3-Appendix I - Federal Certifications and Assurances.docx

Appendix i - required federal certificates and assurances

TABLE OF CONTENTS

REQUIRED BID/Proposal DOCUMENTS

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 and Disadvantaged Business Enterprise Statement

· Disadvantaged Business Enterprise Participation Form

· Sample Letter of Intent to Subcontract with DBE Firm

· Good Faith Efforts Documentation Form

· 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.

· Disadvantaged Business Enterprise (DBE) – firms that meet the criteria specified in 49 CFR Part 26 and are certified by the Utah Uniform Certification Program (UUCP). Utah Transit Authority’s DBE webpage is located at https://rideuta.com/Doing-Business/Disadvantaged-Enterprises

· Good Faith Efforts means efforts to achieve a DBE goal or other requirement of this part which, by their scope, intensity, and appropriateness to the objective, can reasonably be expected to fulfill the program requirement.

· Race conscious DBE participation includes any time a DBE wins a prime contract through customary competitive procurement procedures, is awarded a subcontract on a prime contract that carries a DBE goal.

· Race neutral DBE participation Arranging solicitations, times for the presentation of bids, quantities, specifications, and delivery schedules in ways that facilitate DBE participation, providing assistance in overcoming limitations such as inability to obtain bonding or financing, providing technical assistance and other services. A race neutral contract DOES NOT mean the contract goal is 0%.

· UTA - Utah Transit Authority.

· UUCP – Utah Uniform Certification Program. The UUCP is the only certifying entity for the U.S. Department of Transportation Disadvantaged Business Enterprise (DBE) Program in the State of Utah. Current DBE firms are found on the UUCP DBE directory, which is located at https://udot.dev.utah.gov/docs/uucp-dbe-directory/

FEDERAL REGULATIONS TO IMPLEMENT THE DBE PROGRAM

Utah Transit Authority (Authority) shall not discriminate in the administration of its Disadvantaged Business Enterprise Program, or the requirements of 49 CFR Part 26. The Authority will take all necessary and reasonable steps under 49 CFR Part 26 to ensure nondiscrimination in the award and administration of Department of Transportation (DOT) assisted contracts. The Authority’s DBE program, as required by 49 CFR Part 26 and as approved by DOT, is incorporated by reference in this agreement.

It is the responsibility of each Bidder / Proposer to read, understand and comply with the Authority’s DBE program and 49 CFR Part 26. The Authority’s DBE Liaison Officer is available to help answer questions concerning the Authority’s DBE program.

Implementation of the DBE program is a legal obligation and failure to carry out its terms will be treated as a violation of this agreement. Failure by the Authority to carry out the Authority’s approved program may result in DOT-imposed sanctions as provided for under Part 26 and may, in appropriate cases, result in enforcement actions under 18 U.S.C. 1001 and/or the Program Fraud Civil Remedies Act of 1986 (31 U.S.C. 3801 et seq.) Bidders/ Proposers agree to indemnify the Authority for any such sanctions received as a result of the actions and omissions of Contractor or its subcontractors.

INSTRUCTIONS TO BIDDERS/ PROPOSERS

Bidders/ Proposers are required to complete and return Attachments A, A-1, A-2 and A-3 which obligates the Bidders/ Proposers to assert a good faith effort to attain the specified goal for DBE participation. A Bidder may satisfy the requirements of this section by having DBE status, by subcontracting portions of the work to DBEs, by entering into a joint venture with DBEs, or by submitting adequate documentation that a good faith effort to meet the goal was explored.

The attachments are defined as follows.

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

· Attachment A-1 – Disadvantaged Business Enterprise Participation Form

· Attachment A-2 – Sample Letter of Intent to Subcontract with a DBE Firm

· Attachment A-3 – Good Faith Efforts Documentation form

· Attachment A-5 – Employment Practices / Equal Employment Opportunity Plan

· 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 E- Solicitation Statistics Form (required statistical data)

· 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 with ANY SUBCONTRACTOR that is a part of your bid to UTA. Return the form from each proposer with your bid package.

Attachment A-3 – Good Faith Efforts Documentation Form is not required when a bidder / proposer certifies that there exists no opportunity for subcontracting, when a DBE is the prime contractor or the procurement is race neutral.

DBE CONTRACT GOAL

As required by 49 CFR Part 26, “Participation by Disadvantaged Business Enterprises in Department of Transportation Programs”, the Authority will annually adopt an overall DBE goal for goods and services procured under the Authority’s federally assisted contracts. While the expected percentage of DBE participation may vary from contract to contract, the Authority sets a goal that it believes the overall goal to be realistically obtainable over the year.

