3-Appendix I - Federal Certifications and Assurances - Corrected.docx

Appendix i - required federal certificates and assurances

TABLE OF CONTENTS

NOTE: THE DISADVANTAGED BUSINESS ENTERPRISE (DBE) PROGRAM HAS BEEN SUSPENDED FOR THE TIME BEING BASED ON 90 FR 47969. ALL NON-DBE CERTS AND ASSURANCES ARE STILL REQUIRED.

REQUIRED BID/Proposal DOCUMENTS

ATTACHMENT A: EQUAL EMPLOYMENT OPPORTUNITY A…………………………………………………. 3

ATTACHMENT B: BUY AMERICA and BUILD AMERICA/BUY AMERICA CERTIFICATE…….….………4 ATTACHMENT C: ASSSURANCE REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY OR EXCLUSION ……………………………………………………………………………………………………………

ATTACHMENT D: CERTIFICATION OF RESTRICTIONS ON LOBBYING…………………………………….6

ATTACHMENT F: Requirement for Written Subcontracts………………………………………...7

ATTACHMENT G: PROHIBITION ON DIVERSITY, EQUITY, AND INCLUSION (DEI) PROGRAMS ……

Updated 8-11-25 mb

Instructions to Bidders and Proposers

INSTRUCTIONS

The following section contains documents that are REQUIRED with the submittal of the bid/proposal. Failure to complete and submit these forms may result in rejection of the bid/proposal as non-responsive. Please read the following information carefully and complete the documents as it applies to your bid / proposal. This section is divided into the following areas:

Definition of Terms, Disadvantaged Business Enterprise (DBE) Program, Instructions to Bidders / Proposers, Requirements, Terms and Conditions, Instructions to Contractors, Certifications and Assurances

· Equal Employment Opportunity

· Buy America

· Debarment, Suspension and Other Ineligibility and Voluntary Exclusion From Transactions Financed in Part by The U.S. Government

· Restrictions on Lobbying

· Cargo Preference- Use of United States Flag Vessels

· Solicitation Statistics Form

· Requirement for Written Subcontracts

DEFINITION OF TERMS

· Bidder / Proposer – identifies an entity that is responding to a bid or proposal.

· UTA - Utah Transit Authority.

INSTRUCTIONS TO BIDDERS/ PROPOSERS

The attachments are defined as follows.

· Attachment A – Equal Employment Opportunity and Disadvantaged Business Enterprise Statement

· Attachment B- Buy America and Build America/Buy America Certification

· Attachment C- Assurance regarding Debarment, Suspension and other Responsibility Matters.

· Attachment D- Certification of Restrictions on Lobbying

· Attachment F- Requirement for Written Subcontracts

· Attachment G- Prohibition on Diversity, Equity, and Inclusion (DEI) Programs

Note: The solicitation Statistic Form is a federal requirement (49 CFR 26.11) to collect statistical data of ALL bidders/proposers on federally assisted projects. This information is required for prime bidders and ANY SUBCONTRACTOR that is a part of your bid to UTA. Return the form from each proposer with your bid package.

B.B. 1. Prompt payment mechanisms as an inducement for DBE participation. The Contractor will pay all subcontractors for satisfactory performance of their contracts no later than thirty (30) days from receipt of each payment the Authority makes to Contractor.

2. Contractor will return retainage payments to the subcontractor within thirty (30) days after the subcontractor’s work is satisfactorily completed, unless Contractor has received its retention proceeds from the Authority, then the preceding paragraph will apply. The prime contractor cannot withhold retainage past 30 days. This clause applies to both DBE and non-DBE subcontracts.

3. If the Authority determines that appropriate payments have not been made by Contractor to its subcontractors, the Authority will give written notice to Contractor that it has breached the contract. If Contractor fails to immediately correct the breach, the Authority may elect to withhold from future payments due Contractor monies sufficient to pay the outstanding amounts due subcontractors. Contractor will be responsible for paying interest at the statutory rate on the amounts it owes subcontractors for amounts not paid when originally due. Repeated or continued failure by Contractor to make appropriate payments to subcontractors will be a material breach of the contract and may result in termination of the contract and denial of future opportunities to bid on the Authority’s projects.

4. The Contractor will maintain those records and documents for three (3) years following performance of the contract which indicate compliance with these DBE requirements. These records and documents, or copies thereof, will be made available at reasonable times and places for inspection by any authorized representative of the Authority and will be submitted to the Authority upon request; together with any other compliance information which such representative may require.

ATTACHMENT A:

EQUAL EMPLOYMENT OPPORTUNITY AND DISADVANTAGED BUSINESS ENTERPRISE STATEMENT

The undersigned states on behalf of the Bidder / Proposer _______________________________________.

A. The Bidder / Proposer has given or will give, prior to the commencement of an approved UTA project, notice to all pertinent personnel, i.e., managers, supervisors, employees, unions, subcontractors, etc. of the Bidder / Proposer EEO policies and procedures and its intent and effort to realize such procedures in connection with the EEO and DBE requirements that UTA is required to follow as a Federal Transit Administration Grantee.

