified public accountant for the Respondent, Major Participant, and Guarantor identifying all off-balance sheet liabilities.

The Respondent shall package the information requested in Section 1.4.7(C) of this Attachment separately for each separate entity with a cover sheet identifying the name of the entity and its role in the Respondent’s organization (i.e., Respondent, Major Participant, or Guarantor).

1.4.8 Team Experience/Technical Qualifications (Safety)

A) Objectives

1) To identify Respondent teams that excel in planning for and implementing safety programs.

2) To identify Respondent teams with strong safety records.

B) Requirements and information to be submitted in Volume 3 of the SOQ (see Section 1.5 of Attachment A to this RFQ for SOQ section organization)

1) Construction Safety Plan.

a) The Respondent shall describe its safety programs and its approach and commitment to the public’s and its workers’ safety during construction.

b) The Respondent shall describe any safety awards obtained in the last three years as well as any accumulated safety records.

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c) The Respondent and its Major Participants and Key Subcontractors shall detail number of lost time accidents and number of fatalities within the past three years.

d) The Respondent shall describe its workers’ compensation rate for construction team members.

e) The Respondent shall describe its experience on construction projects with minimal disruption to the operation and maintenance of adjacent facilities.

f) The Respondent shall provide a narrative of its experience with the safety certification process in accordance with the requirements of the MBTA, the FTA or other governmental entity.

2) Experience Modification Rating.

a) The text of this section of the SOQ should make reference to completed Form H (Safety Experience Record). In Form H, the Respondent shall provide the Experience Modification Rating (“EMR”) for the Respondent, Major Participants, the Lead Designer, Major Equipment Suppliers, and other Key Subcontractors. The Respondent shall provide completed Form H in Volume 1 – SOQ Forms Appendix. The information in Form H need not be repeated in this Section.

b) Provide statistics to demonstrate the Respondent’s safety record and that of the Major Participants, the Lead Designer, Major Equipment Suppliers, and other Key Subcontractors while self-performing work and while managing subcontractors.

c) List any references from the Respondent’s each Major Participant’s, the Lead Designer’s, Major Equipment Supplier’s, and each other Key Subcontractor’s insurance company that the MBTA may call to validate aspects of the Respondent’s safety record, including the name, position, company or agency, current address, telephone number, and e-mail address.

3) Safety History.

The text of this section of the SOQ should make reference to completed Form H (Safety Experience Record). In Form H, the Respondent shall provide the Occupational Safety and Health Administration (“OSHA”) Recordable Incident Rate (OSHA 300 Summary) for the last three years for the Respondent, Major Participants, and Key Subcontractors. Also include in Form H an explanation of any OSHA citations the firm has

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received during the past three years. The Respondent shall provide completed Form H in Volume 1 – SOQ Forms Appendix. The information in Form H need not be repeated in this section.

C) Requirements and information to be submitted in Volume 3, Appendix A of the SOQ (see Section 1.5 of Attachment A to this RFQ for SOQ section organization).

The Respondent shall submit its Corporate Safety and Accident Prevention Program.

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ATTACHMENT C

STATEMENT OF QUALIFICATIONS FORMS

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ATTACHMENT C STATEMENT OF QUALIFICATIONS FORMS

List of Forms

Form A Transmittal Letter Schedule A-1 Certificate of Authorization Schedule A-2 Guarantor Acknowledgment Schedule A-3 Guarantor Certificate of Authorization Schedule A-4 Confidential Contents Index Schedule A-5 Letters of Major Participants

Form B Information Regarding Respondent and Team Members Schedule B-1 Additional Information Regarding Respondent,

Major Participants, Lead Designer, Major Equipment Suppliers, Other Key Subcontractors, and Guarantors

Schedule B-2 Certification Schedule B-3 Public Project Experience and References

Form C List of Key Personnel Schedule C-1 Key Personnel References

Form D Terminations, Failure to Complete, Material Breaches and Actual or Liquidated Damages

Form E Affidavit of Compliance Form F Convictions and Fines and Litigation, Arbitration, and Dispute Resolution Form G Certification of Tax Compliance Form H Safety Experience Record Form I DBE Compliance Record Form J Firm’s Employee Profile Form K Respondent’s Management Diversity Profile Form L Title VI Program Development and Implementation and Summary of Achievements in a Design Build context, including Community Participation Form M Work History

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FORM A

TRANSMITTAL LETTER

RESPONDENT:____________________________________________

SOQ Date:

Massachusetts Bay Transportation Authority Contract Administration 100 Summer Street, Suite 1200 Boston, MA 02110

Attn: Yvelisse Duvergé

The undersigned (“Respondent”) submits this Statement of Qualifications (“SOQ”) in response to the Request for Qualifications (as amended, the “RFQ”) issued by the Massachusetts Bay Transportation Authority (“MBTA”) for the Red Line and Orange Line Signals Systems Upgrades Design Build Project (“Project”) as described in the RFQ.

Enclosed, and by this reference incorporated herein and made a part of this SOQ, are Volumes 1, 2, and 3 containing the information required by Attachments A and B of the RFQ.

Capitalized terms used but not otherwise defined herein have the respective meanings set forth in the RFQ.

As a duly authorized representative of the Respondent, I hereby certify, represent and warrant, on behalf of the Respondent team, as follows in connection with the SOQ:

1. The Respondent has received, understands and has fully considered all of the Background Documents posted on the Document Library and the following addenda and sets of questions and answers to the RFQ:

No. Date ___________ _________________ ___________ _________________ ___________ _________________

2. The Respondent has completely reviewed and understands and agrees to be bound by the requirements of the RFQ, including all addenda thereto. MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form A Attachment C-2

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3. The submittal of the SOQ has been duly authorized by, and in all respects is binding upon, the Respondent. Schedule A-1 to this Transmittal Letter is a Certificate of Authorization which evidences my authority to submit the SOQ and bind the Respondent.

