Contractor Qualification Statement | Page 1

CONTRACTOR QUALIFICATION STATEMENT

For Prequalification and Consideration for Construction Contracts

Purpose. This form is intended to provide an Owner, Architect, Construction Manager, or other authorized party with information needed to evaluate a contractor’s organization, experience, financial and bonding capacity, safety record, legal history, staffing, and ability to perform the proposed work. Complete all applicable sections and identify any requested information that is provided separately.

PROJECT INFORMATION CONTRACTOR INFORMATION

Project Name:

Public Safety Building Elevator Addition and Alterations

Legal Business Name:

Owner:

City of Johnstown

Business Address:

Architect / Construction Manager:

UpStreet Architects, Inc.

City / State / ZIP:

Project Location:

401 Washington Street, Johnstown PA 15901

Primary Contact / Title:

Submission Date:

Phone / Email:

1. ORGANIZATION AND OWNERSHIP

1.1 Business name under which the contractor will perform the work:

1.2 Year established: ______________________________________________________________________

1.3 Years operating under the present business name:

Legal Structure Check One State / Jurisdiction of Organization Corporation ☐ Limited Liability Company ☐ Partnership ☐ Sole Proprietorship ☐ Other ☐

1.4 Former business names, mergers, acquisitions, or reorganizations during the past 10 years:

1.5 Parent, subsidiary, affiliated, or commonly owned entities:

1.6 Name(s) and title(s) of principal owner(s) / officer(s):

2. LICENSING, REGISTRATION, AND LEGAL AUTHORITY

Has the contractor ever been suspended, debarred, denied a license, or had a required license revoked? ☐ Yes ☐ No If yes, explain and attach details.

Is the contractor presently eligible to bid on and perform public work in the project jurisdiction? ☐ Yes ☐ No ☐ N/A

Is the contractor presently eligible to obtain a contractor license in the project jurisdiction? ☐ Yes ☐ No ☐ N/A

3. CONSTRUCTION EXPERIENCE AND CAPABILITIES

3.1 Years of experience performing the type of work proposed:

Contractor Qualification Statement | Page 2

3.2 Principal types of construction routinely performed:

3.3 Approximate percentage of work normally self-performed:

3.4 Typical project size range (contract value):

3.5 Relevant capabilities and experience. Describe experience applicable to this project, including public work, occupied facilities, historic structures, renovation, new construction, accelerated schedules, complex MEP coordination, accessibility work, structural repairs, or other project-specific conditions.

4. CURRENT AND COMMITTED WORKLOAD

List active projects and awarded projects expected to overlap the anticipated construction period.

Project / Location Owner Original Contract

Complete Remaining Work Scheduled

Completion

4.1 Pending awards or proposals that may materially affect available staff or resources:

4.2 Describe the contractor’s ability to staff this project without adversely affecting current commitments:

5. BONDING, INSURANCE, AND FINANCIAL CAPACITY

Financial Statements. The Owner reserves the right, at its discretion, to request financial statements and other financial information from the apparent low responsive bidder as part of the Owner's determination of the bidder's responsibility and ability to successfully perform the Contract. Such information may include current and prior-year financial statements, work-in-progress schedules, bank or credit information, and other documentation reasonably necessary to evaluate financial capacity. Failure to provide requested information within the time specified by the Owner may be considered in determining whether the bidder is a responsible bidder.

Surety / Bonding Company Agent / Contact Single Project Capacity Aggregate Capacity

5.1 Current bonded work (approximate total):

5.2 Name of primary financial institution:

5.3 Is the contractor able to furnish performance and payment bonds in the amount required for this project? ☐ Yes ☐ No ______________________________________________________________________

5.4 Has any surety declined, canceled, or materially restricted bonding within the past five years? If yes, explain:

5.5 Has the contractor experienced a material adverse change in financial condition within the past two years? If yes, explain: ______________________________________________________________________

Contractor Qualification Statement | Page 3

6. RELEVANT PROJECT EXPERIENCE

Provide at least three and preferably five completed projects that demonstrate experience relevant to the proposed work.

Project / Location Owner / Contact Architect / Contact Contract / Final Cost Dates Scope & Relevance

7. PROJECT TEAM AND KEY PERSONNEL

Identify personnel proposed for this project.

Role Name Years with Firm

Years in Position Relevant Experience

Project Executive Project Manager Project Superintendent

8. SUBCONTRACTING AND SELF-PERFORMED WORK

Identify major portions of the work expected to be self-performed and major trades expected to be subcontracted.

Trade / Scope Self-Perform or Subcontract

Proposed Subcontractor (if known)

Relevant Experience

8.1 Describe the contractor’s process for selecting, reviewing, and managing subcontractors:

9. SAFETY AND REGULATORY RECORD

Item Yes / No / N/A Explanation / Details

Written safety program maintained and implemented ☐ Yes ☐ No ☐ N/A

Designated safety responsibility within the organization ☐ Yes ☐ No ☐ N/A

OSHA citations or significant safety violations within the past 5 years

☐ Yes ☐ No ☐ N/A

Work-related fatality within the past 5 years ☐ Yes ☐ No ☐ N/A

Serious or repeat OSHA citations within the past 5 years ☐ Yes ☐ No ☐ N/A

Workers’ compensation experience modification information available upon request

☐ Yes ☐ No ☐ N/A

Other material safety or regulatory issue affecting qualification ☐ Yes ☐ No ☐ N/A

Contractor Qualification Statement | Page 4

10. CLAIMS, DISPUTES, LITIGATION, AND CONTRACT PERFORMANCE

For the past five years, disclose matters that are material to the contractor’s ability to perform work or that materially affected a construction contract.