B. Bidder / Proposer designates --

Name__________________________________________

Title___________________________________________ as the person assigned the responsibility for securing compliance with and reporting progress to the Bidders/Proposers and UTA's Civil Rights Office on all EEO efforts initiated and taken.

C. Bidder / Proposer will cooperate fully with UTA and ensure equal employment opportunity to the maximum extent possible during the term of this contract. If the Bidder / Proposer employs 50 or more persons and or will be entering into a contract hereunder in an amount of $50,000 or more, then an EEO Plan for employment of minorities and women must be submitted. UTA will further be kept fully informed of any refusals by unions or others to cooperate with UTA's and the Bidder / Proposer EEO and DBE requirements.

D. .

Date: ______________________________

Signature: __________________________

Printed Name: _______________________

Title: ______________________________

Phone Number: ______________________

Address: ___________________________

ATTACHMENT B:

BUY AMERICA and BUILD AMERICA/BUY AMERICA CERTIFICATE Solicitation No.____________ Exhibit ___

UTAH TRANSIT AUTHORITY

BUY AMERICA and BUILD AMERICA/BUY AMERICA CERTIFICATE (Federally assisted Contract) SECTION (1); Certify only for IRON, STEEL MANUFACTURED PRODUCTS or CONSTRUCTION MATERIALS: (Mark One)

· CERTIFICATE OF COMPLIANCE The bidder or offeror hereby certifies that it will comply with the requirements of 49 USC 5323(j)(1) and the applicable 49 CFR part 661 and also the new requirements of Public Law 117-58, Sections 70901-52.

--OR—

· CERTIFICATE FOR NON-COMPLIANCE WITH SECTION 165(a). The offeror hereby certifies that it cannot comply with the requirements of 49 USC 5323(j) or Pub. L. 117-58, but it may qualify for an exception to the requirement pursuant to 49 USC 5323 (j)(2), t, as amended, and the applicable regulations in 49 CFR Part 661.7.

SECTION (2); Certify only for ROLLING STOCK and ASSOCIATED EQUIPMENT: (Mark One)

· CERTIFICATE OF COMPLIANCE WITH SECTION 165(b) (3.). The offeror hereby certifies that it will comply with the requirements of 49 USC 5223(j), as amended, and the applicable regulations of 49 CFR Part 661.11.

--OR‑

· CERTIFICATE FOR NON-COMPLIANCE WITH SECTION 165(b)(3). The offeror hereby certifies that it cannot comply with the requirements of 49 USC 5323(j), as amended, but may qualify for an exception to the requirement consistent with 49 USC 5323(j)(2)(C), and, as amended, the applicable regulations in 49 CFR Part 661.7.

SECTION (3); OFFEROR'S SIGNATURE: (Sign, date and enter your title and the name of your company)

Date: ______________________________

Signature: __________________________

Printed Name: _______________________

ATTACHMENT C:

ASSURANCE REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY OR EXCLUSION

(For all contracts)

Bidder or Proposer hereby affirms that in accordance with 2 CFR Part 180, Subpart C and 2 CFR Part 1200, neither it, nor any of its principals, nor its lower tier subcontractors, nor their principals are currently debarred, suspended, or otherwise excluded from or ineligible to receive a contract financed by the U.S. Government.

Date: ______________________________

Signature: __________________________

ATTACHMENT D:

CERTIFICATION OF RESTRICTIONS ON LOBBYING

(For contracts exceeding $100,000)

I, _____________________________________________________________, hereby certifies (Name and Title of Company Official) on behalf of __________________________________________ that:

(Name of Company)

(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 is 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.

Date: ______________________________

Signature: __________________________

ATTACHMENT F:

Requirement for Written Subcontracts

(To be submitted with Bid or Proposal)

Should your firm be awarded this Procurement, Bidder/Proposer:_______________________, does hereby acknowledge and agree to comply with, the Authority’s requirement to have written subcontracts for all the Work provided for by subcontractors/suppliers at any tier for the work awarded to them through this Procurement, and that Bidder/Proposer will pass along all applicable requirements, federal or otherwise, but not limited thereto to all sub tier contractors.

Date: ______________________________

ATTACHMENT G:

Prohibition on Diversity, Equity, and Inclusion (DEI) Programs

To be submitted with Bid or Proposal)

CERTIFICATION OF RESTRICTIONS ON DEI PROGRAMS

I, _____________________________________________________________, hereby certifies (Name and Title of Company Official) on behalf of __________________________________________ that:

(Name of Company)

(1) Pursuant to section (3)(b)(iv)(A), Executive Order 14173, Ending Illegal Discrimination and Restoring Merit-Based Opportunity, the Recipient agrees that its compliance in all respects with all applicable Federal antidiscrimination laws is material to the government’s payment decisions for purposes of section 3729(b)(4) of title 31, United States Code.

(2) Pursuant to section (3)(b)(iv)(B), Executive Order 14173, Ending Illegal Discrimination and Restoring Merit-Based Opportunity, by entering into this Agreement, the Recipient certifies that it does not operate any programs promoting diversity, equity, and inclusion (DEI) initiatives that violate any applicable Federal anti-discrimination laws. (DBE)

This certification is a material representation of fact upon which reliance is placed when this transaction was made or entered into.

Date: ______________________________

Printed Name: _______________________ image2.png