4. [Note: Include the following paragraph unless a Guarantor is not required or offered.] ___________'s obligations that will be contained in the DB Contract will be guaranteed irrevocably, absolutely and unconditionally by ___________ (the “Guarantor”), as evidenced by the Guarantor Acknowledgement certificate submitted as Schedule A-2 to this Transmittal Letter. The Guarantor Certificate of Authorization submitted as Schedule A-3 to this Transmittal Letter evidences the individual’s authority to submit the Guarantor Acknowledgement certificate and bind the Guarantor. [Note: Expand this paragraph as appropriate if there is more than one Guarantor.]

5. All information and statements contained in the SOQ are current, correct and complete, and are made with full knowledge that the MBTA will rely on such information and statements in determining whether to short-list the Respondent in accordance with this RFQ. The Respondent agrees that the MBTA will not be responsible for any errors, omissions, inaccuracies, or incomplete statements in this SOQ.

6. The SOQ has been prepared and is submitted without collusion, fraud or any other action taken in restraint of free and open competition for the services contemplated by the RFQ.

7. Neither the Respondent, any Major Participant, the Lead Designer, any Major Equipment Supplier, any other Key Subcontractor, the Guarantor(s) (if applicable) nor any Respondent Team member is currently suspended or debarred from doing business with any governmental entity.

8. The Respondent has reviewed all of the engagements and pending engagements of the Respondent, the Major Participants, the Lead Designer, the Major Equipment Suppliers, other Key Subcontractors, and the Guarantor(s) (if applicable), and no potential exists for any conflict of interest or unfair advantage.

9. No person or selling agency has been employed or retained to solicit the award of the DB Contract under an arrangement for a commission, percentage, brokerage or contingency fee or any other success fee basis, except bona fide employees of the Respondent, the Major Participants, the Lead Designer, the Major Equipment Suppliers, the other Key Subcontractors, or the Guarantor(s) (if applicable).

10. The principal contact person who will serve as the interface between the MBTA and the Respondent for all communications is:

NAME: TITLE: ADDRESS:

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form A Attachment C-3

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PHONE E-MAIL:

The Respondent understands that the MBTA is not bound to select Respondents for issuance of an RFP and may reject each SOQ that the MBTA may receive.

The Respondent further understands that all costs and expenses incurred by it in preparing this SOQ and participating in the Project procurement process will be borne solely by the Respondent.

This SOQ shall be governed by and construed in all respects according to the laws of the Commonwealth of Massachusetts.

Schedule A-4 to this Transmittal Letter sets forth the specific items (and the section and page numbers within the SOQ at which such items are located) that the Respondent deems confidential, trade secret, or proprietary information protected by the Public Records Law, as described in Section 4.1.2 of the RFQ.

Schedule A-5 to this Transmittal Letter includes a signed letter from each Major Participant, as is required by Section 1.1 of Attachment B.

[Signature page follows]

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form A Attachment C-4

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Name of Respondent

Name of Designated Signatory

Signature

Title

[Signature page to Transmittal Letter]

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form A Attachment C-5

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(Notary Public)

State of ____________

County of __________

On this _____ day of ___________, 2017, before me appeared _______________________, personally known to me to be the person described in and who executed this Statement of Qualifications Transmittal Letter and acknowledged that (she/he) signed the same freely and voluntarily for the uses and purposes therein described.

In witness thereof, I have hereunto set my hand and affixed by official seal the day and year last written above.

Notary Public in and for the state of ______________

(SEAL)

(Name printed)

Residing at

My commission expires

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form A Attachment C-6

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Schedule A-1

CERTIFICATE OF AUTHORIZATION*

I, ____________________________, a resident of _________________________ in the State of ___________________________, DO HEREBY CERTIFY that I am the Clerk/Secretary of ____________________________________, a ___________ duly organized and existing under and by virtue of the laws of ______________________ (the “Respondent”); that I have custody of the records of the Respondent; and that as of the date of this certification, _____________________ holds the title of _________________ of the Respondent, and is authorized to execute and deliver in the name and on behalf of the Respondent the Statement of Qualifications ("SOQ") submitted in response to the Request for Qualifications for Red Line and Orange Line Signals Systems Upgrades Design Build Project, as amended; and all documents, letters, certificates and other instruments which have been executed by such officer on behalf of the Respondent in connection therewith.

IN WITNESS WHEREOF, I have hereunto set my hand and affixed the corporate seal of the corporation this ______day of ___________ 2017.

(Affix Seal Here)

Clerk/Secretary

* Note: If the Respondent is a joint venture, this form must be completed by each Major Participant.

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Schedule A-1 Attachment C-7

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Schedule A-2

GUARANTOR ACKNOWLEDGMENT *

(to be typed on Guarantor's Letterhead)

_____________________________ (“Respondent") has submitted herewith a Statement of Qualifications ("SOQ") in response to the MBTA’s Request for Qualifications for Red Line and Orange Line Signals Systems Upgrades Design Build Project, as amended (“RFQ”) pursuant to which it is seeking to be qualified by the MBTA to provide the DB Installation Work described in the RFQ.

The Guarantor hereby certifies that it will irrevocably, absolutely and unconditionally guarantee pursuant to a Guaranty Agreement the performance of all of the Respondent’s obligations under the DB Contract to be issued with the MBTA's Request for Proposals ("RFP"), in the event the Respondent is issued a RFP by the MBTA and selected for execution of the DB Contract by the MBTA.

Name of Guarantor

Name of Authorized Signatory

Signature

Title

*If more than one Guarantor is proposed, each Guarantor shall provide an executed copy of this Guarantor Acknowledgment. If a Guarantor is a joint venture, each firm in the joint venture shall be jointly and severally obligated and shall independently provide an executed copy of this Guarantor Acknowledgment.

