PART 3

BID PROPOSAL ATTACHMENTS

Requisition: C25FI103184211R

REQUISITION: C25FI103184211R

May 20, 2026

IFB – CONSTRUCTION SERVICES FOR ALL

STATION ACCESS PROGRAM (ASAP):

LOGAN SQUARE LINE - CALIFORNIA STATION

PART 3 – BID PROPOSAL ATTACHMENTS

ATTACHMENT A: Certification of Primary Participant Regarding Debarment, Suspension, and Other Responsibility Matters

ATTACHMENT B: Certification of Lower-Tier Participant Regarding Debarment, Suspension, and Other Responsibility Matters

ATTACHMENT C: Certification for Contracts, Grants, Loans, and Cooperative Agreements -

Lobbying Certification (Prime and Subcontractor)

ATTACHMENT D: Certification Regarding a Drug Free Workplace (Prime and Subcontractor)

ATTACHMENT E: INTENTIONALLY OMITTED

ATTACHMENT F: Disadvantaged Business Enterprises (DBE) Forms and Schedules Schedule B: Affidavit of Joint Venture Schedule C: Participant Statement Schedule D: Utilization Plan Bidders List

ATTACHMENT G: Disclosure of Ownership and Interests Affidavit (Prime &Subcontractor)

ATTACHMENT H: Bid Proposal

ATTACHMENT I: Affidavit of Minimum Wage Payment

ATTACHMENT J: Affidavit of Prompt Payment

ATTACHMENT K: Bidder's Price Certification

ATTACHMENT L: Bidder’s Signature Page

ATTACHMENT M: CTA Acceptance Page

ATTACHMENT N: Certification Regarding Felony Convictions and Tax Delinquent Status

ATTACHMENT O: Track Access Occurrences

ATTACHMENT P: Brief History of Company

ATTACHMENT A - PRIME

CERTIFICATION OF PRIMARY PARTICIPANT

REGARDING DEBARMENT, SUSPENSION, AND OTHER

RESPONSIBILITY MATTERS

, certifies to the best of our knowledge and belief that it and (Company’s name) its principles:

1. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency;

2. Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with 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 statutes 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 charged by a government entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph

(2) of this certification; and

4. Have not within a three-year period preceding this application/proposal had one or more public transactions (Federal, State, or local) terminated for cause or default.

5. Meet the Authority’s requirements and that it, its principles, and is subcontractors have not violated any City or sister agency policy, codes, state, federal, or local laws, rules or regulations and have not been subject to any debarment, suspension or other disciplinary action by any government agency. Additionally, if at any time the contractor becomes aware of such information, it must immediately disclose it to the Authority

6. That it is not delinquent in the payment of any fine, fee, tax or other source of indebtedness owed to the City of Chicago, including, but not limited to, water and sewer charges, license fees, parking tickets, property taxes and sales taxes, nor is it delinquent in the payment of any tax administered by the Illinois Department of Revenue. For purposes of this certification, delinquent means a debt that is due and owing for which no payment plan, offer-in-compromise, dispute contesting the validity of the debt, or other means addressing the debt has been made.

THE PRIMARY PARTICIPANT (APPLICANT OR POTENTIAL CONTRACTOR FOR A MAJOR THIRD

PARTY CONTRACT) CERTIFIES OR

(Company name)

AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS

SUBMITTED ON OR WITH THIS CERTIFICATION AND UNDERSTANDS THAT THE PROVISIONS OF

31 U.S.C. SECTIONS 3801 ET SEQ. ARE APPLICABLE THERETO.

(Signature and Title of Authorized Official)

If you are unable to certify to any of the statements in this certification, the participant shall attach an explanation to this certification.

CTA 415 67 (07/20) Purchasing

ATTACHMENT B - SUBCONTRACTOR

CERTIFICATION OF LOWER TIER PARTICIPANT

REGARDING DEBARMENT, SUSPENSION, AND OTHER

RESPONSIBILITY MATTERS

, certifies to the best of our knowledge and belief that it and (Company’s name) its principles:

1. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal department or agency;

2. Have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of frauds or a criminal offense in connection with 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 statutes 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 charged by a government entity (Federal, State, or local) with commission of any of the offenses enumerated in paragraph

(2) of this certification; and

4. Have not within a three-year period preceding this application/ proposal had one or more public transactions (Federal, State, or local) terminated for cause or default.