Matter Yes / No Brief Description / Outcome Termination for default or cause ☐ Yes ☐ No Failure to complete a construction contract ☐ Yes ☐ No Owner claim or substantial dispute ☐ Yes ☐ No Contractor claim resulting in litigation or arbitration ☐ Yes ☐ No Mechanic’s lien or payment dispute of material significance ☐ Yes ☐ No

Bankruptcy, receivership, or formal insolvency proceeding ☐ Yes ☐ No

Debarment, suspension, or government enforcement action ☐ Yes ☐ No

Other material contract-performance issue ☐ Yes ☐ No

11. PROJECT-SPECIFIC QUALIFICATIONS

Complete this section for the project identified on Page 1. If a question is not applicable, mark N/A.

Qualification Yes / No / N/A Details / Supporting Information Experience with projects of comparable size, complexity, and construction type

☐ Yes ☐ No ☐ N/A

Experience with public-sector owners or publicly funded projects

☐ Yes ☐ No ☐ N/A

Experience complying with applicable prevailing wage requirements

☐ Yes ☐ No ☐ N/A

Experience with federal, state, or local grant-funded project requirements

☐ Yes ☐ No ☐ N/A

Experience working in an occupied facility while maintaining operations

☐ Yes ☐ No ☐ N/A

Ability to meet the proposed construction schedule ☐ Yes ☐ No ☐ N/A

Ability to provide required bonds and insurance ☐ Yes ☐ No ☐ N/A

Adequate personnel and resources available during the project ☐ Yes ☐ No ☐ N/A

12. REFERENCES

Provide owners or other knowledgeable representatives who can comment on the contractor’s performance on comparable projects.

Reference Project / Location Contact Person Phone / Email Year

13. ATTACHMENTS

List all attachments provided as further explanation.

Contractor Qualification Statement | Page 5

14. CONTRACTOR CERTIFICATION

The undersigned authorized representative certifies that:

• The information contained in this qualification statement and its attachments is true and accurate to the best of the undersigned’s knowledge and belief.

• The contractor has disclosed material information that could reasonably affect an evaluation of its qualifications or ability to perform the proposed work.

• The undersigned is authorized to make this submission on behalf of the contractor.

• The Owner and its representatives may verify the information provided, including contacting references and reviewing publicly available licensing, safety, regulatory, and contract-performance information.

• The contractor understands that submission of this statement does not constitute a contract, commitment of award, or guarantee of selection unless expressly stated in the solicitation.

AUTHORIZED REPRESENTATIVE NOTARY / ACKNOWLEDGMENT

Contractor Legal Name:

State of: __________________________

Signature:

County of: _________________________

Printed Name and Title:

Subscribed and sworn before me on:

Date:

Notary Signature:

Phone / Email:

Commission Expires:

Seal / Additional Information:

Notary Seal:

END OF CONTRACTOR QUALIFICATION STATEMENT

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Redevelopment Assistance Capital Program

(RACP)

Key Compliance Guidelines

November 2024

RACP Key Compliance Guidelines

P a g e | 1 November 2024

Contents

KEY COMPLIANCE GUIDELINES

COMPETITIVE BIDDING REQUIREMENTS

PENNSYLVANIA STEEL PRODUCTS PROCUREMENT ACT

TRADE PRACTICES ACT

PUBLIC WORKS CONTRACTORS’ BOND LAW (PAYMENT & PERFORMANCE BONDS)

PA PREVAILING WAGE ACT (PWA)

AMERICANS WITH DISABILITIES ACT (ADA)

FIDELITY BONDS

INSURANCE REQUIREMENTS

RESTRICTIONS ON GOVERNMENTAL ENTITIES SELLING RACP PROJECTS

P a g e | 2 November 2024

KEY COMPLIANCE GUIDELINES

It is suggested that a copy of this complete document be given to your Project, Construction Manager, and/or Architect so that they are fully aware of the RACP requirements related to each. This document should be included in your bid packages and should be made an addendum to any and all construction contracts, plans and specifications related to the RACP project.

Compliance with all RACP requirements, including the key items in these guidelines will be monitored frequently throughout the construction phase of your project and will be reviewed once more during the legislatively mandated close-out audit.

COMPETITIVE BIDDING REQUIREMENTS

The sole and exclusive bidding requirement for RACP projects is in the Capital Facilities Debt Enabling Act (Act 67 of 2004), which states "Notwithstanding any other provision of law, the solicitation of a minimum of three written bids for all contracted construction work on redevelopment assistance capital projects shall be the sole requirement for the composition, solicitation, opening and award of bids on such projects.” Unless the terms of the law change, the Office of the Budget cannot grant waivers for bidding requirements to Grantees.

RACP projects are not subject to separation of trades. You are REQUIRED to solicit a minimum of three

(3) bids for "all generally contracted work" being performed within the RACP defined scope of work.

You are not required to receive three (3) bid responses. However, you should provide documentation to prove that at least three bids were solicited by providing copies of the solicitation letters (preferably on letterhead of the bidding entity) used in the bidding process. You are not required to select the lowest bidder, but if you do not, you will have to provide a brief written justification for your selection. Note:

there is NO threshold level under the RACP program regardless of the size or dollar amount associated with the work to be performed. You need to show that you solicited a minimum of three (3) bids for any contract to be eligible for RACP.