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Schedule A-2 Attachment C-8

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Schedule A-3

GUARANTOR CERTIFICATE OF AUTHORIZATION*

I, ________________________________, a resident of ____________________ in the State of ______________________ DO HEREBY CERTIFY that I am the Clerk/Secretary of _______________________________, a ___________ duly organized and existing under and by virtue of the laws of the State of ___________________ (the “Guarantor”) ; that I have custody of the records of the Guarantor; and that as of the date of this certification, ________________ holds the title of __________________ of the Guarantor, and is authorized to execute and deliver in the name and on behalf of the Guarantor the Guarantor Acknowledgment submitted by the Guarantor as part of _____________________’s response to the Request for Qualifications for Red Line and Orange Line Signals Systems Upgrades Design Build Project issued by the Massachusetts Bay Transportation Authority, as amended; and all documents, letters, certificates and other instruments which have been executed by such officer on behalf of the Guarantor in connection therewith.

IN WITNESS WHEREOF, I have hereunto set my hand and affixed the corporate seal of the Guarantor this __________ day of ___________, 2017.

(Affix Seal Here)

(Clerk/Secretary)

*Note: Separate certifications shall be submitted if more than one corporate officer has executed the Guarantor Acknowledgment as part of the SOQ. Respondents shall make appropriate conforming modifications to this Certificate in the event the signatory's address is outside of the United States.

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Schedule A-3 Attachment C-9

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Schedule A-4

CONFIDENTIAL CONTENTS INDEX

Item Justification For Confidentiality

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Schedule A-4 Attachment C-10

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Schedule A-5

FORM OF LETTER OF EACH MAJOR PARTICIPANT (OTHER THAN THE RESPONDENT)

[Letterhead of Major Participant]

RESPONDENT:____________________________________________

SOQ Date:

Massachusetts Bay Transportation Authority Contract Administration 100 Summer Street, Suite 1200 Boston, MA 02110

Attn: Yvelisse Duvergé

[Name of Major Participant] (the “Company”) submits this letter to be included as part of a Statement of Qualifications (“SOQ”) being submitted by the respondent named above (the “Respondent”) in response to the Request for Qualifications for Red Line and Orange Line Signals Systems Upgrades Design Build Project (as amended, the “RFQ”) issued by the Massachusetts Bay Transportation Authority (“MBTA”) for Red Line and Orange Line Signals Systems Upgrades Design Build Project (“Project”) as described in the RFQ. I am an officer of the Company duly authorized to make the representations set forth in this letter on behalf of the Company.

The Company has agreed to participate with the Respondent in submission of the SOQ as a Major Participant (as defined in the RFQ) in the Respondent’s team. I certify on behalf of the Company that the representations, statements and commitments made by the Respondent on behalf of the Company have been duly authorized by the Company and may be included in the SOQ, are correct and accurately reflected in the SOQ, and accurately reflect the role of the Company in the [type of entity to be formed] that has been or will be formed if the Respondent’s proposal is selected by the MBTA for award of the contract for design and construction of the Project.

[Include the following sentence only if the Respondent team will be a joint venture and the Company will be a participant in the joint venture.]

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Schedule A-5 Attachment C-11

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The Proposal team will be a joint venture of which the Company will be one of the joint venture participants. The Company acknowledges that as a party to the joint venture it will be jointly and severally liable with each other member of the joint venture for the performance of the obligations of the joint venture.

Name of Major Participant

Name of Signatory

Signature

Title

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Schedule A-5 Attachment C-12

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FORM B

INFORMATION REGARDING RESPONDENT AND TEAM MEMBERS

(for Public Release)

Submit this Form for the Respondent, including information regarding each Major Participant, the Lead Designer, each Major Equipment Supplier, each other Key Subcontractor, and each Guarantor, and any other firm known at the time of submission of the Statement of Qualifications.

RESPONDENT:

Address:

Contact Name: Title:

Telephone Number: E-mail:

NAME(S) OF RESPONDENT TEAM MEMBERS

Company Name Address, E-mail Address, and Telephone Number

Major Participant(s)

Lead Designer

Major Equipment Suppliers

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form B

Attachment C-13

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Other Key Subcontractors

Other Firms

Company Name Address, E-mail Address, and Telephone Number Name of Entity Whose

Obligations are Guaranteed

Guarantor(s)

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form B

Attachment C-14

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SCHEDULE B-1 ADDITIONAL INFORMATION REGARDING RESPONDENT, MAJOR

PARTICIPANTS, LEAD DESIGNER, MAJOR EQUIPMENT SUPPLIERS, OTHER KEY SUBCONTRACTORS, AND GUARANTORS

Name of Respondent:

Entity (check one box for entity completing Schedule B-1, as applicable):

Respondent; Major Participant; Lead Designer; Major Equipment Supplier; Other Key Subcontractor; or Guarantor

Name of Entity Completing Schedule B-1:

If “Guarantor” Is Checked Above, Name of Entity Whose Obligations Are Being Guaranteed:

Year Established: ____________________ State of Organization: _______________________

Federal Tax ID No. (if applicable): _____________ Telephone No.: ______________________

North American Industry Classification Code: __________

Name of Official Representative Executing Schedule B-1: ______________________________

Individual’s Title: _______________________

E-mail Address: _________________________

Type of Business Organization (check one):

Corporation Partnership Joint Venture Limited Liability Company Other (describe)

A. Business Address: _____________________________________________________ Headquarters:

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Schedule B-1

Attachment C-15

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Office Working on Project: _______________________________________________ Contact Telephone Number: _______________________________________________

B. Indicate the role of the entity in the space below. ________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

C. If the entity completing this Schedule B-1 is a Joint Venture or newly formed entity (formed within the past two years), complete a separate Schedule B-1 and Schedule B-2 for each member or partner and attach it to the SOQ. In addition, identify the name of such members or partners in the space below.

Name

________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________________

Under penalty of perjury, I certify that the foregoing is true and correct, and that I am the firm’s Official Representative:

By: Print Name: Title: Date:

[Please make additional copies of this form as needed.]