5. Meet the Authority’s requirements and that it, its principles, and is subcontractors have not violated any City or sister agency policy, codes, state, federal, or local laws, rules or regulations and have not been subject to any debarment, suspension or other disciplinary action by any government agency. Additionally, if at any time the contractor becomes aware of such information, it must immediately disclose it to the Authority

6. That is is not delinquent in the payment of any fine, fee, tax or other source of indebtedness owed to the City of Chicago, including, but not limited to, water and sewer charges, license fees, parking tickets, property taxes and sales taxes, nor is it delinquent in the payment of any tax administered by the Illinois Department of Revenue. For purposes of this certification, delinquent means a debt that is due and owing for which no payment plan, offer-in-compromise, dispute contesting the validity of the debt, or other means addressing the debt has been made

THE LOWER TIER PARTICIPANT (APPLICANT OR POTENTIAL CONTRACTOR FOR A MAJOR THIRD

PARTY CONTRACT) CERTIFIES OR

(Company name)

AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS

SUBMITTED ON OR WITH THIS CERTIFICATION AND UNDERSTANDS THAT THE PROVISIONS OF

31 U.S.C. SECTIONS 3801 ET SEQ. ARE APPLICABLE THERETO.

(Signature and Title of Authorized Official)

If you are unable to certify to any of the statements in this certification, the participant shall attach an explanation to this certification.

CTA 415 68 (07/20) Purchasing

(Title of authorized officer)

LOBBYING CERTIFICATION – (PRIME)

ATTACHMENT C

Certification for Contracts, Grants, Loans and Cooperative Agreements

The undersigned certifies, to the best of his or 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 an 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 an 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.

Executed this day of , 20 .

By:

(Type or print name of contractor)

(Signature of authorized officer)

(Title of authorized officer)

LOBBYING CERTIFICATION – (SUBCONTRACTOR)

ATTACHMENT C – PART 2

Certification for Contracts, Grants, Loans and Cooperative Agreements

The undersigned certifies, to the best of his or 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 an 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 an 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.

Executed this day of , 20 .

By:

(Type or print name of contractor)

(Signature of authorized officer)

Signature and Title of Authorized Official

REV January 2018

Date

ATTACHMENT D

CERTIFICATION REGARDING A DRUG FREE WORKPLACE- CONTRACTOR

Pursuant to the definitions regarding a Drug Free Workplace provided in the Drug-Free Workplace Act of 1988, the Illinois Drug Free Workplace Act, 30 ILCS 580/1 et seq., the Illinois Substance Abuse Prevention on Public Works Projects Act, 820 ILCS 265/1 et seq., the Federal Acquisition Regulation System ("FAR"), Procedures for Transportation Workplace Drug & Alcohol Testing Programs, 49 CFR 40, and Prevention of Alcohol Misuse & Prohibited Drug Use in Transit Operation, 49 CFR 655, ("Contractor") certifies to the best of its knowledge and belief that it and its principals:

1. Maintain a workplace(s) (i.e. the site(s) for the performance of work done by the Contractor in connection with this contract) safe and free from "controlled substances" as described in the Controlled Substances Act (21 U.S.C.

812) and as further described in regulations 21 CFR 1308.11 - 1308.15.

2. Have neither been convicted, including entering a plea of 'nolo contendere,' nor had sentence imposed by any judicial body charged with the responsibility to determine violations of Federal or State criminal drug statutes.

3. Publish and give notice to its employees and sub-contractors that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the Contractor's workplace, and also that actions will be taken against any and all employees and sub-contractors found to be violation of same.

4. Provide that all employees engaged in the performance of the contract receive a copy of the above statement, that the employee will abide by the terms of this statement, and that the employee will notify the employer in writing of the employee's conviction no later than five (5) calendar days after such conviction.

5. Provide for appropriate action against an employee for violation of any and all of these rules and that an employee convicted of drug abuse must satisfactorily participate in a drug abuse assistance or rehabilitation program approved for such purposes by Federal, State, or local health or law enforcement or other appropriate agency.

6. Comply with all drug and alcohol policies, testing programs and reporting requirements set forth in 49 CFR 40 and 49 CFR 655 whenever the Contractor, its employees, or sub-contractor(s) perform one or more of the following functions considered "safety-sensitive", as defined in 49 CFR 655:

a. Operating a revenue service vehicle, including when not in revenue service;

b. Operating a non-revenue service vehicle, when required to be operated by a holder of a

Commercial Driver's License;

c. Controlling dispatch or movement of a revenue service vehicle;

d. Maintaining (including repairs, overhaul and rebuilding) a revenue service vehicle or equipment used in revenue service; or

e. Carrying a firearm for security purposes.

7. Have in place a written program which meets or exceeds the program requirements of the Substance Abuse Prevention on Public Works Projects Act (820 ILCS 265/1 et seq.) to be filed with the Authority and made available to the general public, or have in place a collective bargaining agreement which deals with the subject matter of the Substance Abuse Prevention on Public Works Projects Act (820 ILCS 365/1 et seq.).

8. Will otherwise comply with all drug and alcohol policies set forth in applicable Federal, State and local laws and regulations, including, but not limited to the Drug-Free Workplace Act of 1988, FAR, Illinois Drug Free Workplace Act, 49 CFR 40 and 49 CFR 655 in such version, prior or subsequent to amendment or revision, as is currently enforced or enforceable at and during the execution and performance of this Contract.