Bidding is acceptable at either the general contractor level (described in option a. below) or at the sub-contractor level (described in option b. below):

• General Contractor (GC) Level - If you chose to bid at the GC level, please note that the bid should encompass the entire RACP scope of work to be performed including all associated construction work. The dollar amount bid on the project must include 100% of the work to be performed by the GC and the sub-contractors. Bidding at the GC level will require submission of bidding and construction related documents at the GC level only (see Sub-Contractor level below for a distinction)

• Sub-Contractor Level - If you choose not to solicit three bids for a General Contractor, then you are required to solicit a minimum of three bids for EACH Sub-Contractor covering all trades involved in the project. Note that any self-performed work by a non-bid GC is NOT an eligible cost for reimbursement OR match purposes. Bidding at the Sub-Contractor level will require submission of bidding and construction related documents at the sub level…meaning proof of

P a g e | 3 November 2024 bidding, construction contracts, payment and performance bonds, insurance etc. will need to be provided for every sub-contractor in the RACP scope.

Professional Services: Professional services associated with the project are not required to be bid as these associated costs are only eligible as match.

Change Orders: Grantees and/or Sub-Grantees are not required to competitively bid out change orders as long as the work was within the RACP scope of the original bid and is less than 20% of the total contract. If a change order is for work beyond the RACP scope of work originally bid, the Grantee will be required to competitively bid out the new scope of work in order to be considered RACP eligible.

PENNSYLVANIA STEEL PRODUCTS PROCUREMENT ACT

The Office of the Budget (OB) cannot grant waivers to the Pennsylvania Steel Products Procurement Act (SPPA) unless the terms of the law change. All RACP Grantees must comply with the SPPA. If a Grantee/RACP project fails to abide by the SPPA, it does so at its own risk.

A full explanation on the RACP steel requirements is available as a PDF download.

Up to 2011, OB only accepted the ST-4 Form (justification for the use of foreign steel) that the Department of General Services (DGS) had exclusively devised to address exceptions linked to the requirements of the SPPA, when it was necessary. Since 2011, OB has approved the acceptability of two more DGS ST Forms (ST-2, ST-3) with some caveats, providing that the forms are properly filled out. The ST-1 Form will not be accepted by OB. It is not necessary for the ST-2, ST-3, and ST-4 Forms to be notarized.

Since 2013, OB has utilized the DGS Exempt Machinery and Equipment Steel Products listings as part of the RACP steel policy. DGS published a Statement of Policy - Steel Products Procurement in the Pennsylvania Bulletin Volume 43, Number 6 dated February 9, 2013 (See PA Bulletin #43, pages 85-86) that discussed their production of an annual list, based on their analysis of submitted ST-4 forms, which exempts certain steel products not produced domestically in sufficient quantity. DGS publishes an updated "Exemption List" annually.

Please be aware that ST forms are acceptable only in cases where nonstructural steel needs to be addressed. The DGS ST forms do not replace the steel certification forms associated with structural steel. OB will continue to require the submission of steel mill certifications to demonstrate compliance with the steel requirements for structural steel.

The PDF copies of the three acceptable ST Forms for RACP listed below can be obtained from the RACP website:

• ST-2 Steel Origin Certification: Non-Identifiable, Non-Structural Steel

• ST-3 75% U.S. Manufacture Certification

• ST-4 Not Domestically Manufactured: Prime Contractor (only to be used when requesting items to be exempted that are not found on the current year's List of Exempt Machinery and Equipment Steel Products) https://www.pa.gov/content/dam/copapwp-pagov/en/budget/documents/programs-and-services/racp/racp-main/steel%20guidance.pdf https://www.pa.gov/content/dam/copapwp-pagov/en/budget/documents/programs-and-services/racp/racp-main/st-2%20fillable.pdf https://www.pa.gov/content/dam/copapwp-pagov/en/budget/documents/programs-and-services/racp/racp-main/st-3%20fillable.pdf https://www.pa.gov/content/dam/copapwp-pagov/en/budget/documents/programs-and-services/racp/racp-main/st-4%20fillable.pdf

P a g e | 4 November 2024

It is suggested that the certifications be collected at the time any steel for the project is purchased and delivered to ease the collection process.

Be advised that OB DOES NOT need to approve the ST forms prior to the start of the construction period. The ST forms need to be submitted to demonstrate that compliance, when and where necessary, has been met.

We shall deem as ineligible all contracts that are unable to demonstrate compliance via the submission of steel certifications for Structural Steel and for Non-structural Steel the submission of steel certifications and/or ST forms and/or DGS Exempt Machinery and Equipment Steel Products List.

Therefore, the value of construction contracts associated with non-compliant steel will be removed (both materials and labor costs) from the scope of the project, which may in turn affect the project's ability to leverage their full grant amount (project may not receive its full grant).

Recycled products, melted from previously used steel, are acceptable, providing that adequate documentation from the supplier has been furnished. The supplier shall certify that the recycled steel product was produced in the USA.

TRADE PRACTICES ACT

In accordance with the Trade Practices Act of July 23, 1968, P.L. 686 (71 P.S. § 773.101 et seq.), the Grantee cannot and shall not use or permit to be used in the work any aluminum or steel products made in a foreign country which is listed below as a foreign country which discriminates against aluminum or steel products manufactured in Pennsylvania. The countries of Argentina, Brazil, South Korea, and Spain have been found to discriminate against certain products manufactured in Pennsylvania. Therefore, the purchase or use of those countries' products, as listed below, is not permitted:

• Argentina: carbon steel wire rod and cold-rolled carbon steel sheet.

• Brazil: welded carbon steel pipes and tubes; carbon steel wire rod; tool steel; certain stainless steel products, including hot-rolled stainless steel bar; stainless steel wire rod and cold-formed stainless steel bar; pre-stressed concrete steel wire strand; hot-rolled carbon steel plate in coil;

hot-rolled carbon steel sheet; and cold-rolled carbon steel sheet.

• South Korea: welded carbon steel pipes and tubes; hot-rolled carbon steel plate; hot-rolled carbon steel sheet; and galvanized steel sheet.