The Contract DBE GOAL for this procurement is – Race Neutral Please sign all forms and mark those forms that do not apply N/A for not applicable.

The amount of DBE participation will be determined by the dollar value of the work subcontracted to DBEs as compared to the total value of all work performed under this contract, and/or, by the percentage of the net profit which the parties agree will be shared by DBEs where a joint venture is entered into for the completion of the project.

COUNTING DBE PARTICIPATION TOWARD GOALS

When a DBE participates in a contract, the Authority will count only the value of the work actually performed by the DBE toward DBE goals. This information is documented on ATTACHMENT A-1, DISADVANTAGED BUSINESS ENTERPRISE PARTICIPATION FORM. The Authority will include in this count the following:

The entire amount of that portion of a construction contract that is performed by the DBEs own forces. The cost of supplies and materials obtained by the DBE for the work of the contract, including supplies purchased or equipment leased by the DBE (except supplies and equipment the DBE subcontractor purchases or leases from the prime contractor or its affiliate) is included in this amount.

The entire amount of fees or commissions charged by a DBE firm for providing a bona fide service, such as professional, technical, consultant, or managerial services, or for providing bonds or insurance specifically required for the performance of a DOT-assisted contract provided the Authority determines the fees to be reasonable and not excessive as compared with fees customarily allowed for similar services.

When a DBE subcontracts part of the work of its contract to another firm, the value of the subcontracted work, only if the DBEs subcontractor is itself a DBE. Work that a DBE subcontracts to a non-DBE firm does not count toward DBE goals.

When a DBE performs as a participant in a joint venture, the portion of the total dollar value of the contract equal to the distinct, clearly defined portion of the work of the contract that the DBE performs with its own forces, is counted toward DBE goals.

Expenditures to a DBE contractor are counted toward DBE goals, only if the DBE is performing a commercially useful function on that contract.

A DBE performs a commercially useful function when it is responsible for execution of the work of the contract and is carrying out its responsibilities by actually performing, managing, and supervising the work involved. To perform a commercially useful function, the DBE must also be responsible, with respect to materials and supplies used on the contract, for negotiating price, determining quality and quantity, ordering the material, and installing (where applicable) and paying for the material itself. To determine whether DBE is performing a commercially useful function, the DBE Liaison Officer will evaluate the amount of work subcontracted, industry practices, whether the amount the firm is to be paid under the contract is commensurate with the work it is actually performing, and the DBE credit claimed for its performance of the work, and other relevant factors.

A DBE does not perform a commercially useful function if its role is limited to that of an extra participant in a transaction, contract, or project through which funds are passed in order to obtain the appearance of DBE participation. In determining whether DBE is such an extra participant, the DBE Liaison Officer will examine similar transactions, particularly those in which DBEs do not participate.

If a DBE does not perform or exercise responsibility for at least 30 percent of the total cost of its contract with its own work force, or the DBE subcontracts a greater portion of the work of a contract than would be expected on the basis of normal industry practice for the type of work involved, the Authority will presume that it is not performing a commercially useful function.

When a DBE is presumed not to be performing a commercially useful function as provided in this section, the DBE may present evidence to rebut this presumption. The Authority may determine that the firm is performing a commercially useful function given the type of work involved and normal industry practices.

REQUIREMENTS, TERMS, AND CONDITIONS

A Disadvantaged Business Enterprise is a firm that has been certified by the Utah Uniform Certification Program (UUCP) to meet the criteria in 49 CFR Part 26. Only firms certified by the UUCP can receive DBE credit on federally assisted projects in the State of Utah. Firms must be certified as a DBE prior to the contract award for UTA to receive credit for a DBE firm’s participation in a contract.

A. Bidders/ Proposers who fail or refuse to complete and return the applicable certifications to this RFP shall be deemed non-responsive and will not be awarded a contract.

B. Where bidders/proposers intend to attain their goal for DBE participation by subcontracting or use of a joint venture, they must complete and submit the following certifications as applicable. Attachments A, A-1, A-2, A-3, A-5, B, C, D, E, F and G with your bid.

C. All Bidders/ Proposers are required to submit written assurance of meeting contract goals in their bids/proposals and will submit: (1) names of DBE subcontractors; (2) a description of the work they are to perform; and (3) the dollar value of each proposed DBE subcontract. In order to be a responsive Bidder / Proposer, a Bidder/ Proposer must meet the specified DBE contract goal or demonstrate sufficient good faith efforts to do so. Meeting the contract goal or making sufficient good faith efforts to do so is no less than meeting technical specifications or complying with bid or proposal procedures, is a necessary condition of responsiveness.