In addition to other remedies, the Contractor's failure to comply with any part of the requirements of the Drug-Free Workplace Act of 1988, FAR, Illinois Drug Free Workplace Act, the Illinois Substance Abuse Prevention on Public Works Projects Act, 49 CFR 40 or 49 CFR 655, may render the Contractor subject to any or all of the following: suspension of payments, termination of contract for default, suspension or debarment. By executing this Certification, Contractor agrees that the Authority or its designated representatives may audit Contractor’s records and procedures as necessary to ensure compliance with the foregoing requirements.

Signature and Title of Authorized Official

REV January 2018

Date

ATTACHMENT D – PART 2

CERTIFICATION REGARDING A DRUG FREE WORKPLACE - SUBCONTRACTOR

Pursuant to the definitions regarding a Drug Free Workplace provided in the Drug-Free Workplace Act of 1988, the Illinois Drug Free Workplace Act, 30 ILCS 580/1 et seq., the Illinois Substance Abuse Prevention on Public Works Projects Act, 820 ILCS 265/1 et seq., the Federal Acquisition Regulation System ("FAR"), Procedures for Transportation Workplace Drug & Alcohol Testing Programs, 49 CFR 40, and Prevention of Alcohol Misuse & Prohibited Drug Use in Transit Operation, 49 CFR 655, ("Contractor") certifies to the best of its knowledge and belief that it and its principals:

1. Maintain a workplace(s) (i.e. the site(s) for the performance of work done by the Contractor in connection with this contract) safe and free from "controlled substances" as described in the Controlled Substances Act (21 U.S.C.

812) and as further described in regulations 21 CFR 1308.11 - 1308.15.

2. Have neither been convicted, including entering a plea of 'nolo contendere,' nor had sentence imposed by any judicial body charged with the responsibility to determine violations of Federal or State criminal drug statutes.

3. Publish and give notice to its employees and sub-contractors that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the Contractor's workplace, and also that actions will be taken against any and all employees and sub-contractors found to be violation of same.

4. Provide that all employees engaged in the performance of the contract receive a copy of the above statement, that the employee will abide by the terms of this statement, and that the employee will notify the employer in writing of the employee's conviction no later than five (5) calendar days after such conviction.

5. Provide for appropriate action against an employee for violation of any and all of these rules and that an employee convicted of drug abuse must satisfactorily participate in a drug abuse assistance or rehabilitation program approved for such purposes by Federal, State, or local health or law enforcement or other appropriate agency.

6. Comply with all drug and alcohol policies, testing programs and reporting requirements set forth in 49 CFR 40 and 49 CFR 655 whenever the Contractor, its employees, or sub-contractor(s) perform one or more of the following functions considered "safety-sensitive", as defined in 49 CFR 655:

a. Operating a revenue service vehicle, including when not in revenue service;

b. Operating a non-revenue service vehicle, when required to be operated by a holder of a

Commercial Driver's License;

c. Controlling dispatch or movement of a revenue service vehicle;

d. Maintaining (including repairs, overhaul and rebuilding) a revenue service vehicle or equipment used in revenue service; or

e. Carrying a firearm for security purposes.

7. Have in place a written program which meets or exceeds the program requirements of the Substance Abuse Prevention on Public Works Projects Act (820 ILCS 265/1 et seq.) to be filed with the Authority and made available to the general public, or have in place a collective bargaining agreement which deals with the subject matter of the Substance Abuse Prevention on Public Works Projects Act (820 ILCS 365/1 et seq.).

8. Will otherwise comply with all drug and alcohol policies set forth in applicable Federal, State and local laws and regulations, including, but not limited to the Drug-Free Workplace Act of 1988, FAR, Illinois Drug Free Workplace Act, 49 CFR 40 and 49 CFR 655 in such version, prior or subsequent to amendment or revision, as is currently enforced or enforceable at and during the execution and performance of this Contract.

In addition to other remedies, the Contractor's failure to comply with any part of the requirements of the Drug-Free Workplace Act of 1988, FAR, Illinois Drug Free Workplace Act, the Illinois Substance Abuse Prevention on Public Works Projects Act, 49 CFR 40 or 49 CFR 655, may render the Contractor subject to any or all of the following: suspension of payments, termination of contract for default, suspension or debarment. By executing this Certification, Contractor agrees that the Authority or its designated representatives may audit Contractor’s records and procedures as necessary to ensure compliance with the foregoing requirements.

DBE – SCHEDULES

INSTRUCTION PAGE

The Authority reserves the right to request additional information or documentation for the purpose of evaluation or clarification. The additional information or clarification must be provided within five (5) business days of request. Failure to respond will result in the bid being deemed non-responsive and will be excluded from further consideration.

1. Do not submit the Instructions Page.

2. Joint ventures that intend to count participation by a DBE as a joint venture partner toward the DBE goal must complete a Schedule B and attach a copy of the joint venture agreement. The DBE joint venture partner(s) must also complete a Schedule C and be included on the Schedule D.