• Spain: certain stainless steel products, including stainless steel wire rod, hot-rolled stainless steel bars; and cold-formed stainless steel bars; pre-stressed concrete steel wire strand; and certain steel products, including hot-rolled steel plate, cold-rolled carbon steel plate, carbon steel structural shapes; galvanized carbon steel sheet, hot-rolled carbon steel bars, and cold-formed carbon steel bars.

Penalties for violation of the above paragraphs may be found in the Trade Practices Act, which penalties include becoming ineligible for public works contracts for a period of three years.

This provision in no way relieves the Grantee of responsibility to comply with those provisions which prohibit the use of foreign-made steel and cast iron products.

P a g e | 5 November 2024

PUBLIC WORKS CONTRACTORS’ BOND LAW (PAYMENT & PERFORMANCE BONDS)

The requirement for 100% payment and performance (P&P) bonds is a state law; the Office of the Budget cannot waive this requirement.

A performance bond must be obtained at 100% of the contract amount, conditioned upon the faithful performance of the contract in accordance with the plans, specifications, and conditions of the contract.

Such bond shall be solely for the protection of the contracting body which awarded said contract.

A payment bond must be obtained at 100% of the contract amount. Such bond shall be solely for the protection of claimants supplying labor or materials to the Grantee, its contractor or to any of its subcontractors, in the prosecution of the work provided for in such contract, and shall be conditioned for the prompt payment of all such material furnished or labor supplied or performed in the prosecution of the work. "Labor or materials" shall include public utility services and reasonable rentals of equipment, but only for periods when the equipment rented is actually used at the site.

PA PREVAILING WAGE ACT (PWA)

The Office of the Budget cannot grant waivers for the PA Prevailing Wage Act. All Grantees must comply with the act. Grantees that fail to abide by the Prevailing Wage Act do so at their own risk. Please do not assume that PA Prevailing Wage is always consistent with your local union wages.

All projects should apply for a wage determination letter prior to the start of construction by registering the project with the PA Department of Labor and Industry to obtain the prevailing wage rates relevant to your project. This determination sheet will provide the necessary trade classifications for the project, along with their corresponding hourly wage and hourly fringe rates that are required for the certified payrolls required as part of RACP. The wage determination should be obtained within 120 days of the award of construction contracts. If necessary, the Department of Labor and Industry can issue determinations letters after construction has begun.

The prevailing wage information and forms can be found on the PA Department of Labor & Industry website.

AMERICANS WITH DISABILITIES ACT (ADA)

Typically your architect should provide a letter stating the plans and specs are in compliance with ADA regulations. Additionally, the Grantee agrees to comply with the General Prohibitions Against Discrimination, 28 C.F.R. § 35.130, and all other regulations promulgated under Title II of The Americans with Disabilities Act which are applicable to all benefits, services, programs, and activities provided by the commonwealth through contracts.

https://www.pa.gov/agencies/dli/resources/compliance-laws-and-regulations/labor-management-relations/labor-law/prevailing-wage.html https://www.pa.gov/agencies/dli/resources/compliance-laws-and-regulations/labor-management-relations/labor-law/prevailing-wage.html

P a g e | 6 November 2024

FIDELITY BONDS

The Grantee shall procure and furnish evidence to OB, of fidelity bonds with coverage to be maintained under the administrative title of the position, in amounts and for such positions as are reasonably determined by OB. Fidelity Bonding is also commonly known as "Employee Dishonesty Insurance."

Grantees should submit certificates of insurance to support fidelity bond coverage is in effect and the coverage amount meets or exceeds the RACP grant amount, or the coverage amount meets or exceeds the monthly project funding schedule contained in Appendix C of the grant agreement. For Grantees with multiple projects and/or grants larger than $5,000,000 the coverage amount can be the lesser of either $1,000,000 or 20% of the RACP grant amount(s).

INSURANCE REQUIREMENTS

• Worker’s Compensation Insurance - The Grantee shall provide Worker's Compensation Insurance where required, and shall accept full responsibility for the payment of premiums for Worker's Compensation Insurance and Social Security, as well as income tax withholding and any other taxes or payroll deductions required by law for its employees who are performing services related to the project.

• General Liability & Property Damage Insurance - The Grantee will provide and maintain comprehensive general liability and property damage insurance in the minimum amount of $250,000.00 per person for injury and death in a single occurrence; $1,000,000.00 per occurrence for injury or death of more than one (1) person in a single occurrence; and $500,000.00 for a single occurrence of property damage, and which shall be endorsed to protect the commonwealth.

• Flood Insurance – If the project is wholly or partially within a floodplain, proof of sufficient flood insurance coverage must be provided. In any case, a project is required to provide a copy of a floodplain map of the project area, with the project site being delineated thereon.

Identify Commonwealth as Additional Insured: The commonwealth shall be listed on the above insurance policies as an additional insured. Upon request, the Grantee shall furnish proof of insurance as required by this section to OB.

RESTRICTIONS ON GOVERNMENTAL ENTITIES SELLING RACP PROJECTS

Article 8 of the RACP Grant Agreement spells out sale price restrictions for a governmental entity that sells property that was acquired and/or improved with RACP funds. The restrictions are required to insure that the Grantees CANNOT sell the property for a net gain or even recoup the value of the grant in the sale price. A PDF download is available that contains more information on Article 8.

https://www.pa.gov/content/dam/copapwp-pagov/en/budget/documents/programs-and-services/racp/racp-main/article%208%20guidance.pdf

RACP Steel Guidance

P a g e | 1 November 2024

Redevelopment Assistance Capital Program

(RACP)

Steel Guidance

November 2024

P a g e | 2 November 2024

GUIDANCE ON STEEL CERTIFICATION

The following guidance is a clarification from the Office of the Budget (OB) regarding the requirements associated with the Pennsylvania Steel Products Procurement Act (SPPA) relative to the RACP program whose statutes are regulated under Act 1 of 1999, as amended. In the past, many grantees have inquired about specific cases and we were able to provide each individual project with specific directions.