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Schedule B-1

Attachment C-16

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SCHEDULE B-2

CERTIFICATION

Respondent:

Name of Firm: ______________________________________________________________

Entity (check one box for entity completing this Schedule B-2, as applicable):

Respondent; Major Participant; Lead Designer; Major Equipment Supplier;

Other Key Subcontractor; or Guarantor

1. Has the firm or any affiliate* or any current officer thereof, been indicted or convicted of bid crimes (i.e., fraud, bribery, collusion, conspiracy, antitrust, etc.) or other contract-related crimes or violations or any other felony or serious misdemeanor within the past five years?

Yes No

If yes, please explain:

2. Has the firm or any affiliate* ever sought protection under any provision of any bankruptcy act?

Yes No

If yes, please explain:

3. Has the firm or any affiliate* ever been found liable in a civil suit or found guilty in a criminal action for making any false claim or other material misrepresentation to a public entity within the past ten years?

Yes No

If yes, as to each such inquiry, state the name of the public agency, the date of the inquiry, the grounds on which the public agency based the inquiry, and the result of the inquiry.

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Schedule B-2

Attachment C-17

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4. Has any implementation/integration/installation project performed or managed by the firm or, to the knowledge of the undersigned, any affiliate* involved repeated or multiple failures to comply with safety rules, regulations, or requirements?

Yes No

If yes, please identify the team members and the projects, provide an explanation of the circumstances, and provide owner contact information including telephone numbers.

5. Has the firm or any affiliate* been found, adjudicated or determined by any federal or state court or agency (including, but not limited to, the Equal Employment Opportunity Commission, the Office of Federal Contract Compliance Programs or any applicable Massachusetts governmental agency) to have violated any laws or Executive Orders relating to employment discrimination or affirmative action, including but not limited to Title VII of the Civil Rights Act of 1964, as amended (42 U.S.C. Sections 2000 et seq.); the Equal Pay Act (29 U.S.C. Section 206(d)); and any applicable or similar Massachusetts law?

Yes No

If yes, please explain:

6. Has the firm or any affiliate* been found, adjudicated, or determined by any state court, state administrative agency, including, but not limited to, the Massachusetts Department of Labor (or its equivalent), federal court or federal agency, to have violated or failed to comply with any law or regulation of the United States or any state governing prevailing wages (including but not limited to payment for health and welfare, pension, vacation, travel time, subsistence, apprenticeship or other training, or other fringe benefits) or overtime compensation?

Yes No

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Schedule B-2

Attachment C-18

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If yes, please explain:

7. With respect to each of Questions 1-6 above, if not previously answered or included in a prior response on this form, is any proceeding, claim, matter, suit, indictment, etc. currently pending against the firm that could result in the firm being found liable, guilty or in violation of the matters referenced in Questions 1-6 above and/or subject to debarment, suspension, removal or disqualification by the federal government, any state or local government, or any foreign governmental entity?

Yes No

If yes, please explain and provide the information requested as to such similar items set forth in Questions 1-6 above.

*The term “Affiliates” includes parent companies, subsidiary companies, joint venture members and partners in which the entity has more than a 15% financial interest.

Under penalty of perjury, I certify that the foregoing is true and correct, and that I am the firm’s Official Representative:

By: ________________________________ Print Name: _________________________ Title: _______________________________

Date: ______________________________________

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Schedule B-2

Attachment C-19

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SCHEDULE B-3 PUBLIC PROJECTS EXPERIENCE AND REFERENCES

(A separate form should be submitted by each team member within the categories below.)

The Respondent, each Major Participant, the Lead Designer, each Major Equipment Supplier, and other Key Subcontractors shall provide a list of all public projects on which it has worked within the past three years including past performance evaluation grades, to the extent applicable, including without limitation any CPER provided on listed MBTA projects.

References who are unable to be contacted may be disregarded by the MBTA at its own discretion.

Name of Respondent: ___________________________________________________

Respondent Team Member: ______________________________________________

Project Work Title and Location

Description of the Work

Percent of Contract

Completed by Entity

Owner Contact Name, Telephone Number, and E-mail Address

Completion Date

Value of the Original Bid

Value of Final

Contract Amount

Evaluation Grade, to the Extent Applicable

1.

2.

3.

4.

5.

6.

7.

8.

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Schedule B-3 Attachment C-20

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FORM C

LIST OF KEY PERSONNEL

Respondent: ______________________________

List the Key Personnel assigned to the project for the positions noted below.

KEY PERSONNEL POSITION NAME OF KEY PERSONNEL

Project Manager

Project Safety and Security Manager

Construction Manager

Design Manager

Project Controls Manager

Quality Assurance Manager

Signaling Manager / Signal Project Engineer

Civil Rights Lead

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form C

Attachment C-21

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SCHEDULE C-1

KEY PERSONNEL REFERENCES

The Respondent shall list at least three references for the Project Manager and two references for each of the other individuals identified as Key Personnel for comparable projects in which the Key Personnel have played a primary role.

Key Personnel Name Position Company or Agency Current Address Telephone Number E-Mail Address

Project Manager 1.

2.

3.

Project Safety and Security Manager

1.

2.

Construction Manager 1.

2.

Design Manager 1.

2.

Project Controls Manager 1.

2.

Quality Assurance 1.

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Schedule C-1 Attachment C-22

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Manager 2.

Signaling Manager / Signal Project Manager

1.

2.

Civil Rights Lead

1.

2.

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Schedule C-1 Attachment C-23

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FORM D

TERMINATIONS, FAILURE TO COMPLETE, MATERIAL BREACH, AND ACTUAL OR LIQUIDATED DAMAGES

(A separate form should be submitted by each team member within the categories below.)

Submit this Form D for the Respondent (or any other organization that is under common ownership with the Respondent) and each Major Participant, the Lead Designer, each Major Equipment Supplier, and each other Key Subcontractor. List each and every project on which each firm was terminated for cause, failed to complete the work, was determined to be liable for a material breach, or paid actual or liquidated damages within the past three (3) years. Failure to provide a complete and accurate list may result in the Respondent being deemed unqualified and further action may be taken against the Respondent. Attach additional sheets if necessary. (Note: If “none” is an intended response, use of the phrase “not applicable” or “NA” will not be considered responsive.)