D. The Bidder / Proposer expressed goal stated in the ATTACHMENT A-1 – DISADVANTAGED BUSINESS ENTERPRISE PARTICIPATION FORM, shall express the commitment on part of Bidder/Proposer to the percentage of DBE utilization during the term of the contract.

E. The commitment of the Bidder/Proposer to a specific goal is to meet DBE objectives and is not intended to be used and shall not be used, to discriminate against any qualified company or group of companies.

F. The Bidders/ Proposers must actively and aggressively seek to meet the specific contract goal for the project or the overall goal if an individual contract goal has not been set. In determining whether a Bidder/ Proposer has made good faith efforts to ensure DBE participation if awarded the contract, the Authority may consider, and the Bidder/ Proposer must be able to provide evidence regarding the good faith efforts. This information is provided on ATTACHMENT A-3, GOOD FAITH EFFORTS DOCUMENTATION FORM. Good Faith Efforts Documentation Form A-3 is not required when a bidder / proposer certifies that there exists no opportunity for subcontracting, when a DBE is the prime contractor, or the procurement is race neutral.

The Authority will award a contract only to a Bidder / Proposer who makes good faith efforts to meet the established goal. A Bidder / Proposer has made good faith efforts if the Bidder / Proposer does either of the following:

Documents that it has obtained enough DBE participation to meet the goal; or Documents that it has made adequate good faith efforts to meet the goal, including assurances that the Bidder/ Proposer has done the following:

Attended any pre-solicitation or pre-bid meetings that were scheduled by the Authority to inform DBEs of contracting and subcontracting opportunities.

Advertised information concerning the subcontracting opportunities in general circulation, trade association, and minority-focused media.

Provided written notice to a reasonable number of specific DBEs that their interest in the contract was being solicited, in sufficient time to allow the DBEs to participate effectively.

Followed up initial solicitations of interest by contacting DBEs to determine with certainty whether the DBEs were interested.

Selected portions of the work to be performed by DBEs in order to increase the likelihood of meeting the DBE goals (including, where appropriate, breaking down contracts into economically feasible units to facilitate DBE participation).

Provided interested DBEs with adequate information about the plans, specifications, and requirements of the contract.

Negotiated in good faith with interested DBEs, not rejecting DBEs as unqualified without sound reasons based on a thorough investigation of their capabilities.

Assisted interested DBEs in obtaining bonding, lines of credit, or insurance required by the Authority or the Bidders/ Proposers, and.

Used the services of available minority community organizations; minority contractor’s groups; local, state, and Federal minority business assistance offices and other organizations that provide assistance in the recruitment and placement of DBEs.

For further guidance and additional steps to take concerning good faith efforts, see 49 CFR Part 26. A copy is included in the Authority’s DBE Plan. The Authority’s DBE Plan is available from the Authority upon request.

If the Authority determines that the apparent successful Bidder/ Proposer has failed to meet the foregoing requirements, before awarding the contract the Authority will provide the Bidder/ Proposer an opportunity for administrative reconsideration. As part of this reconsideration, the Bidder/ Proposer will have the opportunity to provide written documentation or argument concerning the issue of whether it met the goal or made adequate good faith efforts to do so. The Authority’s decision on reconsideration will be made by DBE Administrative Hearing Officer. The Bidders/ Proposers will be given the opportunity to meet in person with the Authority’s reconsideration official to discuss the issue of whether it met the goal or made adequate good faith efforts to do so. The Authority will send the Bidders/ Proposers a written decision on reconsideration, explaining the basis for finding that the Bidders/ Proposers did or did not meet the goal or make adequate good faith efforts to do so. The result of this reconsideration process is not administratively appealable to DOT.

INSTRUCTIONS TO ALL CONTRACTORS

A. Termination of DBE Subcontractors. No contractor may terminate for convenience a DBE subcontractor listed in response to this request (or an approved substitute DBE firm) and then perform the work of the terminated subcontractor with its own forces or those of an affiliate, without the Authority’s prior written consent.

When a DBE subcontractor is terminated or fails to complete its work on the contract for any reason, the prime contractor must make good faith efforts to find another DBE subcontractor to substitute for the original DBE. These good faith efforts must be directed at finding another DBE to perform at least the same amount of work under the contract as the DBE that was terminated, to the extent needed to meet the contract goal the Authority established for the procurement.

The Authority reserves the right to order completion of the work (that was subcontracted to a DBE who is unable to perform successfully), by any of the following three methods:

0. Modify or renegotiate the contract to compensate for reasonable extra costs or time necessary to obtain a DBE replacement.