Additionally, we had only accepted the ST-4 form that the Department of General Services (DGS) had exclusively devised to address exceptions linked to the requirements of the SPPA in the handling of special cases or exceptions. Please note that cost consideration (or convenience) is not an acceptable justification that the ST-4 form can address. Filled out ST-4 forms premised on cost consideration will not be accepted by OB.

OB accepts two DGS ST forms (ST-2 and ST-3) with some caveats, providing that the forms are properly filled out. The ST-1 form is NOT a valid option and shall NOT be accepted by OB. It is not necessary for the ST-2, ST-3, and ST-4 forms to be notarized. Please, be advised that this guidance is specifically tailored to suit the published and programmatic needs of OB as the overseer of RACP program. This is not a commonwealth-wide policy. Any attempt to impose this guidance on other state agencies is strongly discouraged.

Please, be aware that the aforementioned ST forms are acceptable only in cases where non- structural steel needs to be addressed. The DGS ST forms do not replace the steel certification forms associated with structural steel. It remains the responsibility of the project representatives to provide documented evidence that a non-structural steel product is not domestically produced in sufficient quantities.

OB shall continue to require that steel mill certifications be submitted to demonstrate compliance with the steel requirements. Please, be further advised that OB DOES NOT need to approve the ST forms prior to the start of the construction period. The ST forms need to be submitted to demonstrate that compliance, when and where necessary, has been met. The ST forms exceptions are displayed below.

Please submit questions to RA-OBRACP-Steel-Cost@pa.gov.

It is suggested that the certifications be collected at the time any steel for the project is purchased and delivered to ease the collection process.

Since 2013, OB has utilized the DGS Exempt Machinery and Equipment Steel Products listings as part of the RACP steel policy. DGS published a Statement of Policy - Steel Products Procurement in the Pennsylvania Bulletin Volume 43, Number 6 dated February 9, 2013 (See PA Bulletin #43, pages 85-86) that discussed their production of an annual list, based on their analysis of submitted ST-4 forms, which exempts certain steel products not produced domestically in sufficient quantity.

No other changes in RACP steel policy resulted from this new adjustment; consequently, the use of steel certificates for structural steel will still be required. Please note that the use of ST 2, 3, and 4, as requested for other steel products, will still be utilized unless an exemption based on the list has been formulated and forwarded to OB.

OB’s guidance is to make sure the Grantee/Subgrantee’s are aware that it’s their responsibility to certify all applicable steel components incorporated within RACP projects. In some instances, mailto:RA-OBRACP-Steel-Cost@pa.gov

P a g e | 3 November 2024

OB/RACP staff and/or the state assigned consultant may limit their compliance analysis to significant steel components. The projects’ architect/engineers are responsible for preparing/providing a significant steel component listing, not the RACP assigned consultant.

Two distinct approaches are presented below for steel products that are structural and/or have a significant building component.

Structural Steel Products

Pursuant to the SPPA, OB will require a mill certificate containing the statement "milled, melted, and manufactured in the USA" for all structural steel products used on RACP projects. We shall deem as ineligible all contracts that are unable to demonstrate compliance via the submission of steel certifications. Therefore, the value of construction contracts associated with non-compliant steel will be removed (both materials and labor costs) from the scope of the project.

Non-Structural Steel Products

Pursuant to the SPPA, OB will require, either a mill certificate containing the statement "milled, melted, and manufactured in the USA" or the appropriate ST form or an Exemption Request to utilize the DGS current years' Final List of Exempt Machinery and Equipment Steel Products to demonstrate compliance associated with the non-structural steel products used on RACP projects. OB shall deem as ineligible all contracts that are unable to demonstrate compliance via the submission of steel certifications /ST forms/Exemption Request based on the DGS Exempt Machinery and Equipment Steel Products listing. Therefore, the value of construction contracts associated with non-compliant steel will be removed (both materials and labor costs) from the scope of the project.

Recycled products, melted from previously used steel, are acceptable, providing that adequate documentation from the supplier has been furnished. The supplier shall certify that the recycled steel product was produced in the USA.

Furthermore, the burden of proof for all non-structural steel products not produced domestically in sufficient quantities is still the project's responsibility to provide.

Please be aware that the acceptance of ST forms is contingent upon the form being fully filled in and compliant with the submission guidelines for steel certifications for DGS projects with the following exceptions:

• It is not necessary for the forms to be notarized; however, all ST forms must be signed. Original signatures or electronic signatures through Adobe fill/sign, DocuSign, or Nuance (program which allows electronic signature similar to Adobe fill/sign) are acceptable.

• Any questions regarding steel certification submissions and/or compliance with the Act shall be submitted to the OB Steel Resource Account (RA-OBRACP-Steel-Cost@pa.gov).

• The Steel certification forms do NOT need to be submitted and approved by OB before the steel product arrives on site so as not to interfere with the project construction schedule.

• OB assumes responsibility for acceptance of the DGS ST forms in accordance with this policy.

P a g e | 4 November 2024

Completion of the ST-2, ST-3, and ST-4 forms shall follow the DGS directions attached to the form with the following exceptions:

• ST forms do NOT need to be submitted and approved by OB before the steel product arrives on site so as not to interfere with the construction schedule.

• RACP ME# assigned to the project shall be inserted in all areas requiring the DGS contract number (Line#5).

