2-FTA Required Clauses Appendix A Updated 04-01-26 CURRENT - PennBid.pdf

ATTACHMENT D: AMERICANS WITH DISABILITIES ACT COMPLIANCE

The undersigned agrees to comply with, and assure that any third-party contractor under this

Project complies with all applicable requirements of the Americans with Disabilities Act of 1990

(ADA), 42 USC & 12101 et seq. and 49 USC & 322; Section 504 of the Rehabilitation Act of

1973, as amended, 29 USC & 794; Section 16 of the Federal Transit Act, as amended, 49 USC app. & 1612; and the following regulations and any amendments thereto:

1) U.S. DOT regulations, “Transportation Services for Individuals with Disabilities (ADA),” 49

C.F.R. Part 37;

2) U.S. DOT regulations, “Nondiscrimination on the basis of Handicap in Programs and

Activities Receiving or Benefiting from Federal Financial Assistance,” 49 C.F.R. Part 27;

3) U.S. DOT regulations, “Americans with Disabilities (ADA) Accessibility Specifications for

Transportation Vehicles,” 49 C.F.R. Part 38;

4) Department of Justice (DOJ) regulations, “Nondiscrimination on the Basis of Disability in

State and

5) Local Government Services,” 28 C.F.R. Part 35;

6) DOJ regulations, “Nondiscrimination on the Basis of Disability by Public Accommodations and in Commercial Facilities,” 28 C.F.R. Part 36;

7) General Services Administration regulations, “Installation and Alteration of Public

Buildings,”

8) “Accommodations for the Physically Handicapped,” 41 C.F.R. Part 101-19;

9) Equal Employment Opportunity Commission (EEOC) “Regulations to Implement the Equal

Employment Provisions of the Americans with Disabilities Act,” 29 C.F.R. Part 1630;

10) Federal Communications Commission regulations, “Telecommunications Relay Services and Related Customer Premises Equipment for the Hearing and Speech Disabled,” 47

C.F.R. Part 64, Subpart F;

11) U.S. ATBCB regulations, “Electronic and Information Technology Accessibility

Standards,” 36 C.F.R. Part 1194; and

12) FTA regulations, “Transportation for Elderly and Handicapped Persons,” 49 C.F.R. Part

609.

DATE: FIRM NAME:

BY

SIGNATURE & TITLE:

(FAILURE TO COMPLETE THIS FORM AND SUBMIT WITH YOUR PROPOSAL WILL RENDER THE

PROPOSAL NON-RESPONSIVE)

ATTACHMENT E: AFFIDAVIT OF NON-COLLUSION

I hereby swear (or affirm) under the penalty of perjury:

1. That I am the Proposer (if the Proposer is an individual), a partner in the proposing (if the Proposer is a partnership) or an officer or employee of the proposing corporation having authority to sign on its behalf (if the Proposer is a corporation);

2. That the attached Proposal or Proposals have been arrived at by the Proposer independently and have been submitted without collusion with, and without any agreement, understanding or planned common course of action with, any other vendor of materials, supplies, equipment or services described in the Request for

Proposal designed to limit independent Proposing or competition;

3. That the contents of the Proposal or Proposals have not been communicated by the

Proposer or its employees or agents to any person not an employee or agent of the

Proposer or its surety on any bond furnished with the Proposal or Proposals and will not be communicated to any such person prior to the official opening of the Proposal or Proposals; and

4. That I have fully informed myself regarding the accuracy of the statements made in this affidavit.

Signed:

Company Name:

Subscribed and sworn before me

This day of 20 .

Notary Public

My commission expires:

Proposer’s E. I. Number:

(Employer’s Quarterly Federal Tax Return No.)

(FAILURE TO COMPLETE THIS FORM AND SUBMIT WITH YOUR PROPOSAL WILL RENDER

THE PROPOSAL NON-RESPONSIVE)

ATTACHMENT F: CONTRACTOR INTEGRITY

It is essential that those who seek to contract with LCTA observe high standards of honesty and integrity. They must conduct themselves in a manner that fosters public confidence in the integrity of the LCTA procurement process. In furtherance of this policy, Contractor agrees to the following:

1. Contractor shall maintain the highest standards of integrity during the performance of this agreement and shall take no action in violation of state or federal laws or regulations, or other requirements applicable to the Contractor or that govern contracting with the

Commonwealth of Pennsylvania (“Commonwealth”) and/or LCTA.

2. Contractor, its affiliates, agents and employees shall not influence, or attempt to influence, any LCTA or Commonwealth employee to breach the standards of ethical conduct for employees or to breach any other state or federal law or regulation.

3. Contractor, its affiliates, agents and employees shall not offer, give, or agree or promise to give any gratuity to a LCTA or Commonwealth official or employee or to any other person at the direction or request of any LCTA or Commonwealth official or employee.

4. Contractor, its affiliates, agents and employees shall not offer, give, or agree or promise to give any gratuity to a LCTA or Commonwealth official or employee, the acceptance of which would violate the applicable code of conduct or any statute, regulation, statement of policy, management directive or any other published standard of LCTA or the

Commonwealth.