3. All DBE firms included on the Schedule D must complete a Schedule C.

a. Schedule C-1 is to be used for CONSTRUCTION contracts, excluding Design/Build.

4. Identify all DBE firms (1st tier, 2nd tier, etc.) for total DBE utilization on Schedule D. If you need to use additional pages, number pages accordingly.

5. Verify that all Schedules are filled out completely; compliance staff cannot make assumptions for blank spaces.

6. Confirm that the Bidder’s List has been accurately filled out and submitted. Its submission is required for a complete bid.

7. Attach a copy of each DBE’s most recent Letter of Certification and include the date of the DBE’s next Declaration of Eligibility (DOE).

8. When calculating DBE participation percentage, use total bid amount (including overhead and profit) as the denominator.

9. Use the chart below for counting credit based on the work the DBE firm will be performing.

Subcontracting firms performing labor or services on the contract that are not identified in the work categories below will receive 100% credit pending review by the Authority:

DBE WORK CATEGORIES

Work Categories Credit (%)

Joint Venture partner 100% of work performed Manufacturer 100% Trucking 100% Regular Dealer 60% Broker Fees and/or commission

Definitions

Joint venture: An association of a DBE firm and one or more other firms to carry out a single, for-profit business enterprise, for which the parties combine their property, capital, efforts, skills and knowledge, and in which the DBE is responsible for a distinct, clearly defined portion of the work of the contract and whose share in the capital contribution, control, management, risks, and profits of the joint venture are commensurate with its ownership interest.

Manufacturer: A firm that operates or maintains a factory or establishment that produces, on the premises, the materials, supplies, articles, or equipment required under the contract and of the general character described by the specifications.

Trucking: A firm that owns and operates at least one fully licensed, insured, and operational truck. If the DBE leases trucks from a non-DBE firm, credit will only be assessed for the total value of transportation services provided by non-DBE leased trucks equipped with drivers not to exceed the value of transportation services on the contract provided by DBE-owned trucks or leased

ATTACHMENT F

DBE – SCHEDULES

INSTRUCTION PAGE

The Authority reserves the right to request additional information or documentation for the purpose of evaluation or clarification. The additional information or clarification must be provided within five (5) business days of request. Failure to respond will result in the bid being deemed non-responsive and will be excluded from further consideration.

trucks with DBE employee drivers.

Regular Dealer: A firm that owns, operates, or maintains a store, warehouse, or other establishment in which the materials, supplies, articles or equipment of the general character described by the specifications and required under the contract are bought, kept in stock, and regularly sold or leased to the public in the usual course of business.

Broker dealers: A supplier that is neither a manufacturer nor a regular dealer.

Schedule B: Refers to the Affidavit of Joint Venture, which confirms the association of a DBE firm and one or more other firm(s) to carry out a single, for-profit business enterprise.

Schedule C: Refers to the Participant Statement that is completed by the certified DBE firm(s) and Bidder that is included on the Schedule D.

Schedule D: Refers to the DBE Utilization Plan, completed by the Bidder showing the overall breakdown of each DBE firm: their tier, work category and scope of work and the contract dollar amount or their participation percentage of the contract.

AFFIDAVIT OF JOINT VENTURE

The Authority reserves the right to request additional information or documentation for the purpose of evaluation or clarification. The additional information or clarification must be provided within five (5) business days of request. Failure to respond may result in the bid being deemed non-responsive and may be excluded from further consideration.

JOINT VENTURE INFORMATION

a. NAME OF JOINT VENTURE: ________________________________________________________________________

b. ADDRESS: ________________________________________________________________________

c. PHONE NUMBER: ( ) -

JOINT VENTURE PARTNERS INFORMATION (attach additional pages if necessary)

a. FIRM A

i. FIRM NAME: ________________________________________________________________________

ii. ADDRESS: _______________________________________________________________________

iii. PHONE NUMBER: ( ) -

iv. DBE CERTIFIED: YES NO

b. FIRM B

i. FIRM NAME: ________________________________________________________________________

ii. ADDRESS: _______________________________________________________________________________

iii. PHONE NUMBER: ( ) -

iv. DBE CERTIFIED: YES NO

c. FIRM C

i. FIRM NAME: ________________________________________________________________________

ii. ADDRESS: _______________________________________________________________________________

iii. PHONE NUMBER: ( ) -

iv. DBE CERTIFIED: YES NO

ROLE(S) OF DBE FIRM(S) (attach additional pages if necessary)

Describe the role(s) of the DBE firm(s) in the joint venture: __________________________________________________

The Authority reserves the right to request additional information or documentation for the purpose of evaluation or clarification. The additional information or clarification must be provided within five (5) business days of request. Failure to respond may result in the bid being deemed non-responsive and may be excluded from further consideration.

JOINT VENTURE AGREEMENT

Attach a copy of the joint venture agreement.