• RACP official project name shall be inserted in all areas requiring the contract title (Line #6).

Note:

Acceptance of each ST form shall be determined by OB at its sole discretion. All documents and other information to be delivered in order to demonstrate compliance with the steel requirements shall be and are, in form, content and substance, subject to the approval of OB, which approval may be withheld or delayed at OB's discretion. OB reserves the right to reject all improperly filled out or unsupported ST forms.

Below are links to PDF copies of the three acceptable ST Forms that can be obtained from the RACP website:

• ST-2 Steel Origin Certification: Non-Identifiable, Non-Structural Steel

• ST-3 75% U.S. Manufacture Certification

• ST-4 Not Domestically Manufactured: Prime Contractor (only to be used when the items requested to be exempted are not found on the appropriate year's List of Exempt Machinery and Equipment Steel Products [see section below entitled "Year of DGS Exemption Listing to Use"])

To implement the RACP policy on Non-structural Steel Exemption Request utilizing the DGS's current years' Final List of Exempt Machinery and Equipment Steel Products, referred to as the "Exemption List", please follow the below requirements:

• The Project must be under "active" construction (workers on site) on or AFTER 1/01/2013 (RACP effective date) to use the "Exemption List".

• "Active" construction does not include performance of just "punch list" items.

• Effective date is based on the "active" construction date and not the date the machinery and equipment were purchased.

• There is no retroactive application of utilization of the "Exemption List".

• No ST-4 form is required for a RACP Exemption Request based on the "Exemption List".

• RACP Exemption Request (to utilize the "Exemption List") must come from a contractor involved in the construction of the project and be:

o On Construction Company Letterhead.

o Dated and signed by appropriate company official (does not need to be notarized).

o Should be addressed to Office of Budget o Should contain RACP project name and/or ME # o Lists any/all machinery and equipment that the Company is requesting to have exempted from ST-4 documentation.

o All items listed on RACP Exemption Request letter must clearly match-up to an item on the appropriate year's "Exemption List" and the Exemption List year should be notated for each item.

https://www.pa.gov/content/dam/copapwp-pagov/en/budget/documents/programs-and-services/racp/racp-main/st-2%20fillable.pdf https://www.pa.gov/content/dam/copapwp-pagov/en/budget/documents/programs-and-services/racp/racp-main/st-3%20fillable.pdf https://www.pa.gov/content/dam/copapwp-pagov/en/budget/documents/programs-and-services/racp/racp-main/st-4%20fillable.pdf

P a g e | 5 November 2024

• There can/may be multiple construction company RACP Exemption Request letters utilized for various machinery and equipment, as applicable, per project.

• Exemption Request can be submitted directly by the project to OB or through the State Assigned Consultant for their project.

• Any questions regarding the exemption request submission and/or compliance with the Act shall also be submitted to OB (RA-OBRACP-Steel-Cost@pa.gov)

Year of DGS Exemption Listing to Use:

A project should be using the exemption listing for when they are in active construction. For example, if construction was active (and complete) in 2021 they would use the 2021 listing. If a project overlaps a calendar year, they should use the latest listing in which construction is active. For example, if construction is active in 2021 and 2022, they would use the 2022 listing.

If a project is phased, they should use the listing for the year they are in active construction for each phase. For example, if the first phase starts and ends in 2021 whereas the second phase starts and ends in 2022, the first phase would use the 2021 listing while the second phase would use the 2022 listing. If a phase overlaps a calendar year, follow the 1st paragraph above.

Among other items, the DGS web page for Steel Products Procurement Act information includes links for a copy of the Act; the current year's Final List of Exempt Machinery and Equipment Steel Products;

the PA Bulletin's Steel Products Procurement Act Statement of Policy; and Frequently Asked Questions. Certain prior years DGS Exemption Lists are downloadable from the RACP website.

Please be aware that all other steel items not specifically exempted or that may require any type of interpretation would be discretionary to OB's policy. Be reminded that this exemption listing is not effective for structural steel.

Note:

Acceptance of each Exemption Request shall be determined by OB at its sole discretion. All documents and other information to demonstrate compliance with the steel requirements shall be in form, content, and substance, subject to the approval of OB, which approval may be withheld or delayed at OB's discretion. OB reserves the right to reject all improperly filled out or unsupported Exemption Request.

2026 List of Exempt Machinery and Equipment Steel Products

The Department of General Services (DGS) has reviewed all comments and supporting documentation received prior to the end of the thirty-day (30) comment period and presents here its annual list of exempt machinery and equipment steel products.

Contractors, subcontractors, suppliers, bidders, offerors and public agencies may rely on the list of exempt steel products in preparing bids and contracts for any project that is subject to the Steel Products Procurement Act.

Pursuant to the department’s Statement of Policy and the Steel Products Procurement Act, DGS will not make any changes to this list during the calendar year for which it was created. In early 2027 DGS will identify, from ST-4 waivers approved in calendar year 2026, specific machinery and equipment steel products that have been recognized as not being produced in the United States in sufficient quantities to meet the 2026 contract requirements. Those items will be added to the list presented below and the resultant list will be published in the Pennsylvania Bulletin for a thirty-day (30) public comment period at that time.

