7-5.0 Federal Funding Supplement 2 27 25 Clean.pdf

Last Revised: __________ Page 1 of 43

FEDERAL FUNDING

SUPPLEMENT

FOR ALL

FEDERALLY FUNDED

PROCUREMENTS

South Florida Regional Transportation Authority (SFRTA)

PROCUREMENT DEPARTMENT

801 NW 33rd STREET POMPANO BEACH, FL 33064

LAST REVISED: FEBRUARY 27, 2025

http://www.fta.dot.gov/12831_6195.html

Table of Contents

APPLICABLE PROVISIONS

REQUIRED CERTIFICATIONS/AFFIDAVITS

CONTRACT SUBJECT TO FEDERAL FINANCIAL ASSISTANCE/APPLICATION OF PROVISIONS AND CLAUSES

1. NO FEDERAL GOVERNMENT OBLIGATIONS TO THIRD PARTIES INCLUDING THE

CONTRACTOR AND ITS SUBCONTRACTORS

2. FALSE OR FRAUDULENT STATEMENTS OR CLAIMS - CIVIL AND CRIMINAL FRAUD

3. ACCESS TO THIRD PARTY CONTRACT RECORDS AND SITES OF PERFORMANCE

4. CHANGES TO FEDERAL REQUIREMENTS

5. CIVIL RIGHTS (TITLE VI, ADA, EEO) AND PROMOTING FREE SPEECH AND RELIGIOUS

LIBERTY

6. DISADVANTAGED BUSINESS ENTERPRISES (DBEs) [Note: Exhibits 2, 3 and 5 and their associated requirements only apply if there is a specific DBE goal associated with a project.]

7. INCORPORATION OF FTA TERMS

8. ENERGY CONSERVATION

9. FEDERAL TAX LIABILITY/FELONY CRIMINAL VIOLATION

10. VETERANS EMPLOYMENT. As provided by 49 U.S.C. § 5325(k)

11. TERMINATION (Appendix II to 2 C.F.R. Part 200)

12. DEBARMENT AND SUSPENSION

13. RESOLUTION OF DISPUTES, BREACHES, OR OTHER LITIGATION

14. BUY AMERICA (Iron, Steel, and Manufactured Products, including Rolling Stock)

15. BUILD AMERICA, BUY AMERICA ACT (For Construction Materials)

16. LIMITATION ON ROLLING STOCK PROCUREMENTS

17. LOBBYING

18. CLEAN AIR

19. CLEAN WATER

20. CARGO PREFERENCE (For, Rolling Stock, Construction and Materials/Supplies)

21. FLY AMERICA

22. FTA - CONSTRUCTION EMPLOYEE PROTECTIONS – DAVIS–BACON ACT (40 U.S.C. §§

3141-3144 and 3146-3148 and 49 C.F.R. Part 5)

23. CONSTRUCTION EMPLOYEE PROTECTIONS – COPELAND ANTI-KICKBACK ACT (for the actual construction, alternation and/or repair, including painting and decorating of a public building or public work)

24. BONDING REQUIREMENTS (2 CFR §200.326)

25. CONTRACT WORK HOURS & SAFETY STANDARDS ACT

26. SEISMIC SAFETY

27. NONCONSTRUCTION EMPLOYEE PROTECTION – CONTRACT WORK HOURS & SAFETY

STANDARDS ACT

28. TRANSIT EMPLOYEE PROTECTIVE ARRANGEMENTS

29. CHARTER SERVICE OPERATIONS

30. SCHOOL BUS OPERATIONS

31. DRUG USE AND TESTING

32. ALCOHOL MISUSE AND TESTING

33. PATENT AND RIGHTS IN DATA

34. SPECIAL NOTIFICATION REQUIREMENT FOR STATES

35. RECYCLED PRODUCTS

36. CONFORMANCE WITH NATIONAL ITS ARCHITECTURE

37. ADA ACCESS

38. BUS TESTING

39. PRE-AWARD AND POST-DELIVERY AUDIT REQUIREMENTS

40. TVM CERTIFICATION

41. PROHIBITION ON CERTAIN TELECOMMUNICATIONS AND VIDEO SURVEILLANCE

SERVICES OR EQUIPMENT

42. SAFE OPERATION OF MOTOR VEHICLES

APPLICABLE PROVISIONS

= Applicable to this solicitation and/or purchase

1. ☒ NO FEDERAL GOVERNMENT OBLIGATIONS TO THIRD PARTIES INCLUDING

THE CONTRACTOR AND ITS SUBCONTRACTORS

2. ☒ FALSE OR FRAUDULENT STATEMENTS OR CLAIMS - CIVIL AND CRIMINAL

FRAUD

3. ☒ ACCESS TO THIRD PARTY CONTRACT RECORDS AND SITES OF

PERFORMANCE

4. ☒ CHANGES TO FEDERAL REQUIREMENTS

5. ☒ CIVIL RIGHTS (TITLE VI, ADA, EEO) AND PROMOTING FREE SPEECH AND

RELIGIOUS LIBERTY

6. ☒ DISADVANTAGED BUSINESS ENTERPRISES (DBEs)