5. Contractor, its affiliates, agents and employees shall not, directly or indirectly, offer, confer, or agree to confer any pecuniary benefit on anyone as consideration for the decision, opinion, recommendation, vote, other exercise of discretion, or violation of a known legal duty by any official or employee of LCTA or the Commonwealth.

6. Contractor, its affiliates, agents, employees or anyone in privity with him or her shall not accept or agree to accept from any person, any gratuity in connection with the performance of work under the contract, except as provided in the contract.

7. Contractor shall not have financial interest in any other contractor, subcontractor or supplier providing services, labor, or material on this project, unless the financial interest is disclosed to LCTA in writing at the time of bid or proposal submission and LCTA consents to the Contractor’s financial interest prior to LCTA execution of the contract.

8. Contractor, its affiliates, agents and employees shall not disclose to others any information, documents, reports, data, or records provided to, or prepared by, Contractor under this contract, or secured by Contractor from a third party in connection with the performance of this contract, without the prior approval of LCTA, except as required by the

Pennsylvania Right-to-Know Law, 65 P.S. §§ 67.101-3104; necessary for purposes of

Contractor’s internal assessment and review; or otherwise required by law.

9. Contractor certifies that neither it nor any of its officers, directors, associates, partners, limited partners or individual owners has not been officially notified of, charged with, or convicted of the commission of embezzlement, theft, forgery, bribery or destruction of public records; commission of fraud or other improper conduct associated with obtaining, attempting to obtain or performing a public contract; violation of any federal or state law regulating campaign contributions; violation of any federal or state environmental law;

violation of any federal or state law regulating hours of labor, minimum wage standards or prevailing wage standards, discrimination in wage, or child labor violations; violation of any federal or state law prohibiting discrimination in employment; debarment by any agency or department of the federal government or by any other state. Contractor acknowledges that LCTA may, at its sole discretion, terminate the contract for cause upon such notification or when LCTA otherwise learns that contractor has been officially notified, charged or convicted.

10. Contractor shall comply with requirements of the Lobbying Disclosure Act, 65 Pa.C.S. §

13A01 et seq., and the regulations promulgated pursuant to that law.

11. When Contractor has reason to believe that any breach of ethical standards as set forth in law or in these provisions has occurred or may occur, Contractor shall immediately notify the LCTA contracting officer in writing.

12. Contractor, by submission of its bid or proposal and/or execution of this agreement and by the submission of any bills or invoices for payment pursuant to the contract, certifies and represents that it has not violated any of these contractor integrity provisions with the submission of the bid or proposal, during any contract negotiations or during the term of the contract.

13. Contractor shall cooperate with the Luzerne County Controller or the Office of State

Inspector General in its investigation of any alleged LCTA or Commonwealth employee breach of ethical standards and any alleged Contractor non-compliance with these provisions. Contractor agrees to make identified Contractor employees available for interviews at reasonable times and places. Contractor, upon the request of the Controller or the Inspector General, shall provide or make promptly available for inspection and copying, any information of any type or form deemed relevant by the Controller or the

Inspector General to Contractor’s integrity and compliance with these provisions. Such information may include, but shall not be limited to, Contractor’s business or financial records, documents or files of any type or form that refers to or concern this contract.

14. For violation of any of the above provisions, LCTA (or Commonwealth, if applicable) may terminate this and any other agreement with the Contractor, claim liquidated damages in an amount equal to the value of anything received in breach of these provisions, claim damages for all additional costs and expenses incurred to debar and suspend the

Contractor from doing business with LCTA or Commonwealth. These rights and remedies are cumulative, and the use or no-use of any one shall not preclude the use of all or any other. These rights and remedies are in addition to those LCTA and the Commonwealth or

LCTA may have under law, statute or regulations.

15. For purposes of these Contractor Integrity Provisions, the following terms shall have the meanings found in this paragraph:

a. “Confidential information” means information that is not already in the public domain; is not available to the public upon request; is not or does not become generally known to the Contractor from a third party without an obligation to maintain its confidentiality;

has not become generally known to the public through an act or omission of the

Contractor; or has not been independently developed by Contractor without the use of confidential information of the Commonwealth of Pennsylvania or LCTA.

b. “Consent” means written permission signed by a duly authorized officer or employee of the Commonwealth or LCTA, provided that where the material facts have been disclosed, in writing, by pre-qualification, bid, proposal or contractual terms, LCTA shall be deemed to have consented by virtue of execution of this contract.

c. “Contractor” means the individual or entity that has entered into this agreement with

LCTA, including those directors, officers, partners, managers and owners having more than five percent (5%) interest in the Contractor.

d. “Financial Interest” means:

(1) Ownership of more than five (5%) percent interest in any business; or

(2) Holding a position as an officer, director, trustee, partner, employee or holding any position of management.

e. “Gratuity” means tendering, giving or providing anything of more than nominal monetary value including, but not limited to, cash, travel, entertainment, gifts, meals, lodging, loans, subscriptions, advances, deposits of money, services, employment or contracts of any kind.

f. “Immediate family” means a spouse and any unemancipated child.

g. “Political contribution” means any payment, gift, subscription, assessment, contract, payment for services, dues, loan, forbearance, advance or deposit of money or any valuable thing, to a candidate for public office or to a political committee, including but not limited to a political action committee, made for the purpose of influencing any election in the Commonwealth of Pennsylvania or for paying debts incurred by or for a candidate or committee before or after any election.