Exempt Machinery and Equipment Steel Products

Air Conditioning Units Air Duct Housing w/Sample Tubes

Air Handling Units

Anchor Bolt

Audio RA Station

Annunciator Panel

AV Rack Kit Back Box Backflow Preventer

Battery Cabinet

Blank Filler Plate for Fiber (for rackmount and wall mount enclosures)

Blank Metal Door

Blank Plate for Outer Door

Bottom Dead Front Panel

Bridge for Cameras

Cabinet Cardcage Cast Iron Inverted Bucket Traps Cast Steel Gate Valve

CCTV Power Supply

Ceiling Flange

Central Control Unit

Centrifugal pumps

Channel Video

Circulating Pump

Closers

Color Monitor

Combination Round Head Steel Zinc- Plated Toggle Bolts

Condensing Boilers

Conduit Fittings

Control Module Plate

Control Panel

Control Valve

Data Converter Unit

Deck Inserts

Deck and Rub Rail Fasteners

Digital Communicators

Digital Record

Door Protection

Door Trim/Handles Drinking Fountain Drip Pan ELL

Drop-In Anchors Dry Tape Transformer Drywall Screws

Dual Interface Module

Duct Detector w/Relay

Duct Housing

Ductless Split System

DVR Rack

Electric Traction Elevators Electric Water Cooler Electronically Operable Panel Partitions

Elevator Controller

Elevator Hoistway

Encl. for Annunciator

Exit Devices

Exp Cage

Fence System Nuts and Bolts

Fire Alarm NAC Extender

Fire Alarm Peripherals

Flexible Drops Full Blank Plate Galvanized Carriage Bolts

Garage Door Tracking

Gas Furnace Gas Piping Butt Weld Tees Generator Globe Valve (Steam)

Hand Dryer

Hanger Mounting Plates

Hangermates

Hangers Supports

Horn/Strobe

Inclined Platform Wheelchair Lifts

Inner & Outer Door

Inner Door Blank Plate

Interface Module

Lag Bolts Large Remote Cab Lighting Fixtures, Interior/Recessed Lighting Fixtures, Surface Wrap Lighting Fixtures, Track Head

Lock Cylinders

Locknuts

Locksets Low Temp. Detection Thermostats

Lubrication Unit

Machine Screws

Main Control Board

Metal Lockers

Manual Pull Station

Med. Enclosure

Middle Dead Front

Mini-Interface Module

Monitor Mount

Monitor Wall Brk

Mounting Plate

Network Fiber Switch

Overhead Door

Overhead Stops

Patient Wandering Alarm

Pipe Clamps

Pivots

Power Supply

Pull Station Box

RA Annunciator Panel

Rack Mount Card Cage

Rack Mount Kit

Radiant Panels

Reader Interface

Relay Module Remote Chiller Roof Drains Rings and Strainers (NEW)

Round Head Machine Screw

Safety Relief Valve

Sampling Tube

Security Panel

Security Unit

Security/CCTV Camera Housing

Self-Turn / Self Tapping Screw

Shower/eye Washers

Signal Extender Module

Single Blank

Smoke Detector Wire

Speaker

Speaker/Strobe

Split HVAC System

Split Ring Hangers

Split Rings

Split System Air Conditioning

SSD-C Remote Display w/Control

SSD-C-REM Rem Display

Stainless Flat Bars

Stainless Steel Cable

Strobe

Submersible pump

Sump Pump

Surface Mount Speaker

Surface Station Box

Surge Arrester

Surge Protector

T8 Light Troffer Tamper Proof Screws & Nuts

Threaded Rod Hanger

Tie Wire 21 gauge

Tie Wire Anchor

Toggle Wing

Transformer Tube Steel (NEW)

Turbine Pumps

Uninterruptible Power Supply VRV Fan Coils/Cond. Units Wall Mounted Boiler

Wall Mounted Fountain Water Coolers Water Fountain Mounting Frame

Water Heater

Wing Toggle

ST-2

This form must be filled out for non-identifiable, non-structural steel products.

SECTION A To be filled out by the Purchaser, the firm that pays the Fabricator

Line #1 This is the name of the firm that is dealing directly with the Fabricator

Line #2 This is the purchaser’s mailing address.

Line #3 This is the purchaser’s business phone.

Line #4 This is the date the ST-2 form is sent to the fabricator.

Line #5 This is the DGS contract number or RACP ME# for the project.

Line #6 This is the DGS project description RACP Project Name.

Line #7 This is the “steel product” being certified, such as a chiller, condenser, hollow metal doors. The prime contractor may not fill in the line with a description like “structural steel”, “heating unit” or “air conditioning Unit”. The model number, if any, of the steel product must be listed as indicated.

LINE #7 IS THE MOST CRITICAL PART OF THE FORM.

FAILURE TO PROPERTY FILL OUT LINE #7 ON EACH ST FORM

MAKES THE ENTIRE FORM INVALID AND A NEW FORM MUST BE

SUBMITTED.

SECTION B To be filled out by the Fabricator, the firm that assembles the product listed on Line #7.

Line #1 This is the Fabricator’s name.

Line #2 This is the Fabricator’s mailing address.

Line #3 This is the Fabricator’s business phone.

Line #4 This is the date the Fabricator receives the ST-2 from the Purchaser.

Line #5 This is the Fabricator’s Federal I.D. number.

SECTION C

1. Language – No modifications, cross-outs or alterations of any type may be made to the language of this certification paragraph.

2. Signature – Two signatures are required on the ST-1 form. The Prime Contractor’s President/Vice President must sign on one line and the Secretary or Treasurer must sign as a witness. The names should be typed or printed beneath the signature lines. Failure to type in the names does not invalidate the ST form.

Administrative Procedures 2017 Edition August 2018 hreidlinge Highlight hreidlinge Highlight hreidlinge Line hreidlinge Line

ST-2 STEEL ORIGIN CERTIFICATION:

NON-IDENTIFIABLE, NON-STRUCTURAL STEEL

This form must be executed by the Purchaser and the Fabricator of any item containing steel that is not structural steel. This form must be submitted to the APM within 30 days from the date the Professional approved a submittal listing a “steel product”. No steel product may be delivered on-site unless DGS has received the ST form. Structural steel is defined as steel products used as a basic structural element or a project (i.e. steel beams, columns, decking stairways, reinforcing bars, pipes, etc.). Purchasers of structural steel products (contractors or subcontractors) must provide bills of lading, invoices and mill certifications that the steel was manufactured in the United States instead of this form. The Fabricator shall be herein defined as the firm that assembles the component parts of the product to be purchased.