Name of Respondent: _____________________________________

Respondent Team Member: ________________________________

Project Name, Location,

Owner

Representative of Adverse

Party, Phone Number,

Email address Scope of

Work Start/End

Dates

Estimated Value of Project

% Complete

Nature of Issue (Termination,

Failure to Complete, Material Breach or Payment of Damages) and Reason for Such

Occurrence

I, _______________________________, ______________________________, of the

Name Title

______________________________, with a principal office located at ____________

Respondent Team Member Company Name

___________________________________________________________________________

do hereby certify that the information included on this Form D is accurate and complete: MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form D Attachment C-24

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SIGNED UNDER THE PENALTIES OF PERJURY this ___ day of ______________, 20___.

Signature of Duly Authorized Representative:

_______________________________________________

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form D Attachment C-25

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FORM E

AFFIDAVIT OF COMPLIANCE

[Submit this Form for the Respondent, Major Participants, Lead Designer, Major Equipment Suppliers, and other Key Subcontractors]

Massachusetts Business Corp. Foreign Corp. Non-Profit Corp.

I,

_________________________________________________, President,

________________________________________________, Clerk,

________________________________________________, Partner,

of _________________________________________________________________, with a principal office located at ___________________________________________________________________, do hereby certify that the above named corporation has filed with the State Secretary all certificates and annual reports required by Chapter 156B, Chapter 156D, or Chapter 180 of the Massachusetts General Laws.

SIGNED UNDER THE PENALTIES OF PERJURY this ____ day of ____________, 20___.

________________________________________________ Signature of Duly Authorized Officer

Please attach evidence as required by Section 1.4.5(B)(3) of Attachment B of

the RFQ

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form E Attachment C-26

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FORM F

CONVICTIONS AND FINES AND LITIGATION, ARBITRATION, AND DISPUTE RESOLUTION

Name of Respondent: __________________________________________________________________

Name of Respondent, Major Participant, Lead Designer, Major Equipment Supplier, Other Key Subcontractor, as relevant: ___________________

Submit this Form for the Respondent, each Major Participant, the Lead Designer, each Major Equipment Supplier, and each other Key Subcontractor.

(Note: If “none” is an intended response to any of the following, use of the phrase “not applicable” or “NA” will not be considered responsive.)

CONVICTIONS AND FINES

Other than those listed in Schedule B-2, list all convictions and fines incurred by each firm for violation of any state or federal law within the past three (3) years. Failure to provide a complete and accurate list may result in the Respondent being deemed unqualified and further action may be taken against the Respondent. Attach additional sheets if necessary.

Matter Caption

List Enforcement Agency and All Parties

Location of Proceedings

Description of Action

Start/End Dates

Status and Outcome

LITIGATION, ARBITRATION, AND DISPUTE RESOLUTION Other than those listed in Schedule B-2, list all litigation, arbitration, dispute review board proceeding, and other dispute resolution involving a construction project or contract in which any firm was a named party, whether currently pending or concluded within the past three (3) years. Failure to provide a complete and accurate list may result in Respondent being deemed unqualified and further action may be taken against Respondent. Attach additional sheets if necessary.

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form F Attachment C-27

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Project Name and

Location

Case Caption

List all Parties

Location of Proceedings

Description of Dispute

Start/End Dates

Status and

Outcome

Name of Representative

of Adverse Party, Phone Number, and

Email Address

I, _______________________________, ______________________________, of the

Name Title

______________________________, with principal office located at ____________

Respondent Team Member Company Name

___________________________________________________________________________

do hereby certify that the information included on this Form F is accurate and complete:

SIGNED UNDER THE PENALTIES OF PERJURY this ___ day of ______________, 20___.

Signature of Duly Authorized Representative:

____________________________________________

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form F Attachment C-28

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FORM G

CERTIFICATION OF TAX COMPLIANCE

[Submit this Form for the Respondent and each Major Participant.]

MASSACHUSETTS BAY TRANSPORTATION AUTHORITY

Pursuant to M.G.L. Ch. 62c. sec. 49a.

I,

_________________________________________________, President,

________________________________________________, Clerk,

________________________________________________, Partner,

of _________________________________________________________________, hereby certify

under the penalties of perjury that ___________________________________ has filed all state tax returns and paid all state taxes required under law.

___________________________ ________________________________ Federal Identification Number Company Name or Social Security Number

_________________________________ Signature

_________________________________ Name of Duly Authorized (type/print)

__________________________________ Title/Company Position

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form G Attachment C-29

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FORM H

SAFETY EXPERIENCE RECORD

Submit this Form for the Respondent and each Major Participant, the Lead Designer, each Major Equipment Supplier, and each other Key Subcontractor.

RESPONDENT: ______________________________

FIRM: ____________________________________

1. Provide the firm’s Experience Modification Rate (EMR) for the past three years

YEAR EMR

2. Provide the firm’s OSHA Recordable Incident Rate for the past three years

YEAR OSHA Recordable Incident Rate

3. Has the firm received any OSHA citations during the past three years? If so, please explain.

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form H Attachment C-30

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FORM I

DBE COMPLIANCE RECORD

Respondent: _____________________

Firm: ________________________

Provide the last five years of history in achieving DBE goals on projects valued at $20 Million or above. Identify project goal and the DBE % achieved at the completion of the project. Submit this Form for the Respondent, each Major Participant, the Lead Designer, each Major Equipment Supplier, and each other Key Subcontractor.

YEAR PROJECT GOAL ACHIEVED

________________________________________________

Signature of Duly Authorized Representative

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form I Attachment C-31

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FORM J

FIRM’S EMPLOYEE PROFILE

Respondent: ______________________________

Firm: _________________________________

Provide the employee profile, illustrating the ethnic and gender composition for the Respondent, each Major Participant, the Lead Designer, each Major Equipment Supplier, and each other Key Subcontractor.