CONTRACTOR:

BY:

Signature

Print Name

Date

ATTACHMENT G: AFFIDAVIT OF DISADVANTAGED BUSINESS ENTERPRISES (DBE)

I HEREBY DECLARE AND AFFIRM that I am the and the duly authorized representative of (the firm of) doing business at

(include address, city, state and zip code).

I HEREBY DECLARE AND AFFIRM that the above business is: (check as appropriate)

A firm that is at least 51% owned by one or more individuals who are disadvantaged as defined in 49 CFR Part 26, Subpart D, or

A corporation in which at least 51% of the stock is owned by one or more disadvantaged individuals as defined in 49 CFR Part 26, Subpart D.

And that such firm or corporation has been organized/incorporated since , and is controlled by one or more individuals defined as disadvantaged in 49 CFR Part 26, Subpart D.

FURTHERMORE, I HEREBY DECLARE AND AFFIRM that I will provide such additional information as requested by the Luzerne County Transit Authority to document this fact as provided for in 49 CFR Part 26, Subparts D and E.

I DO SOLEMNLY DECLARE AND AFFIRM UNDER THE PENALTIES OF PERJURY THAT

THE CONTENTS OF THE FOREGOING DOCUMENT ARE TRUE AND CORRECT, AND THAT I

AM AUTHORIZED, ON BEHALF OF THE ABOVE FIRM, TO MAKE THIS AFFIDAVIT.

AFFIANT:

DATE:

On this day of , , before me, , the undersigned officer, personally appeared , known to me to be the person described in the foregoing Affidavit and acknowledged that he/she executed the same in the capacity therein stated and for the purposes therein contained.

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

(Notary Public)

My Commission Expires (SEAL)

STATE OF:

COUNTY/CITY OF:

ATTACHMENT H: DEBARMENT CERTIFICATION

The proposer hereby certifies to the best of its knowledge and belief, that its principals, and the principals of its subcontractors:

(1) Are not presently debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from covered transactions by the Commonwealth, the Federal

Government or other states. Reference 49 CFR Part 29, Executive Order 12549.

(2) Have not within the preceding three-year period been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection which obtaining, attempting to obtain, or performing a public (Federal, State or Local) transaction or contract under a public transaction; violation of Federal or State antitrust or commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making false statements or receiving stolen property;

(3) Are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or Local) with commission of any of the offenses enumerated in paragraph (2) of this certification; and

(4) Have not within the preceding three-year period had one or more public transactions (Federal, State or Local) terminated by cause or default.

THE PROPOSER CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE

CONTENTS OF THE STATEMENTS SUBMITTED ON OR WITH THIS CERTIFICATION.

Signature: Date:

Title:

Firm:

ATTACHMENT I: FEDERAL LOBBYING CERTIFICATION

The undersigned certifies to the best of his/her knowledge and belief, that:

(1) No federal appropriated funds have been paid or will be paid, by or on behalf of the undersigned, to any person for influencing or attempting to influence an officer or employee of any agency, a member of Congress, an officer or employee of Congress, or an employee of a member of Congress in connection with the awarding of ANY federal contract, the making of any federal grant, the making of any federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal amendment, or modification of any federal contract, grant, loan or cooperative agreement.

(2) If any funds other than federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a member of Congress, an officer or employee of

Congress, or an employee of a member of Congress in connection with this federal contract, grant, loan or cooperative agreement, the undersigned shall complete and submit Standard Form-LLL, "Disclosure Form to Report

Lobbying," in accordance with its instructions.

(3) The undersigned shall require that the language of this certification be included in the award documents for all sub-awards at all tiers (including subcontracts, sub-grants, and contracts under grants, loans and cooperative agreements) and that all sub-recipients shall certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this transaction was made or entered into. Submission of this certification is a prerequisite for making or entering into this transaction imposed by

Section 1352, Title 31, U.S. Code. Any person who fails to file the required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

By:

(Signature of Company Official) (Date)

(Official's Title)

ATTACHMENT J: FEDERAL NONDISCRIMINATION AND EQUAL

EMPLOYMENT OPPORTUNITY CLAUSES

1. Selection of Labor: During the performance of this contract, the Contractor shall not discriminate against labor from any other State, possession, or territory of the United States.

2. Employment Practices: The Contractor agrees as follows:

a. The Contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, or national origin. The Contractor will take affirmative action to ensure that applicants are employed and employees are treated during employment without regard to their race, color, religion, sex, or national origin. Such action shall include, but not be limited to employment, upgrading, demotion or transfer, recruitment or recruitment advertising, layoff or termination, rates of pay or other forms of apprenticeship. The

Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices provided by the State highway department setting forth the provisions of this nondiscrimination clause.

b. The Contractor will, in all solicitations or advertisements for employees placed by or on behalf of the Contractor, state that all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, or national origin.

c. The Contractor will send to each labor union or representative of workers with which it has a collective bargaining agreement, contract or understanding, a notice advising said labor union or workers' representative of its commitments under Section 202 of Executive Order 11246 of September 24, 1965 and agrees to post copies of the notice in conspicuous places available to employees and applicants for employment.