The Department of General Services will accept the certification of firms that are earlier in the chain of purchase (i.e.

manufacturers of components, steel suppliers) in lieu of the Fabricator.

A. TO BE COMPLETED BY THE PURHCASER:

1. Name of purchasing firm:__________________________________________________________

2. Firm’s address:__________________________________________________________________

3. Firm’s phone number:____________________ 4. Date submitted to Fabricator: _____________

5. Contract No. DGS_______________________ 6. Contract Title:__________________________

7. Steel Product Certified:________________________________

Model:_______________________________

B TO BE COMPLETED BY THE FABRICATOR/MANUFACTURER:

1. Name of firm:___________________________________________________________________

2. Address of firm:_________________________________________________________________

3. Firms phone number:____________________ 4. Date Received:________________________

5. Federal Employer ID. No:_______________________________________

CERTIFICATION: I, the undersigned officer of the Fabricator/Manufacturer, do certify that our firm assembled/fabricated the components to the steel products listed in Section A, Item 7, and that all steel components therein are comprised of steel that is melted and/or fabricated in the United States. I understand that, by signing this document, I certify that I have received assurances from the suppliers/manufacturers of the components that said components do not contain foreign manufactured steel. I further understand that this document is subject to the provisions of the Unsworn Falsification to Authorities Act (18 P.S. § 4904). I also understand that I am subject to the provisions of the Steel Products Procurement Act (73 P.S. § 1881, et. seq.) which provides penalties including, but not limited to, debarment from supplying any products for Commonwealth of Pennsylvania Public works projects for a period of five (5) years for violations therein. I agree to provide documentation supporting these facts if requested by the Commonwealth. The Commonwealth reserves the right to pursue any action deemed necessary to protect the Commonwealth’s interest and ensure compliance with the laws of the Commonwealth.

WITNESS:

__________________________________________ ______________________________________(Seal) Name: Name:

Secretary or Treasurer President or Vice President

Administrative Procedures 2017 Edition August 2018

ST-3

2-STEP ELIGIBILITY ANAYLSYS:

BEFORE A PRIME CONTRACTOR CAN SUBMIT AN ST-3,

THE FOLLOWING ANALYSIS MUST BE SATISFIED

STEP #1: The contractor must establish that the “product” contains BOTH:

• Steel melted in the USA

AND

• Foreign Steel

Note: Step #1 focuses upon the content of the “product”.

Note: The % need not be close; it can be 99-1, so long as there is both foreign and domestic steel in the “product”.

STEP #2: The contractor must establish that 75% of the cost of the “product” has been mined, produced or manufactured in the USA.

Note: Step #2 focuses upon the cost of the entire “product”, not just the steel within it.

SECTION A

Line #1 This is the Prime Contractor’s name.

Line #2 This is the Prime Contractor’s business address.

Line #3 This is the Prime Contractor’s phone number.

Line #4 This is the date the ST-3 is submitted to the fabricator.

Line #5 This is DGS contract number or RACP ME# for the project for the project.

Line #6 This is the DGS project description RACP Project Name.

Line #7 This is the “steel product” being certified, such as a chiller, condenser, hollow metal doors. The prime contractor may not fill in the line with a description like “structural steel”, “heating unit” or “air conditioning unit”. The model number, if any, or the steel product must be listed as indicated.

LINE #7 IS THE MOST CRITICAL PART OF THE FORM.

FAILURE TO PROPERLY FILL OUT LINE #7 ON EACH ST FORM

MAKES THE ENTIRE FORM INVALID AND A NEW FORM MUST BE

SUBMITTED.

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Line

SECTION B To be filled out by the Fabricator/Manufacturer, the firm that fabricates the product listed on Line A7.

Line #1 This is the Fabricator’s name.

Line #2 This is the Fabricator’s business address.

Line #3 This is the Fabricator’s business phone.

Line #4 This is the date the Fabricator receives the ST-3 from the purchaser.

Line #5 This is the Fabricator’s Federal I.D. Number.

Line #6 The Fabricator must insert the percentage of the cost of the articles, materials and supplies which have been mined, produced or manufactured in the U.S. for the product listed on Line #7.

SECTION C

1. Language – No modifications, cross-outs or alterations of any type may be made to the language of this certification paragraph.

2. Signature – Two signatures are required on the ST-3 form. The Fabricator’s President/Vice President must sign on one line and the Secretary or Treasurer must sign as a witness. The names should be typed or printed beneath the signature lines. Failure to type in the names does not validate the ST form.

NOTES on ST-3 Forms:

• It is not necessary to submit an ST-1 with the ST-3.

• DGS reserves the right to request additional documentation to support the percentage specified on Line 14. If the Fabricator/manufacturer refuses to produce such documentation and/or DGS deems it to be in the Commonwealth’s best interests, DGS may request the Office of Inspector General to investigate the submission of the ST-3 form.

ST-3

75% U.S. MANUFACTURE CERTIFICATION

The Steel Products Procurement Act (73 P.S. § 1881, et. seq.) allows the use of steel products with both foreign and domestic steel if at least 75 percent of the cost of the materials (including steel, rubber, wood, plastics, etc.) in the product are manufactured or produced, as the case may be, in the United States.

This form must be executed by a Fabricator of any item containing BOTH U.S. AND FOREIGN STEEL.