In order to demonstrate the DBE venture(s)’s share in the ownership, control management responsibilities, risks and profits of the joint venture, the proposed joint venture agreement must include specific details related to: (1) the contributions of capital and equipment; (2) work items to be performed by the DBE's own forces, (3) work items to be performed under the supervision of the DBE venture(s); and (4) the commitment of management, supervisory and operative personnel employed by the DBE to be dedicated to the performance of the project.

DBE CERTIFICATION

Attach a copy of the DBE firm(s) certification letter which shows the date of their next No Change Affidavit (NCA).

JOINT VENTURE OWNERSHIP

a. AGREEMENTS

Attach a copy of all written agreements between the firms concerning this project.

b. PERCENTAGE OF OWNERSHIP

i. DBE OWNERSHIP PERCENTAGE(S): __________%

ii. NON-DBE OWNERSHIP PERCENTAGE(S): __________%

c. PROFIT & LOSS

i. DBE OWNERSHIP PERCENTAGE(S): __________%

ii. NON-DBE OWNERSHIP PERCENTAGE(S): __________%

d. CAPITAL CONTRIBUTIONS (attach additional pages if necessary) Provide a detailed description of the initial and anticipated on-going financial contributions for each firm participating in this joint venture.

e. CONTRIBUTION OF EQUIPMENT (attach additional pages if necessary) Provide a detailed description of equipment to be provided by each firm participating in this joint venture. Description should include the type, quality, and quantities.

The Authority reserves the right to request additional information or documentation for the purpose of evaluation or clarification. The additional information or clarification must be provided within five (5) business days of request. Failure to respond may result in the bid being deemed non-responsive and may be excluded from further consideration.

f. OTHER APPLICABLE OWNERSHIP INTERESTS (attach additional pages if necessary) Provide a detailed description of any other applicable ownership interests including, but not limited to, ownership options and agreements which restrict or limit ownership and/or control.

g. CURRENT CTA CONTRACTS (attach additional pages if necessary) Provide a detailed description of ALL current CTA contracts and completed CTA contracts during the past two (2) years by any of the firms participating in this joint venture.

CONTROL OF THE JOINT VENTURE

Identify name and firm of the individuals who are, or will be, responsible for and have the authority to engage in the following management functions and policy decisions. Indicate any limitations to their authority such as dollar limits and co-signatory requirements.

a. CHECK SIGNING: ___________________________________________________________________________________

b. AUTHORITY TO ENTER INTO CONTRACTS: __________________________________________________________

c. SIGNING, CO-SIGNING, AND/OR COLLATERALIZING LOANS: _________________________________________

d. ACQUISITIONS OF LINE(S) OF CREDIT: ______________________________________________________________

e. ACQUISITION AND INDEMINIFICATION OF PAYMENT AND PERFORMANCE BONDS: __________________

f. NEGOTIATING AND SIGNING LABOR AGREEMENTS: ________________________________________________

The Authority reserves the right to request additional information or documentation for the purpose of evaluation or clarification. The additional information or clarification must be provided within five (5) business days of request. Failure to respond may result in the bid being deemed non-responsive and may be excluded from further consideration.

MANAGEMENT OF CONTRACT PERFORMANCE (Identify name(s) and firm(s) only)

i. SUPERVISION OF FIELD OPERATIONS: __________________________________________________________

ii. MAJOR PURCHASES: ____________________________________________________________________________

iii. ESTIMATING: ___________________________________________________________________________________

iv. ENGINEERING: _________________________________________________________________________________

FINANCIAL CONTROLS OF JOINT VENTURE

a. WHICH INDIVIDUAL(S) AND/OR FIRM(S) WILL BE RESPONSIBLE FOR KEEPING THE BOOKS OF

ACCOUNTS?

b. IDENTIFY THE “MANAGING PARTNER”, IF ANY, AND DESCRIBE THE MEANS AND MEASURE OF THEIR

COMPENSATION:

c. WHAT AUTHORITY DOES EACH FIRM PARTICIPATING IN THIS JOINT VENTURE HAVE TO COMMIT OR OBLIGATE THE OTHER TO INSURANCE AND BONDING COMPANIES, FINANCIAL INSTITUTIONS, SUPPLIES, SUBCONTRACTORS, AND/OR OTHER PARTIES PARTICIPATING IN THE PERFORMANCE OF

THIS CONTRACT OR THE WORK OF THIS PROJECT?

PERSONNEL

Identify the number of personnel (by trade and profession) from each firm needed to perform the joint venture’s work under this contract. Attach additional pages if necessary.

TRADE

FIRM A:

FIRM B:

FIRM C:

The Authority reserves the right to request additional information or documentation for the purpose of evaluation or clarification. The additional information or clarification must be provided within five (5) business days of request. Failure to respond may result in the bid being deemed non-responsive and may be excluded from further consideration.