d. The Contractor and its subcontractors will comply with all applicable EEO requirements of U.S. DOL regulations, "Office of Federal Contract Compliance Programs, Equal Employment Opportunity, Department of Labor," 41

CFR Parts 60 et seq.,(implementing Executive Order No. 11246, "Equal Employment Opportunity," as amended by Executive Order No. 11375, "Amending Executive Order 11246 Relating to Equal Employment Opportunity,"

42 USC 2000 (e), and any Federal statutes, executive orders, regulations, and policies affecting construction undertaken as part of the project.

e. For construction contracts, or modifications to such contracts, in excess of $10,000, to be performed in geographical areas designated by the Office of Federal Contract Compliance Programs, and in construction subcontracts in excess of $10,000 necessary in whole or in part to the performance of non-construction contracts and subcontracts covered by EO11245, standard Federal Equal Employment Opportunity construction contract specifications shall be incorporated into the contract by LCTA or by the Contractor into its subcontracts, as applicable.

f. The Contractor will furnish all information and reports required by EO 11246, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to its books, records and accounts by the

FTA and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations and orders.

g. In event of noncompliance with nondiscrimination clauses of this Contract or with any other such provisions, the

Contract may be cancelled, terminated or suspended in whole or in part and the Contractor may be declared ineligible for further Federally-assisted contracts, and any other such sanctions may be imposed or remedies invoked as provided by EO 11246, or by rule, regulation or order of the Secretary of Labor, or as otherwise provided by law.

h. The Contractor will include the provisions of Appendix A, Section 2 in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor so that such provisions will be binding upon each subcontractor or vendor. The Contractor will take such action with respect to any subcontract or purchase order as the Secretary of Labor or the FTA may direct to enforce such provisions, including sanctions for noncompliance. However, in the event a Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction, the Contractor may request the United States to enter into such litigation to protect the interests of the United States.

3. Selection of Subcontractors, Procurement of Materials and Leasing of Equipment - The Contractor agrees as follows:

a. The Contractor shall comply with Regulations relative to nondiscrimination in Federally-assisted programs of the

Department of Transportation, Title 49, CFR Part 21, as amended from time to time (hereinafter referred to as the

“Regulations”) which are herein incorporated by reference and made a part of this contract.

b. The Contractor, with regard to the work performed by it during the contract, shall not discriminate on the grounds of race, color, sex or national origin in the selection and retention of subcontractors including procurement of materials and leases of equipment. The Contractor shall not participate either directly or indirectly in discrimination prohibited by section 21.5 of the Regulations, including employment practices when the Contract covers a program set forth in the Regulations.

c. All solicitations by the Contractor, either by competitive bidding or negotiation, for work to be performed under a subcontract, including procurement of materials or lease of equipment, shall include notice to each potential subcontractor or supplier of the Contractor's obligations under this contract and the Regulations relative to nondiscrimination on the grounds of race, color, sex or national origin.

d. The Contractor shall provide all information and reports required by the Regulations, or directives issued pursuant thereto, and shall permit access to its books, records, accounts, other sources of information and its facilities as may be determined by the Secretary of Labor or the FTA to be pertinent to ascertain compliance with such

Regulations or directives. If any information required of the Contractor is in exclusive possession of another who fails or refuses to furnish this information, the Contractor shall so certify to the Secretary of Labor, or the FTA as appropriate, and shall set forth what efforts it has made to obtain the information.

e. In the event of the Contractor's noncompliance with the nondiscrimination provisions of the Contract, the

Secretary of Labor or the FTA shall impose such contract sanctions as appropriate including, but not limited to withholding of payments to the Contractor under the Contract until the Contractor complies and/or cancellation, termination or suspension of the Contract, in whole or in part.

f. The Contractor shall include the provisions of Appendix A, Section 3 in every subcontract, including those for procurement of materials and lease of equipment, unless exempt by the Regulations, or directives issued pursuant thereto. The Contractor shall take such action with respect to any subcontractor procurement as directed by the

Secretary of Labor or the FTA as a means of enforcing such provisions, including sanctions for noncompliance.

In the event the Contractor becomes involved in, or is threatened by a subcontractor or supplier with, litigation as a result of such direction, the Contractor may request the United States to enter into such litigation to protect the interest of the United States.

“Contractor,” wherever used above, shall also include: engineer, consultant, researcher, governmental, corporate or other entity, its successors and/or assignees, as may be appropriate and permissible hereunder.

I hereby agree to comply with all provisions of Federal nondiscrimination and EEO laws and regulations.

Bidder Authorized Representative Date

ATTACHMENT K: ELIGIBLE BIDDER CERTIFICATION FORM

Information Technology

All requests, questions and clarifications must be submitted in writing via the “Ask a

Question” feature in PennBid at https://pennbid.bonfirehub.com and received on or before 2 p.m., October 15, 2025.

Name of Company/Individual:

Nature of Company (partnership, corporation, etc.):

Contact Person:

Phone #: E-mail:

Company's Mailing Address:

I certify that neither I, nor my company, are on the Comptroller General's list of ineligible bidders; and that we have not been prohibited from doing business with the Commonwealth of

Pennsylvania or its agencies/subdivisions.