7. ☒ INCORPORATION OF FTA TERMS

8. ☒ ENERGY CONSERVATION

9. ☒ FEDERAL TAX LIABILITY/FELONY CRIMINAL VIOLATION

10. ☐ VETERANS EMPLOYMENT. As provided by 49 U.S.C. § 5325(k)

11. ☒ TERMINATION (Appendix II to 49 C.F.R. Part 200)

12. ☒ DEBARMENT AND SUSPENSION

13. ☒ RESOLUTION OF DISPUTES, BREACHES, OR OTHER LITIGATION

14. ☐ BUY AMERICA (Iron, Steel, Manufactured Products)

15. ☐ BUY AMERICA, BUILD AMERICA CERTIFICATION (Construction Materials)

16. ☐ NDAA CERTIFICATION (Rolling Stock)

17. ☒ LOBBYING

18. ☒ CLEAN AIR

19. ☒ CLEAN WATER

20. ☐ CARGO PREFERENCE (For, Rolling Stock, Construction and Materials/Supplies)

21. ☐ FLY AMERICA

22. ☐ FTA - CONSTRUCTION EMPLOYEE PROTECTIONS – DAVIS–BACON ACT (40

U.S.C. §§ 3141-3144 and 3146-3148 and 49 C.F.R. Part 5)

23. ☐ CONSTRUCTION EMPLOYEE PROTECTIONS – COPELAND ANTI-KICKBACK

ACT (for the actual construction, alternation and/or repair, including painting and decorating of a public building or public work)

24. ☐ BONDING REQUIREMENTS (2 CFR §200.325)

25. ☐ CONTRACT WORK HOURS & SAFETY STANDARDS ACT

26. ☐ SEISMIC SAFETY

27. ☐ NONCONSTRUCTION EMPLOYEE PROTECTION – CONTRACT WORK HOURS &

SAFETY STANDARDS ACT

28. ☐ TRANSIT EMPLOYEE PROTECTIVE ARRANGEMENTS

29. ☐ CHARTER SERVICE OPERATIONS

30. ☐ SCHOOL BUS OPERATIONS

31. ☐ DRUG USE AND TESTING

32. ☐ ALCOHOL MISUSE AND TESTING

33. ☐ PATENT AND RIGHTS IN DATA

34. ☐ SPECIAL NOTIFICATION REQUIREMENT FOR STATES (ONLY APPLIES IF

STATE REQUIRES THIS - SEE NOTE TO PROCUREMENT UNDER THIS

PROVISION)

35. ☐ RECYCLED PRODUCTS

36. ☐ CONFORMANCE WITH NATIONAL ITS ARCHITECTURE

37. ☐ ADA ACCESS

38. ☐ BUS TESTING

39. ☐ PRE-AWARD AND POST-DELIVERY AUDIT REQUIREMENTS

40. ☐ TVM CERTIFICATION

41. ☒ PROHIBITION ON CERTAIN TELECOMMUNICATIONS & VIDEO SURVEILLANCE

SERVICES OR EQUIPMENT

42. ☒ SAFE OPERATION OF MOTOR VEHICLES

REQUIRED CERTIFICATIONS/AFFIDAVITS

= Applicable to this solicitation and/or purchase

☒EXHIBIT 1 – Schedule of Subcontractor Participation ☐EXHIBIT 2 - Intent to Perform as a DBE Subcontractor and Proposer/Bidder/Offeror Declaration ☐EXHIBIT 3 – DBE Commitment Letter ☒EXHIBIT 4 – Proposer’s/Bidder’s/Offeror’s List of Subcontractors/Subconsultants/Suppliers ☐EXHIBIT 5 – Request for DBE Good Faith Efforts Determination ☒EXHIBIT 6 - Monthly Subcontractor Utilization Report ☒EXHIBIT 7 - Certificate of Disbursement of Previous Periodic Payment to Subcontractors ☒EXHIBIT 8 - Federal Tax Liability and Recent Felony Convictions Certification ☒EXHIBIT 9 - Debarment & Suspension (Nonprocurement) Certification ☐EXHIBIT 10 - Buy America Certification (Iron, Steel, Manufactured Products) ☐EXHIBIT 11 – Buy America, Build America Certification (Construction Materials) ☐EXHIBIT 12 – NDAA Certification (Rolling Stock) ☐EXHIBIT 13 – Payment Application Form (Buy America/Buy America, Build America) ☒EXHIBIT 14 - Restrictions on Lobbying and Non-Collusion Affidavit/Certification ☐EXHIBIT 15 – Seismic Safety Certification ☐EXHIBIT 16 - Transit Vehicle Manufacturer (TVM) Certification of Compliance

All of the above referenced Exhibits are attached hereto and made a part hereof this Federal Funding Supplement.