PROFESSION

FIRM A:

FIRM B:

FIRM C:

PROFESSIONAL

ADMINISTRATIVE

UNSKILLED LABOR

a. ARE ANY PROPOSED JOINT VENUTRE EMPLOYEES CURRENTLY EMPLOYED BY ANY FIRM

PARTICIPATIN IN THIS JOINT VENTURE? YES NO

NO. EMPLOYED BY FIRM A: __________________

NO. EMPLOYED BY FIRM B: __________________

NO. EMPLOYED BY FIRM C: __________________

b. IDENTIFY NAME AND FIRM OF THE INDIVIDUAL WHO WILL BE RESPONSIBLE FOR JOINT VENTURE

HIRING?

ADDITIONAL INFORMATION

Please state any other material facts and additional information pertinent to the control and structure of this joint venture.

The Authority reserves the right to request additional information or documentation for the purpose of evaluation or clarification. The additional information or clarification must be provided within five (5) business days of request. Failure to respond will result in the bid being deemed non-responsive and will be excluded from further consideration.

The undersigned affirm that the foregoing statements are correct and include all material information necessary to identify and explain the terms and operations of our joint venture and the intended participation of each firm in the undertaking. Further, the undersigned covenant and agree, under which work is done for CTA by the firm, to provide to CTA current, complete and accurate information regarding actual joint venture work and the payment therefor, and any proposed changes to any provision of the joint venture, or those of each firm relevant to the joint venture by authorized representatives of CTA or any of its funding agencies.

Any misrepresentation regarding the status of a person or an entity in order to qualify for DBE status may result in conviction for a Class 2 felony, including a penalty for one and a half times the value of the contract. Material misrepresentation on any matter will also be grounds for terminating any contract which may be awarded, and for initiating action under federal or state laws concerning false statements.

NOTE: If, after filing this Schedule B and before the completion of the joint venture's work on the project, there is any change in the information submitted, the joint venture must inform the Director of Diversity Programs directly in writing or through the prime contractor if the joint venture is a subcontractor.

The Contractor certifies to the best of its knowledge and belief that it, its principals and any subcontractors used in the performance of this contract, meet the Authority’s requirements and have not violated any City or sister agency policy, codes, state, federal, or local laws, rules or regulations and have not been subject to any debarment, suspension or other disciplinary action by any government agency. Additionally, if at any time the contractor becomes aware of such information, it must immediately disclose it to the Authority.

Under penalties of perjury as provided by law, the undersigned certifies that the statements set forth in the foregoing DBE Schedule are true and correct.

Signature of Owner, President, or Authorized Agent of Firm A Name of Firm A

Printed Name of Owner, President, or Authorized Agent of Firm A Printed Title

Date Phone

The Authority reserves the right to request additional information or documentation for the purpose of evaluation or clarification. The additional information or clarification must be provided within five (5) business days of request. Failure to respond will result in the bid being deemed non-responsive and will be excluded from further consideration.

The undersigned affirm that the foregoing statements are correct and include all material information necessary to identify and explain the terms and operations of our joint venture and the intended participation of each firm in the undertaking. Further, the undersigned covenant and agree, under which work is done for CTA by the firm, to provide to CTA current, complete and accurate information regarding actual joint venture work and the payment therefor, and any proposed changes to any provision of the joint venture, or those of each firm relevant to the joint venture by authorized representatives of CTA or any of its funding agencies.

Any misrepresentation regarding the status of a person or an entity in order to qualify for DBE status may result in conviction for a Class 2 felony, including a penalty for one and a half times the value of the contract. Material misrepresentation on any matter will also be grounds for terminating any contract which may be awarded, and for initiating action under federal or state laws concerning false statements.

NOTE: If, after filing this Schedule B and before the completion of the joint venture's work on the project, there is any change in the information submitted, the joint venture must inform the Director of Diversity Programs directly in writing or through the prime contractor if the joint venture is a subcontractor.

The Contractor certifies to the best of its knowledge and belief that it, its principals and any subcontractors used in the performance of this contract, meet the Authority’s requirements and have not violated any City or sister agency policy, codes, state, federal, or local laws, rules or regulations and have not been subject to any debarment, suspension or other disciplinary action by any government agency. Additionally, if at any time the contractor becomes aware of such information, it must immediately disclose it to the Authority.

Under penalties of perjury as provided by law, the undersigned certifies that the statements set forth in the foregoing

Signature of Owner, President, or Authorized Agent of Firm B Name of Firm B

Printed Name of Owner, President, or Authorized Agent of Firm B Printed Title

The Authority reserves the right to request additional information or documentation for the purpose of evaluation or clarification. The additional information or clarification must be provided within five (5) business days of request. Failure to respond will result in the bid being deemed non-responsive and will be excluded from further consideration.

The undersigned affirm that the foregoing statements are correct and include all material information necessary to identify and explain the terms and operations of our joint venture and the intended participation of each firm in the undertaking. Further, the undersigned covenant and agree, under which work is done for CTA by the firm, to provide to CTA current, complete and accurate information regarding actual joint venture work and the payment therefor, and any proposed changes to any provision of the joint venture, or those of each firm relevant to the joint venture by authorized representatives of CTA or any of its funding agencies.