Part A: Ethnicity Breakdown

Ethnicity FY [____]

(by %/figure) FY [____]

(by %/figure) FY [____]

(by %/figure)

Caucasian

Black

Hispanic

Native American

Subcont. Asian

Asian Pacific

Other

Total

Part B: Gender Breakdown

Gender FY [____]

(by %/figure) FY [____]

(by %/figure) FY [____]

(by %/figure)

Male

Female

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form J Attachment C-32

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FORM K

RESPONDENT’S MANAGEMENT DIVERSITY PROFILE Respondent: ______________________________

Provide the profile of the anticipated management team, illustrating the ethnic and gender composition for the Respondent’s proposed organization.

Part A: Ethnicity Breakdown

Ethnicity by %/figure

Caucasian

Black

Hispanic

Native American

Subcont. Asian

Asian Pacific

Other

Total

Part B: Gender Breakdown

Gender by %/figure

Male

Female

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form K Attachment C-33

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FORM L

TITLE VI PROGRAM DEVELOPMENT AND IMPLEMENTATION AND SUMMARY OF ACHIEVEMENTS IN A DESIGN BUILD CONTEXT, INCLUDING COMMUNITY PARTICIPATION

Projects

(over $20,000,000.00)

Demonstrated Capacity to Develop and Implement Title VI

Program

Summary of Achievements

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form L Attachment C-34

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FORM M

WORK HISTORY

Respondent: _____________________

Firm: ________________________

For the Respondent, each Major Participant, and each other Key Subcontractor, provide the major projects each have worked on which involved the following MBTA Classes of Work: (i) Class 1 General Transit Construction; (ii) Class 5 Electrical; and (iii) Class 6A1 Transit Signals and Communication. List the projects which are the most recent and with the highest contract value first. It is recommended that the top three valued projects in excess of $5 Million for each Class of Work be provided for each of the entities. All columns must be filled in.

See attached for Class of Work descriptions.

Contract Amount

($)

% of Contract Completed By

Your Firm1

Project Title and Location

Owner/ Contact Name/

Phone Number/Email

Completion Date Class of Work2

Dollar Amount of Each Class

Work ($)

% of Each Class of Work

Performed By Firm

Detailed Description of Work (Include

Description of Work in Each Listed Class

of Work) Class 1

Class 1

Class 1

1 If a contractor is part of a joint venture, then the contractor should show the appropriate percentage and value for the Class of Work and contract amount. 2 Each entity should list the projects in order of classification. Each requested class of work should list the entity’s three (3) largest valued completed projects in excess of $5

Million of that particular Class of Work. MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form M Attachment C-35

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Contract Amount

($)

% of Contract Completed By

Your Firm1

Project Title and Location

Owner/ Contact Name/

Phone Number/Email

Completion Date Class of Work2

Dollar Amount of Each Class

Work ($)

% of Each Class of Work

Performed By Firm

Detailed Description of Work (Include

Description of Work in Each Listed Class

of Work) Class 5

Class 5

Class 5

Class 6A1

Class 6A1

Class 6A1

_______________________________________________

1 If a contractor is part of a joint venture, then the contractor should show the appropriate percentage and value for the Class of Work and contract amount. 2 Each entity should list the projects in order of classification. Each requested class of work should list the entity’s three (3) largest valued completed projects in

excess of $5 Million of that particular Class of Work.

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form M Attachment C-36

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CLASS OF WORK DESCRIPTIONS

CLASS 1 - GENERAL TRANSIT CONSTRUCTION

Heavy transit line construction projects including the following work: site preparation, cut and cover tunneling, excavation backfill, grading, storm drainage, utilities, sewerage and water systems, gravel base courses, piles, underpinning, sheeting, slurry walls, bituminous and cement pavements, retaining walls, steel and reinforced concrete structures, landscaping, access roadways, fencing, signing and incidental site work. Classes 2 – 12 of these classes of work describe those types of technical work. This Class 1 is intended to only include the contractor’s ability to work on or around active facilities, without causing disruption. The contractor must exhibit, on previously completed projects that the scope of work for the project required the contractor to perform or manage work on or around active rapid transit, light rail, commuter rail and / or freight tracks or bus without causing disruption to service. In addition, the contractor should demonstrate, by project scope, their ability to work and or manage work in or around an active transit station or facility while performing new or alteration activities without disruption to station or facility operations. The types of projects that also require prequalification in this Class of Work include remodeling, alteration or new construction of bus, rapid transit, light rail and commuter rail stations and multi-modal terminal facilities along with subway ventilation improvements.

Class 1 work is the percentage (%) of the total contract value that is performed or managed by the contractor in or around an operating and active rapid transit, light rail, commuter rail or freight rail right-of-way, without causing disruption to service. Please note that Class 1 does not consist of physical work. It indicates a contractor’s experience performing or managing work (Classes 2-12) that has the potential to impact service. A contractor’s experience should demonstrate this ability the committee has the right to evaluate a contractor’s ability to work on any project that is within 25 feet of the active right of way. For example, if 75% of a contract scope of work is in or around an active station or within 25 feet of the active right of way then 75% of the contract value is considered class 1. Another example would be in the event 100% of the work was in or around an active station or right of way then 100% of the work would be considered Class 1. If no service exists within the project vicinity then there is no Class 1. In other words, in its experience submittal, the contractor must identify the portion of the project that meets this Class 1 criterion.

CLASS 5 - ELECTRICAL

Projects including the installation and furnishing, testing and commissioning of switchgear equipment, traction power substation equipment, combustion turbine operations, duct and cable systems. Specialty systems equipment and their installation for other than normal electrical systems are also included in this class of work.

CLASS 6 – SIGNALS & COMMUNICATIONS:

6A1 - TRANSIT SIGNALS AND COMMUNICATIONS:

Projects consisting of the installation and testing of transit signal, communications, automatic highway crossing warning, or supervisory control systems. Work includes labor, materials, engineering, equipment, or technical support for new or existing systems.