Owner/Partner/Officer Date

Deleted: PROPOSER'S REQUESTS, QUESTIONS

AND CLARIFICATIONS…

Deleted: Proposers shall use the following form:…

Deleted: REQUESTS/COMMENTS/QUESTIONS/ CLARIFICATIONS (attach additional sheets as necessary):

Deleted: <object>Submit this completed form or forms by Monday, August 3rd to:

kkelly@LCTAbus.com¶ https://pennbid.bonfirehub.com/

Name of Bidder

ATTACHMENT: L

Contract/Invitation/Request Number:

CERTIFICATION TO FEDERAL GOVERNMENT REQUIRED CLAUSES (FTA)

AFFIRMATION OF THE BIDDER’S AUTHORIZED REPRESENTATIVE

Name of Bidder:

Name and Relationship of Authorized Representative:

BY SIGNING BELOW, on behalf of the Bidder, I declare that the Bidder has duly authorized me to make this certification and bind the Bidder's compliance. Thus, the Bidder agrees to comply with all Federal statutes and regulations, and follow applicable Federal directives, and comply with the requirements of these clauses as indicated on the ensuing pages, Federal

Government Required Clauses (FTA).

The Bidder affirms the truthfulness of this certification it has made, and acknowledges that the Program Fraud Civil Remedies Act of 1986, 31 U.S.C. 3801 et seq., and implementing

U.S. DOT regulations, "Program Fraud Civil Remedies," 49 CFR Part 31 apply to any certification, assurance or submission made to FTA. The criminal provisions of 18 U.S.C.

1001 apply to any certification, assurance, or submission made in connection with a Federal public transportation program authorized in 49 U.S.C. Chapter 53 or any other statute.

In signing this document, I declare that the foregoing certification and any other statements made by me on behalf of the Bidder are true and correct.

Signature: Date:

Name (print)

Authorized Representative of Applicant

FTA Required Clauses

1. No Federal Government Obligations to Third Parties

2. Program Fraud and False or Fraudulent Statements or Related Acts

3. Access to Records and Reports

4. Federal Changed

5. Termination

6. Civil Rights (title VI, ADA, EEO except special DOL EEO clause for construction projects)

7. Special DOL EEO Clause for Construction Projects

8. Veteran Employment Preference

9. Disadvantaged Business Enterprise (DBE’s)/Prompt Payment

10. Incorporation of Federal Transit Administration (FTA) Terms

11. Government-wide Debarment and Suspension

12. Buy America

13. Breaches and Dispute Resolution

14. Lobbying

15. Environmental Standards and Practices

16. Energy Conservation

17. Cargo Preference

18. Fly America Requirements

19. Davis-Bacon Act and Copeland Anti-Kickback Act

20. Contract Work Hours and Safety Standards Act

21. Bonding Requirements

22. Seismic Safety

23. Transit Employee Protective Arrangements

24. Charter Service/School Bus Operations

25. Drug and Alcohol Abuse Testing

26. Patent and Rights Data

27. Conformance with ITS National Architecture

28. Access Requirements for Persons with Disabilities

29. Safe Operation of Motor Vehicles

30. Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment

31. Notice of Waste, Fraud and Abuse

FTA REQUIRED CLAUSES FOR THIRD PARTY CONTRACTORS AND SUB-AGREEMENTS

In order for LCTA to use FTA financial assistance to purchase/conduct capital projects LCTA, and the third party contractor(s) qualified to perform these projects, must comply with all applicable Federal requirements. FTA’s Master Agreement contains a current description of statutory and regulatory requirements that may affect LCTA’s procurement. Appendix D of FTA Circular 4220.1F contains matrices of the list of clauses and their appropriate uses in different procurement types. These clauses are not required for micro purchases, except for construction related contracts over $2000 where Davis-Bacon is a requirement.

1. No Federal Government Obligation to Third Parties (Applicable to ALL Contracts, except micro-purchases)

(1) Acknowledgment of Limited Federal Role: The recipient and contractor acknowledge and agree that, notwithstanding any concurrence by the Federal Government in or approval of the solicitation or award of the underlying contract, absent the express written consent by the Federal Government, the Federal Government is not a party to this contract and shall not be subject to any obligations or liabilities to the recipient, the contractor, or any other party (whether or not a party to that contract) pertaining to any matter resulting from the underlying contract.

(2) Flow-Down Requirement: The contractor agrees to include the above clause in each subcontract financed in whole or in part with FTA assistance. It is further agreed that the clause shall not be modified, except to identify the subcontractor who will be subject to its provisions.

2. Program Fraud and False or Fraudulent Statements or Related Acts (Applicable to ALL

Contracts, except micro-purchases)

(1) Civil Fraud: The Contractor acknowledges that the provisions of the Program Fraud Civil Remedies Act of

1986, as amended (31 U.S.C. § 3801 et seq.), and U.S. DOT regulations, "Program Fraud Civil Remedies," 49 CFR

Part 31, apply to its actions pertaining to this project.

(2) Certification of Truthfulness: Upon execution of the underlying contract, the Contractor certifies and affirms the truthfulness and accuracy of any statement it has made, it makes, it may make, or causes to be made, pertaining to the underlying contract or FTA-assisted project for which this contract work is being performed.