Any misrepresentation regarding the status of a person or an entity in order to qualify for DBE status may result in conviction for a Class 2 felony, including a penalty for one and a half times the value of the contract. Material misrepresentation on any matter will also be grounds for terminating any contract which may be awarded, and for initiating action under federal or state laws concerning false statements.

NOTE: If, after filing this Schedule B and before the completion of the joint venture's work on the project, there is any change in the information submitted, the joint venture must inform the Director of Diversity Programs directly in writing or through the prime contractor if the joint venture is a subcontractor.

The Contractor certifies to the best of its knowledge and belief that it, its principals and any subcontractors used in the performance of this contract, meet the Authority’s requirements and have not violated any City or sister agency policy, codes, state, federal, or local laws, rules or regulations and have not been subject to any debarment, suspension or other disciplinary action by any government agency. Additionally, if at any time the contractor becomes aware of such information, it must immediately disclose it to the Authority.

Under penalties of perjury as provided by law, the undersigned certifies that the statements set forth in the foregoing

Signature of Owner, President, or Authorized Agent of Firm C Name of Firm C

Printed Name of Owner, President, or Authorized Agent of Firm C Printed Title

FOR CONSTRUCTION

CONTRACTS ONLY

(NOT INCLUDING

DESIGN/BUILD)

The Authority reserves the right to request additional information or documentation for the purpose of evaluation or clarification. The additional information or clarification must be provided within five (5) business days of request. Failure to respond may result in the bid being deemed non-responsive and may be excluded from further consideration.

DBE - SCHEDULE C-1

Participant Statement

LETTER OF INTENT FROM DBE TO PERFORM AS (WORK CATEGORY):

SUBCONTRACTOR/SUBCONSULTANT (Non-trucking) ___ TRUCKING ___ DISTRIBUTOR____

MANUFACTURER ___ REGULAR DEALER (60%) ___ BROKER DEALER (Identify commission and/or fees) ___

SUBCONTRACTING LEVEL: _________ TIER (i.e. 1st Tier, 2nd Tier, 3rd Tier, etc.)

CONTRACT TITLE: _______________________________________________________________________________

CONTRACT NUMBER: ____________________________________

DBE FIRM: _______________________________________________________________________________

The DBE status of the undersigned is confirmed by the attached Letter of Certification. Date of next DOE: ______________

PRIME CONTRACTOR: ______________________________________________________________________________

DBE SCOPE OF WORK (attach additional pages if necessary): ____________________________________________________

DBE CONTRACT AMOUNT: $_______________________________

DBE SUB-SUBCONTRACTING LEVELS

% of the dollar amount of the DBE's subcontract will be sublet to non-DBE contractors.

% of the dollar amount of the DBE's subcontract will be sublet to DBE contractors.

NOTICE: IF THE DBE WILL NOT BE SUBCONTRACTING ANY OF THE WORK DESCRIBED IN THIS SCHEDULE, A

ZERO (0) MUST BE SHOWN IN EACH BLANK ABOVE.

NOTICE: If ANY dollar amount of the DBE’s scope of work will be sublet, a brief explanation and description of the work to be sublet must be attached to this schedule. The DBE MUST perform at least 30% of its scope of work.

FOR CONSTRUCTION

CONTRACTS ONLY

(NOT INCLUDING

DESIGN/BUILD)

The Authority reserves the right to request additional information or documentation for the purpose of evaluation or clarification. The additional information or clarification must be provided within five (5) business days of request. Failure to respond may result in the bid being deemed non-responsive and may be excluded from further consideration.

DBE - SCHEDULE C-1

Participant Statement

NOTICE: Any misrepresentation regarding the status of a person or an entity in order to qualify for DBE status may result in conviction for a Class 2 felony, including a penalty for one and a half times the value of the contract. Material misrepresentation on any matter will also be grounds for terminating any contract which may be awarded, and for initiating action under federal or state laws concerning false statements.

The undersigned will enter into a formal written agreement for the above work with you as Prime Contractor, conditioned upon your execution of a contract with the Chicago Transit Authority, and will do so within (7) seven calendar days of your receipt of a signed contract from the Chicago Transit Authority or prior to any work being performed by the DBE subcontractor.

The Contractor certifies to the best of its knowledge and belief that it, its principals and any subcontractors used in the performance of this contract, meet the Authority’s requirements, and have not violated any City or sister agency policy, codes, state, federal, or local laws, rules or regulations and have not been subject to any debarment, suspension or other disciplinary action by any government agency. Additionally, if at any time the contractor becomes aware of such information, it must immediately disclose it to the Authority.