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form M Attachment C-37

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ATTACHMENT D

NON-DISCLOSURE FORMS AND QUESTION REQUEST FORM

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ATTACHMENT D NON-DISCLOSURE FORMS AND QUESTION REQUEST FORM

List of Forms

Form 1 Sensitive Security Information Non-Disclosure and Confidentiality Agreement Form 2 Sensitive Security Information Certification and Conditions of Custody Form 3 Respondent’s Question Request

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Attachment D-1

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FORM 1

Massachusetts Bay Transportation Authority Sensitive Security Information

Non-Disclosure and Confidentiality Agreement

I certify that I am receiving information from the Massachusetts Bay Transportation Authority (the “Authority”) in connection with the Request for Qualifications for Red Line and Orange Line Signals Systems Upgrades Design Build Project (MBTA Contract No. Q09CN01). I certify my understanding that the material to be received pertains to Authority assets and infrastructure that have been deemed critical or important to operations, and are considered sensitive security information, exempted from public disclosure, pursuant to 49 U.S.C. 40119(b)(1) and 49 CFR 15.5(b)(16), and M.G.L. c. 4, § 7(26)(n). I have been authorized by the Authority to receive the sensitive security information in the form of plans, reports, surveys, AutoCAD files or any other information in any form describing existing track and signal layout which have been posted on-line and protected by a password (the “Background Documents”). This authorization is granted based upon compliance with the following conditions and agreements.

I agree that the Background Documents are of a highly confidential and sensitive security nature and that such information shall only be used in connection with the Request for Qualifications for Red Line and Orange Line Signals Systems Upgrades Design Build Project. I will not make any use of the Background Documents for any purpose other than as expressly permitted by this Agreement.

I agree that, except as required by law, I will hold and treat the Background Documents in the strictest confidence and will not, without the prior written consent of an authorized representative of the Authority, directly or indirectly discuss with, disclose, release, or otherwise provide or make available the data contained in the Background Documents or any portion thereof, to any person other than authorized persons who have a need to review the Background Documents and have executed an Massachusetts Bay Transportation Authority Sensitive Security Information Non-Disclosure and Confidentiality Agreement in connection with the Request for Qualifications for Red Line and Orange Line Signals Systems Upgrades Design Build Project.

I agree to maintain the security of all documents, working papers, designs, and other materials related to the Background Documents and I will password protect all such information stored by me in electronic form.

I agree that if at any time I discover that any of the Background Documents has been inappropriately disclosed, I will immediately report the same to the Authority.

Upon the earlier of the Authority’s written request or completion of my need for such information, the Background Documents and all copies thereof, shall be promptly delivered to the Authority. I agree to destroy all electronic copies in a manner acceptable to the Authority. To the extent that any writings and materials describing, analyzing or containing any data contained in the Background Documents is produced by me, I acknowledge that I have an ongoing perpetual obligation to protect such data from disclosure unless prior written authorization is obtained from the Authority.

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form 1 Attachment D-2

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I agree that my obligations under this Agreement will be perpetual.

If I am served with a subpoena or discovery request or receive a public Background Documents disclosure request relating to, or am otherwise required by law to disclose any Record, I will immediately provide the Authority with written notification and provide a copy to the Authority to permit the Authority to seek a protective order or take other appropriate action. I will also cooperate in the Authority’s efforts to obtain a protective order or other assurance that secure treatment will be afforded the Background Documents. In the absence of the protective order, I may disclose to the party compelling the disclosure only the part of the Background Documents as is required to be disclosed (in which case, prior to such disclosure, I will advise and consult with the Authority as to such disclosure and the nature and wording of the such disclosure) and I will use my best efforts to obtain confidential treatment thereof.

I acknowledge that the unauthorized disclosure and handling of the Background Documents could cause substantial damage and expose the Authority and its facilities and customers to significant danger and could result in civil or criminal fines and penalties.

I acknowledge that the obligations of confidence required hereunder are extraordinary and unique and are vital to the security and well-being of the Authority and its customers and that damages at law may be an inadequate remedy for any breach or threatened breach of this Agreement. The Authority shall be entitled, in addition to all other rights or remedies, to seek injunctions restraining such breach, without being required to show any actual damage or to post any bond or other security.

Notifications required to be made to the Authority pursuant to this certificate shall be delivered by email to Yvelisse Duvergé, Manager of Construction Procurement, at [email protected]. The subject line of the e-mail must use the subject line “RFQ – RL/OL Signals Systems Upgrade Project”.

This Agreement shall be governed by and construed in accordance with laws of the Commonwealth of Massachusetts, without reference to its conflicts of laws principles.

Signature:

Date:

Name of Signatory:

Title of Signatory:

Entity Name:

Phone Number:

Address:

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form 1 Attachment D-3

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FORM 2

Massachusetts Bay Transportation Authority Sensitive Security Information

Certification and Conditions of Custody

The undersigned certifies that it is receiving information from the Massachusetts Bay Transportation Authority (the “Authority”) pursuant in connection with the Request for Qualifications for Red Line and Orange Line Signals Systems Upgrades Design Build Project (MBTA Contract No. Q09CN01). The undersigned certifies its understanding that the material to be received pertains to Authority assets and infrastructure that have been deemed critical or important to operations, and are considered sensitive security information, exempted from public disclosure, pursuant to 49 U.S.C. 40119(b)(1) and 49 CFR 15.5(b)(16), and M.G.L. c. 4, § 7(26)(n). The undersigned has been authorized by the Authority to receive the sensitive security information in any form describing existing track and signal layout which have been posted on-line and protected by a password (the “Background Documents”). This authorization is granted based upon compliance with the following conditions.

The undersigned certifies that the Background Documents are being made available for the limited purpose of preparing a proposal to perform the Contract No. Q09CN01 Design Build Services and performing any work under that Contract, and are not to be disclosed to unauthorized persons, without written authorization of the Authority. The undersigned confirms it may be subject to penalty if the Background Documents are released.