(3)Penalties for False Information: In addition to other penalties that may be applicable, the Contractor acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submittal, or certification, the U.S. Government reserves the right to impose the penalties of the Program Fraud Civil

Remedies Act (1986) on the Contractor to the extent the U.S. Government deems appropriate.

(4) Criminal Fraud: If the Contractor makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submittal, or certification to the U.S. Government under a contract connected with a project that is financed in whole or in part with FTA assistance under the authority of 49 U.S.C. § 5307, the Government reserves the right to impose the penalties of 18 U.S.C. § 1001 and 49 U.S.C. § 5307(n)(1) on the Contractor, to the extent the U.S. Government deems appropriate.

(5) Flow-Down Requirement: The Contractor shall include the above clauses in each subcontract financed in whole or in part with FTA assistance. The clauses shall not be modified, except to identify the subcontractor who will be subject to the provisions.

3. Access to Records and Reports (Applicable to ALL Contracts, except micro-purchases)

1. Record Maintenance: The contractor agrees to maintain satisfactory records of each project and activities related in whole or in part to its award, the accompanying underlying agreement, and any amendments thereto to the extent FTA requires, including, but not limited to:

o Financial records, including records of assets received that implement the award, costs incurred that implement the award, and program income.

o Other records needed for reports related to the award.

o Formats for records, including electronic records, that are satisfactory to FTA.

o Availability of records related to the award, ensuring accessibility for review and separation from other records not related to the award to the extent feasible.

2. Access to Records: The contractor agrees to provide, and assures that each subrecipient will agree to provide, sufficient access to inspect and audit records and information, including such records and information the contractor or its subrecipients may regard as confidential or proprietary, related to its award, the accompanying underlying agreement, and any amendments thereto to the U.S. Secretary of Transportation or the Secretary’s duly authorized representatives, to the Comptroller General of the United States, and the Comptroller General’s duly authorized representatives, and to the contractor and each of its subrecipients.

3. Access to Sites of Performance: The contractor agrees to permit, and to require its subrecipients to permit, FTA to have access to the sites of performance of its award, the accompanying underlying agreement, and any amendments thereto, and to make site visits as needed in compliance with the U.S. DOT Common Rules.

4. Closeout: Closeout of the award does not alter the record retention or access requirements of this section of this

Master Agreement.

4. Federal Changes (Applicable to ALL Contracts, except micro-purchases)

(1) Compliance with Federal Requirements: The recipient agrees to comply with all applicable federal laws, regulations, and requirements, including those listed in the Master Agreement and any amendments thereto.

(2)Incorporation of Federal Requirements: The recipient agrees to incorporate applicable federal requirements into all contracts and subcontracts financed in whole or in part with FTA assistance.

(3)Flow-Down Requirements: The recipient agrees to ensure that all subrecipients and contractors comply with applicable federal requirements and that these requirements are included in all subcontracts and subagreements.

5. Termination (All Contracts over $10,000, except contracts with nonprofit organizations and institutions of higher learning, where the threshold is $250,000)

(1) Termination for Convenience: The recipient may terminate the contract, in whole or in part, at any time by written notice to the contractor when it is in the recipient's best interest. The contractor shall be paid its costs, including contract close-out costs, and profit on work performed up to the time of termination.

(2)Termination for Default: If the contractor does not deliver items in accordance with the contract delivery schedule, or if the contract is for services and the contractor fails to perform in the manner called for in the contract, or if the contractor fails to comply with any other provisions of the contract, the recipient may terminate the contract for default.

(3) Opportunity to Cure: The recipient, in its sole discretion, may allow the contractor an appropriately short period of time in which to cure the defect.

(4) Waiver of Remedies for Any Breach: In the event that the recipient elects to waive its remedies for any breach by the contractor of any covenant, term, or condition of the contract, such waiver by the recipient shall not limit its remedies for any succeeding breach of that or of any other term, covenant, or condition of the contract.

6. Civil Rights Requirements (Applicable to ALL Contracts, except micro-purchases)

During the performance of this contract, the Contractor, for itself, its assignees, and successors in interest

(hereinafter referred to as the “Contractor”), agrees as follows:

A. Compliance with Regulations

The Contractor and any subcontractors shall comply with all applicable federal civil rights laws and regulations, including but not limited to:

• Title VI of the Civil Rights Act of 1964, 42 U.S.C. § 2000d;

• 49 U.S.C. § 5332;

• DOT regulations, “Non-Discrimination in Federally-Assisted Programs of the Department of Transportation –

Effectuation of Title VI of the Civil Rights Act,” 49 C.F.R. Part 21;

• FTA Circular 4702.1B, “Title VI Requirements and Guidelines for Federal Transit Administration Recipients,” and any subsequent implementing requirements issued by FTA.

These regulations are incorporated by reference and made part of this contract. Contractor shall comply with them as they may be amended from time to time.

B. Nondiscrimination

The Contractor shall not discriminate on the basis of race, color, religion, national origin, sex (including sexual orientation and gender identity), age, disability, or any other protected characteristic in the selection and retention of subcontractors, the procurement of materials, equipment, or in employment practices in programs or activities funded in whole or in part by FTA. The Contractor shall not participate directly or indirectly in prohibited discriminatory practices under federal law, regulations, or FTA directives.