Under penalties of perjury as provided by law, the undersigned certifies that the statements set forth in the foregoing

Signature of Owner, President, or Authorized Agent of DBE Name of DBE Firm

Printed Name of Owner, President, or Authorized Agent of DBE Printed Title

Date Phone:

DBE - SCHEDULE D

DBE Utilization Plan

The Authority reserves the right to request additional information or documentation for the purpose of evaluation or clarification. The additional information or clarification must be provided within five (5) business days of request. Failure to respond may result in the bid being deemed non-responsive and may be excluded from further consideration.

CONTRACT TITLE:

CONTRACT NUMBER:

TOTAL BID AMOUNT: ____________________________________

I, acting in my capacity as an officer of the undersigned bidder/proposer (or bidders/proposer, if a joint venture), hereby assure the Chicago Transit Authority that on the above referenced project my company:

Meets or exceeds the DBE goal assessed and has provided documented participation of _____%. Attached are the signed Schedule C required by the Special Conditions assuring that each business will perform a commercially useful function in this work of the contract.

Failed to meet the DBE goal assessed through DBE participation but included good faith effort documentation to meet the goal and provided documented participation of ____%. Attached are the signed Schedule C required by the Special Conditions assuring that each business will perform a commercially useful function in the work of the contract.

DBE FIRM

(If 2nd tier or lower, identify sub-prime)

TIER WORK CATEGORY

(e.g. Regular Dealer)

DESCRIPTION OF WORK TOTAL AMOUNT

OF DBE

CONTRACT

$ 0.00

C25FI103184211R

The Authority reserves the right to request additional information or documentation for the purpose of evaluation or clarification. The additional information or clarification must be provided within five (5) business days of request. Failure to respond may result in the bid being deemed non-responsive and may be excluded from further consideration.

I hereby acknowledge that I have been advised of the following:

Any misrepresentation regarding the status of a person or an entity in order to qualify for DBE status may result in conviction for a Class 2 felony, including a penalty for one and a half times the value of the contract. Material misrepresentation on any matter will also be grounds for terminating any contract which may be awarded, and for initiating action under federal or state laws concerning false statements.

To the best of my knowledge, information and belief, the facts and representations contained in the aforementioned attached Schedules are true and no material facts have been omitted.

The undersigned will enter into a formal agreement with all listed DBE firms for work as indicated by this Schedule D and accompanying Schedule Cs and will enter into such agreements within (7) seven calendar days after receipt of the contract executed by the Chicago Transit Authority or prior to any work being performed by the DBE subcontractor(s). In the event the Prime contractor cannot meet said seven (7) day schedule, it must provide a written explanation for the delay and an estimate date by which the written agreement will be completed.

If awarded a contract, I agree to promptly and directly provide the CTA on an ongoing basis, current, complete and accurate information regarding (1) work performed on the project; (2) payments; and (3) proposed changes, if any, to the foregoing arrangements.

Further, I shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. I shall carry out applicable requirements of 49 CFR Part 26 in the award and administration of DOT-assisted contracts. Failure by me to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy as the CTA deems appropriate.

The Contractor certifies to the best of its knowledge and belief that it, its principals and any subcontractors used in the performance of this contract, meet the Authority’s requirements and have not violated any City or sister agency policy, codes, state, federal, or local laws, rules or regulations and have not been subject to any debarment, suspension or other disciplinary action by any government agency. Additionally, if at any time the contractor becomes aware of such information, it must immediately disclose it to the Authority.

Under penalties of perjury as provided by law, the undersigned certifies that the statements set forth in the foregoing DBE Schedule are true and correct.

Signature of Owner, President, or Authorized Agent of Prime Contractor Name of Prime Contractor

Printed Name of Owner, President, or Authorized Agent of Prime Contractor Printed Title

The Authority reserves the right to request additional information or documentation for the purpose of evaluation or clarification. The additional information or clarification must be provided within five (5) business days of request. Failure to respond may result in the bid being deemed non-responsive and may be excluded from further consideration.

DBE FIRM

(If 2nd tier or lower, identify sub-prime)

TIER WORK

CATEGORY

(e.g. Regular Dealer)

DESCRIPTION OF WORK TOTAL AMOUNT

OF DBE

CONTRACT:

TECHNICAL ASSISTANCE AGENCIES

The following agencies are available to prospective bidders for assistance.

CTA Technical Assistance Agencies Revised 06.10.2019 Page 1 of 5

African American Contractors Association

(AACA)

PO Box 19670 Chicago IL 60690 Contact: Omar Shareef Phone: (312) 915-5960 Email: aacanatlassoc@gmail.com Website: : www.aacanatl.org Services

Business Development Technical Assistance

Arquitectos

Loop Station, PO Box 2587 Chicago IL 60690 Contact: Jose Espejo Phone: (773) 716-6042 Email: arqincchicago@gmail.com

Website: www.arquitectoschicago.org Services

Business Development Technical Assistance

Association of Asian American Construction Enterprises (AACE)

712 W. Root St Chicago, IL 60609 Contact: Christine Chung Phone: (312) 595-2010 Email: admin@aacechicago.com

Website: www.aacechicago.com Services

Business Development Technical Assistance

Austin African American…