The undersigned certifies that access to the Background Documents will be limited to those persons, including its employees, consultants and contractors, who have been designated by the undersigned as having a need to review the Background Documents in order to successfully provide services or perform applicable tasks (“Authorized Personnel”). The undersigned certifies that it has established a protocol to ensure persons with access to the Background Documents have the proper credentials and background to view and perform services involving sensitive security information; and has developed a protocol to record and limit access, reproductions and distribution of the Background Documents to Authorized Personnel; and will continue to safeguard the Background Documents even after it has completed work associated with the Background Documents. Upon the earlier of the completion of its work or when the Background Documents are no longer needed or upon written request of the Authority, the undersigned agrees to return all Background Documents and copies thereof as well as all and any copies thereof to the Authority and to destroy all electronic copies in a manner acceptable to the Authority.

The undersigned certifies that it has developed proper safeguards and records management procedures to insulate the Background Documents from inappropriate or unauthorized disclosure. The undersigned agrees that it will make good faith efforts to safeguard and not disclose the contents of, or copy or duplicate, any of the Background Documents. Disclosure of documents or the information contained there to any other party other than Authorized Personnel

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form 2 Attachment D-4

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in whole or in part or in any document created by the undersigned, or the issuance of statements to the public regarding limited access to the Background Documents is strictly prohibited and shall require prior written authorization and approval from the Authority. To the extent that any writings and materials describing, analyzing or containing any data contained in the Background Documents is produced by the undersigned, the undersigned acknowledges that it has an ongoing perpetual obligation to protect such data from disclosure unless prior written authorization is obtained from the Authority.

The undersigned agrees that if at any time it discovers that any of the Background Documents has been inappropriately disclosed, the undersigned will immediately report the same to the Authority.

The undersigned certifies that it will advise its own employees, agents, contractors, consultants or any other third party of the nondisclosure obligation and ensure compliance with the obligation. The undersigned agrees that prior to granting any access to any Authorized Personnel other than its own employees, it will obtain a certification in the same form as this certification from any entity utilizing said Authorized Personnel. The undersigned also agrees that prior to granting any access to any Authorized Personnel it will obtain a Massachusetts Bay Transportation Authority Sensitive Security Information Non-Disclosure and Confidentiality Agreement (“NDA”) from that person.

Original certifications from all entities utilizing Authorized Personnel and original NDAs from all Authorized Personnel must be provided to the Authority before the Background Documents will be released. If following release of the Background Documents, additional Authorized Personnel are identified, original certifications and NDAs must be delivered to the Authority before the Background Documents are released to the additional Authorized Personnel.

The undersigned confirms that failure to make good faith efforts to comply with these conditions for the approved limited purposes, including the disclosure, copying and/or duplication of information contained in the Background Documents in whole or in part to unauthorized persons, without written authorization of the Authority, may result in the revocation of custody of the Background Documents and/or other penalties. The Authority shall be entitled, in addition to all other rights or remedies, to seek injunctions restraining such breach, without being required to show any actual damage or to post any bond or other security.

The undersigned agrees that if served with a subpoena or discovery request or receive a public records disclosure request relating to, or if otherwise required by law to disclose any Record, the undersigned will immediately provide the Authority with written notification and provide a copy to the Authority to permit the Authority to seek a protective order or take other appropriate action. The undersigned agrees to cooperate in the Authority’s efforts to obtain a protective order or other assurance that secure treatment will be afforded the Background Documents. In the absence of the protective order, the undersigned may disclose to the party compelling the disclosure only the part of the Background Documents as is required to be disclosed (in which case, prior to such disclosure, the undersigned will advise and consult with the Authority as to

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form 2 Attachment D-5

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such disclosure and the nature and wording of the such disclosure) and the undersigned will use best efforts to obtain confidential treatment thereof.

The following conditions shall apply to any AutoCAD file supplied by the Authority. All documents, files or other data accessible from this file are provided solely as a courtesy to facilitate access to information. The Authority provides such documents, files or other data “as is” without any warranty of any kind, either expressed or implied, including but not limited to, accuracy, reliability, omissions, completeness and currentness. The Authority and its consultants shall not be liable for any claim for damages, including lost profits or other consequential, exemplary, incidental, indirect or special damages, relating in any way to the documents, files or other data accessible from this file, including, but not limited to, claims arising out of or related to electronic access or transmission of data or viruses. Because data stored on electronic media can deteriorate undetected or be modified without our knowledge, the Authority cannot be held liable for its completeness or correctness. The Authority makes no representation as to the compatibility of these files. The undersigned understands that this authorization does not give the undersigned the right to distribute the files.

This Agreement shall be governed by and construed in accordance with laws of the Commonwealth of Massachusetts, without reference to its conflicts of laws principles.

The undersigned understands and accepts the conditions of custody relative to receipt and the possession of the Background Documents.

Entity Name:

Signature: By:

Date:

Name of Authorized Signatory:

Phone Number:

Address:

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form 2 Attachment D-6

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Form 3

RESPONDENT’S QUESTION REQUEST

Respondent: __________________

Date: ______________________

Requestor’s Name, Address, E-mail and Phone Number: _________________________________________________________________

This form must be used for the submission of questions pertaining to the RFQ for Red Line and Orange Line Signals Systems Upgrades Design Build Project, MBTA Contract No. Q09CN01. This form must be submitted to Yvelisse Duvergé at the address specified in Section 4.6 of the RFQ.

Request Number∗

(1,2,3…) Section Question Massachusetts Bay Transportation Authority

Response

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form 3 Attachment D-7

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∗ Use continuous and sequential Request Numbers through all submittals.

MBTA Contract No. Q09CN01 RFQ Attachments Red Line and Orange Line May 12, 2017 Signals Systems Upgrades Design Build Project

Form 3 Attachment D-8