C. Solicitations for Subcontractors and Suppliers

In all solicitations, whether by competitive bidding or negotiation, for work performed under a subcontract, including the procurement of materials or equipment, each potential subcontractor or supplier shall be notified by the Contractor of its obligations under this contract and the regulations concerning nondiscrimination.

D. Information and Reports

The Contractor shall provide all information and reports required by the regulations or directives issued pursuant thereto and shall permit access to its books, records, accounts, and other sources of information, and its facilities, as may be determined by the Recipient or FTA to be pertinent to ascertain compliance with such regulations, orders, and instructions. If any required information is in the exclusive possession of another party who refuses or fails to furnish it, the Contractor shall certify this to the Recipient or FTA and describe its efforts to obtain the information.

E. Sanctions for Noncompliance

In the event of the Contractor’s noncompliance with the nondiscrimination provisions of this contract, the Recipient or FTA may impose appropriate sanctions, including but not limited to:

• Withholding of payments under the contract until compliance is achieved; and/or

• Cancellation, termination, or suspension of the contract, in whole or in part.

F. Incorporation in Subcontracts

The Contractor shall include the provisions of Sections A through E in every subcontract, including procurements of materials and equipment, unless exempt by regulations or directives issued pursuant thereto. The Contractor shall take such actions with respect to any subcontract or procurement as the Recipient or FTA may direct as a means of enforcing these provisions, including sanctions for noncompliance. If litigation arises or is threatened with a subcontractor or supplier as a result of such enforcement, the Contractor may request the Recipient or the United

States to enter into such litigation to protect the respective interests.

7. Special DOL EEO Clause for Construction Projects. (Applicable to ALL Construction Contracts exceeding $10,000)

This contractor and subcontractor shall abide by the requirements of 41 CFR 60-1.4(a), 60-300.5(a), and 60-

741.5(a). These regulations prohibit discrimination against qualified individuals based on their status as protected veterans or individuals with disabilities and prohibit discrimination against all individuals based on their race, color, religion, sex, sexual orientation, gender identity, or national origin. Moreover, these regulations require that covered prime contractors and subcontractors take affirmative action to employ and advance in employment individuals without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or veteran status.

8. Veterans Employment Preference (Applicable to ALL Construction Contracts)

In accordance with 49 U.S.C. § 5325(k) and 5 U.S.C. § 2108, the Recipient, to the extent practicable, ensures that contractors working on capital projects funded with federal assistance:

1. Hiring Preference for Veterans: Grant a hiring preference to veterans—defined under 5 U.S.C. § 2108—who possess the requisite skills and abilities to perform construction work required under the contract.

2. Non-Discrimination Assurance: This preference shall not be construed to require an employer to favor any veteran over an equally qualified applicant who is a member of any racial or ethnic minority, female, an individual with a disability, or a former employee.

These provisions are mandated for all construction contracts under federal assistance and are intended to promote employment opportunities for veterans while ensuring compliance with non-discrimination policies.

9. Disadvantaged Business Enterprise (DBE) (Applicable to All Contracts Over $10,000 Awarded on the Basis of a Bid or Proposal Offering to Use DBEs)

a. Applicability and Goals

This contract is subject to the requirements of Title 49, Code of Federal Regulations, Part 26. There is no

DBE goal for this project 0%.

b. Nondiscrimination

The contractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out all applicable requirements of 49 CFR Part

26 in the award and administration of this contract. Failure to carry out these requirements is a material breach of this contract and may result in termination or other remedies deemed appropriate by the recipient. Each subcontract the contractor signs must include this assurance (see 49 CFR 26.13(b)).

c. DBE Participation Documentation

If a separate contract goal has been established, bidders/offerors must document sufficient DBE participation to meet the goal, or demonstrate adequate good faith efforts as provided in 49 CFR 26.53.

If no separate contract goal exists, the successful bidder/offeror must report DBE participation achieved through DBE-neutral means during the period of performance.

d. Prompt Payment and Retainage

The contractor must pay its subcontractors performing work related to this contract for satisfactory performance no later than 30 days after receiving payment from the recipient. The contractor may not withhold retainage, or must return any retainage payments to subcontractors within 30 days after:

1. The subcontractor’s work is satisfactorily completed; or

2. Incremental acceptance of the subcontractor’s work by the recipient and the contractor’s receipt of the corresponding partial retainage payment.

e. Termination or Replacement of DBE Subcontractors

The contractor must promptly notify the recipient if a DBE subcontractor is terminated or fails to complete its work and must make good faith efforts to engage another DBE to perform at least the same amount of work. The contractor may not terminate a DBE subcontractor and perform that work with its own forces or an affiliate without prior written consent from the recipient.

f. Compliance Monitoring

The recipient will monitor the contractor’s compliance with DBE requirements, including prompt payment and retainage release, and may take enforcement actions in case of noncompliance.

g. Flow-Down

The contractor shall include these provisions in every subcontract, including material procurements and equipment leases, unless exempt by regulation or directives. The contractor shall take all actions necessary to enforce these provisions, including sanctions for noncompliance, as directed by the recipient or FTA.