0. Modify or renegotiate the contract to provide for the completion of the work by the prime contractor.

0. Order the work completed by the prime contractor to be reimbursed as provided for in subsection 00910, Force Account Work of the Standard Specifications.

Termination of a DBE subcontractor in contravention of these requirements will be a material breach of the contract and will result in forfeiture by the Contractor of the contract amounts that should have been accomplished by DBE participation.

This section will also apply to DBE Bidder / Proposer for prime contracts. In determining whether a DBE Bidder / Proposer for a prime contract has met the established contract goal, the Authority will count the work the DBE has committed to perform with its own forces as well as the work that it has committed to be performed by DBE subcontractors and DBE suppliers.

2. 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.

3. 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.

4. Upon notification to the Authority 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.

5. 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.

6. Monitoring. The Authority’s DBE Liaison Officer will monitor the work committed to DBEs under this contract to determine what work is actually performed by the DBEs. Contractor will provide all information requested by the DBE Liaison Officer to enable the Authority to keep a running tally of DBE attainments (e.g., payments actually made to DBE firms). The Authority will give credit for DBE participation toward overall or contract goals only when payments are actually made to DBE firms.

7. DBE Financial Institutions. The Authority continues to seek services offered by financial institutions owned and controlled by socially and economically disadvantaged individuals in its geographic area. To date, no such financial institution exists in the State of Utah. The Authority will encourage prime contractors to use such institutions as they are identified.

A hard copy of the directory is available upon request to the UTA DBE Liaison Officer, located in the Authority’s Civil Rights Office.

Solicitation No.25-03991VW

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 and DBE 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. Attachment A-5 must be completed and submitted. 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. Bidder / Proposer agrees to make every reasonably good faith effort to utilize DBEs in the performance of this contract. Bidder / Proposer will take affirmative steps to meet the DBE contract goal set for this bid.

Date: ______________________________

Signature: __________________________

Printed Name: _______________________

Title: ______________________________

Phone Number: ______________________

Address: ___________________________ Solicitation No.25-03991VW

ATTACHMENT A-1:

DISADVANTAGED BUSINESS ENTERPRISE PARTICIPATION FORM

DBE PROJECT GOAL: Race Neutral

The Bidder / Proposer must check the appropriate box, provide the information requested, and sign this form certifying to the accuracy of the information provided, and submit this form with its bid. Failure to complete and submit this form may result in rejection of the bid/proposal as non-responsive. Race neutral procurements do not require good faith effort documentation.

· Bidder / Proposer will meet or exceed the DBE goal for this contract. If awarded this contract, Bidder / Proposer will subcontract with the DBEs listed below, which will be performing a total of _____________ percent (______%) of the total dollar amount of the contract work.

Bidders/Proposers shall submit and attach evidence with this form that the DBEs being submitted for work on this project are presently certified by the Utah Uniform Certification Program (UUCP). The DBE Letters of Intent (Attachment A-2) are included with this DBE Participation Form.

(Attach additional sheets if necessary)

· Bidder / Proposer does not meet the DBE goal for this contract. Bidder / Proposer certifies that it has made good faith efforts in accordance with the bid/proposal instructions to meet the DBE goal, but, despite those efforts, has been unable to meet the goal. The Good Faith Efforts Documentation Form (Attachment A-3) is attached to this DBE Participation Form. Please list above ANY DBE participation your firm has committed to.

· Bidder / Proposer does not meet the DBE goal for this contract. Bidder / Proposer certifies that there exists no opportunity for subcontracting as part of this project. It is the general practice of Bidder / Proposer’s firm to perform all work of this nature solely with its own work force and to do otherwise would constitute a violation of industry standards. Attachment A-3, Good Faith Effort Documentation Form, is not required under this selection.

Printed Name: _______________________

Title: ______________________________

Solicitation No.25-03991VW

ATTACHMENT A-2:

SAMPLE LETTER OF INTENT TO SUBCONTRACT WITH DBE FIRM

(COMPANY LETTERHEAD)

(DATE)

(DBE)

(Name and Address)

Reference: (Project Name and Bid/Proposal Number)

(Appropriate Salutation)

Our firm is submitting a bid/proposal with the intent of being awarded a contract with the Utah Transit Authority for the performance of the above-referenced project and if our firm is awarded the contract, we shall act as prime contractor for this project.

Please sign this "Letter of Intent to Subcontract" to verify that you are willing to participate and enter into a subcontract with our firm to provide (specify equipment, materials, supplies, services, etc.) in the amount of $________________________ if our firm is awarded the contract with Utah Transit Authority. A DBE company has to be certified in the State of Utah and current in its DBE certification. Please attach a copy of a recent certification letter / annual update that states your firm is presently certified as a DBE by the Utah Uniform Certification Program (UUCP).