10. Incorporation of Federal Transit Administration (FTA) Terms (Applicable to ALL Contracts)

The preceding provisions include, in part, certain Standard Terms & Conditions required by the U.S. Department of Transportation (USDOT), whether or not expressly stated in the preceding contract provisions. All USDOT-required contractual provisions, as stated in FTA Circular 4220.1G, are hereby incorporated by reference. In the event of a conflict between any provision of this Agreement and the FTA-mandated terms, the FTA-mandated terms shall prevail. The Contractor shall not perform any act, fail to perform any act, or refuse to comply with any request that would cause the Recipient to be in violation of FTA terms and conditions.

11. Government-wide Debarment and Suspension (Contracts over $25,000)

The Recipient agrees to the following:

1. Compliance with Regulations

The Recipient will comply with the requirements of 2 C.F.R. part 180, subpart C, as adopted and supplemented by U.S. DOT regulations at 2 C.F.R. part 1200. This includes:

o Prohibition on Transactions with Debarred or Suspended Parties

The Recipient will not enter into any arrangement to participate in the development or implementation of the Project with any Third Party Participant that is debarred or suspended, except as authorized by:

▪ U.S. DOT regulations, “Non-procurement Suspension and Debarment,” 2 C.F.R. part 1200

▪ U.S. OMB, “Guidelines to Agencies on Government-wide Debarment and Suspension (Non-procurement),” 2 C.F.R. part 180, including any amendments thereto

▪ Executive Orders Nos. 12549 and 12689, “Debarment and Suspension,” 31 U.S.C. § 6101 note o Review of SAM.gov

The Recipient will review the U.S. GSA “System for Award Management” (SAM.gov) to verify that Third

Party Participants are not debarred or suspended, as required by U.S. DOT regulations, 2 C.F.R. part

1200.

o Flow-Down Requirements

The Recipient will include, and require each of its Third Party Participants to include, a similar provision in each lower-tier covered transaction, ensuring that each lower-tier Third Party Participant:

▪ Will comply with Federal debarment and suspension requirements

▪ Reviews the “System for Award Management” at SAM.gov, if necessary to comply with U.S. DOT regulations, 2 C.F.R. part 1200

2. Notification of Suspension or Debarment

If the Recipient suspends, debars, or takes any similar action against a Third Party Participant or individual, the

Recipient will provide immediate written notice to:

o FTA Regional Counsel for the Region in which the Recipient is located or implements the Project o FTA Project Manager if the Project is administered by an FTA Headquarters Office o FTA Chief Counsel

12. Buy America Requirements (Applicable to Construction Contracts and Acquisition of Goods or Rolling

Stock valued at more than $150,000)

The Contractor shall comply with 49 U.S.C. § 5323(j) and 49 C.F.R. § 661, stating that Federal funds may not be obligated unless steel, iron, and manufactured products used in FTA-funded projects are produced in the United

States, unless a waiver has been granted by the FTA or the product is subject to a general waiver. General waivers are listed in 49 C.F.R. § 661.7 and include software, microcomputer equipment, and small purchases (currently less than $150,000) made with capital, operating, or planning funds. Rolling Stock Requirements:

• Rolling stock must be manufactured in the U.S. and have a minimum 60% domestic content for FY2016 and

FY2017, a minimum 65% domestic content for FY2018 and FY2019, and a minimum 70% domestic content for

FY2020 and beyond.

• For rolling stock purchases where the average cost of the vehicle exceeds $300,000, the cost of steel or iron produced in the U.S. and used in the rolling stock frames or car shells may be included in the domestic content calculation, regardless of whether the frame or car shell is produced in the U.S.

Certification Requirements:

A bidder or offeror shall submit an appropriate Buy America certification to the recipient with all bids on

FTA-funded contracts, except those subject to a general waiver. Proposals not accompanied by a completed Buy America certification shall be rejected as nonresponsive.

Applicability to Subcontractors:

This requirement does not apply to lower-tier subcontractors.

Effective Dates:

• For Federal-aid projects obligated on or after October 1, 2025, manufactured products must comply with the final assembly requirement.

• For Federal-aid projects obligated on or after October 1, 2026, manufactured products must comply with both the final assembly and 55% domestic content requirements.

13. Breaches and Dispute Resolution (All contracts over $25,000)

a. Dispute Resolution Process

Disputes arising in the performance of this contract that are not resolved by agreement of the parties shall be decided in writing by the recipient’s authorized representative. This decision shall be final and conclusive unless, within ten days from the date of receipt of its copy, the contractor mails or otherwise furnishes a written appeal to the recipient’s CEO. In connection with such appeal, the contractor shall be afforded an opportunity to be heard and to offer evidence in support of its position. The decision of the recipient’s CEO shall be binding upon the contractor, and the contractor shall abide by the decision.

b. FTA Interest

The Federal Transit Administration (FTA) has a vested interest in the settlement of any violation of federal law, including the False Claims Act (31 U.S.C. § 3729). The recipient agrees to notify the FTA of any such violations and to cooperate with the FTA in resolving them.

c. Performance During Dispute

Unless otherwise directed by the recipient, the contractor shall continue…