DBE firm has read and certifies to the above: Prime Contractor:

NOTE: Submit this letter with specific information and it signed by the proposed DBE company. All equipment, materials, supplies, and services to be provided by the DBE subcontractor must be listed, and all amounts to be paid to the DBE subcontractor must be specified.

THE SUCCESSFUL BIDDERS/ PROPOSERS SHALL REQUIRE ALL SUBCONTRACTORS TO COMPLETE AND SUBMIT THE FEDERAL CERTIFICATION ATTACHMENTS A, A-1, A-2, A-3, A-5, B, C, D, E, F and G IF APPLICABLE.

Solicitation No.25-03991VW

ATTACHMENT A-3:

GOOD FAITH EFFORTS DOCUMENTATION FORM

When a Bidder / Proposer does not meet the DBE goal, the Bidder / Proposer must submit this form with its DBE Participation Form (Attachment A-1). The Bidder / Proposer must submit a copy of the document(s) sent to DBE’s. The documentation of good faith efforts must include copies of each DBE and non-DBE subcontractor quote submitted to the bidder when a non-DBE subcontractor was selected over a DBE for work on the contract. Failure to submit this form with its bid/proposal and requested additional documentation may render the bid/proposal non-responsive. UTA’s DBE Liaison Officer may require that the Bidder / Proposer provide additional substantiation of good faith efforts. In the case of a race neutral project, the Bidder / Proposer is not required to submit good faith efforts documentation.

Firm Name Contact Person Area of Expertise Date Response

By submitting and signing this form, including any continuation form(s), the Bidder / Proposer certifies that it has contacted the identified DBE firms in good faith (per 49 CFR 26 Appendix A or see DBE Requirements, Terms and Conditions) to discuss contracting opportunities.

Printed Name: _______________________

Title: ______________________________

ATTACHMENT A-5:

EMPLOYMENT PRACTICES / EEO PLAN

A) Contractors that have less than 50 employees or have a contract for less than $50,000 yet more than $10,000 are responsible for completing the following information outlining their employment goals on this UTA project.

Prepared By: ____________________________________________ (Print name & title)

In keeping with UTA policy of nondiscrimination in employment practices, the _____________(Name of Company) has set as a project goal for the utilization of minorities, which is _____ %. Minority goals are formulated in terms of craft work hours performed in a specific Standard Metropolitan Statistical Area (SMSA). (Name of Company) has set as a project goal for the utilization of females, which is 6.9%. The ______________ (Company name), by its _______________________ (Title of Company Representative) assures to the UTA that good faith efforts will be used to achieve said goals. The good faith efforts proposed are described in the attached narrative.

B) Requirements Concerning The Submission Of An EEO Plan (For all construction and non-construction contractors)

If the contractor has 50 or more employees and a contract of $50,000 or more is contemplated, an EEO Plan should be submitted in lieu of this form per the specifications noted in the instructions to offerors.

Date: ______________________________

Signature: __________________________

ATTACHMENT B:

BUY AMERICA and BUILD AMERICA/BUY AMERICA CERTIFICATE Solicitation No.25-03991VW

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: __________________________

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 E:

SOLICITATION STATISTICS

Dear Subcontractor:

The Utah Transit Authority maintains bidding statistics regarding ALL firms bidding on prime contracts and subcontracts on DOT-assisted projects in accordance with the federal regulation 49 CFR Part 26.11. Include copies of this form with your bid package to ANY SUBCONTRACTORS. Return the form from each proposer with your bid package, both Disadvantaged Business Enterprises (DBE) and non-DBEs (A DBE is a firm that meets the criteria in 49 CFR 26). If you have any questions, comments, or suggestions, please contact Kenya Fail, UTA’s DBE Liaison Officer, at DBELO@rideuta.com.

This information will only be used for statistical purposes as allowed under 49 CFR Part 26.

Firm Name: ______________________________________________________

Firm Address: _____________________________________________________

Status: Non-DBE ☐ DBE ☐

NAICS Code(s) for Scopes of Work on This Project: ____________________

Age of the firm: ________________

Company Owner(s) Race and Sex

Annual Gross Receipts of the Firm: (check one)

0 to $500,000 ☐ $500,000 - $1,000,000 ☐ $1 Million - $5 Million ☐

$5 Million - $10 Million ☐ $10 Million - $16.7 Million ☐ Above $16.7 Million ☐

Name of Solicitation: 25-03991VW

ATTACHMENT F:

Requirement for Written Subcontracts

(To be submitted with Proposal for 25-03991VW)

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.

Printed Name: _______________________ image2.png