References in this Federal Funding Supplement or in any of the Exhibits to “Bidders” or “Proposers” shall also mean the entity that enters into the Agreement with SFRTA. References in this Federal Supplement and any Exhibits to “Contractor” shall also mean “Consultant” as applicable.

References herein to “subcontractors” shall mean any subcontractors hired by the Contractor to perform Work related to this Contract regardless of tier. References herein to “contracting officer” shall mean SFRTA’s “Chief Contracting Officer.” All other definitions of the Contract are incorporated by reference.

Should there be a conflict between the definitions in this Federal Funding Supplement and the other Contract Documents, the definitions of this Federal Funding Supplement shall govern. In addition, should there be a conflict between the General Terms and Conditions and this Federal Funding Supplement, the terms of the Federal Funding Supplement shall control.

Failure by the Contractor to provide the properly completed and fully executed applicable certifications/affidavits required by this Federal Funding Supplement may, at SFRTA’s sole discretion, result in the Bid or Proposal being deemed non-responsive or the Offer rejected.

CONTRACT SUBJECT TO FEDERAL FINANCIAL ASSISTANCE/APPLICATION OF

PROVISIONS AND CLAUSES

This Contract/Project is funded in whole or in part by grants from the Federal Transit Administration (FTA) of the United States Department of Transportation. The award of any contract is subject to the requirements of financial assistance contracts between the South Florida Regional Transportation Authority (hereinafter referred to as “SFRTA”) and the U.S. Department of Transportation requiring compliance with purchasing procedures and standards as set forth in various federal statutes and regulations including 49 CFR Part 18, and the FTA Circular 4220.1G. The Contractor/Proposer/Bidder (may also be referred to herein as only “Contractor” unless expressly indicated otherwise) is required to comply with all terms and conditions prescribed for third-party contracts by FTA. The Contractor is responsible for ensuring its compliance with all applicable FTA requirements. Additionally, the Contractor is responsible for ensuring that subcontractors, at as many tiers of the Project as required, perform in accordance with the terms, conditions and specifications of the Contract, including all applicable FTA requirements. Upon request of SFRTA or FTA, the Contractor shall provide evidence of the steps it has taken to ensure its compliance with the FTA requirements, as well as evidence of the steps it has taken to ensure subcontractor performance, and/or submit evidence of each subcontractor’s compliance at all tiers. The following provisions and required Contract provisions shall be incorporated by reference in the Contract. These provisions are in addition to other General Terms and Conditions, Special Terms and Conditions, Solicitation Documents and Bid or Proposal Forms which may also be incorporated by reference in any resulting Contract. Some provisions require the Proposer, Bidder or Contractor to execute and submit certain required certifications with the Proposal, Bid or Agreement, which are attached to this Federal Funding Supplement. Failure to execute and submit required certifications with the Proposal, Bid or Contract Documents may render a Proposal or Bid non-responsive or an Agreement null and void. SFRTA has provided guidance to the Contractor by indicating applicable provisions and certifications in this Federal Funding Supplement. However, SFRTA shall not be liable to the Contractor whatsoever for any mistakes or errors in determining the application of the provisions or certifications to the Agreement.

PROVISIONS 1 THROUGH 9 APPLY TO ALL CONTRACTS (see also Provisions 41 and 42)

1. NO FEDERAL GOVERNMENT OBLIGATIONS TO THIRD PARTIES INCLUDING THE

CONTRACTOR AND ITS SUBCONTRACTORS

A. SFRTA and Contractor acknowledge and agree that, notwithstanding any concurrence by the Federal Government in or approval of the solicitation or award of the underlying Contract, absent the express written consent by the Federal Government, the Federal Government is not a party to this Contract and shall not be subject to any obligations or liabilities to SFRTA, Contractor, or any other party (whether or not a party to that Contract) pertaining to any matter resulting from the underlying Contract.

B. Contractor agrees to include the above clause in each subcontract financed in whole or in part with Federal assistance provided by FTA. It is further agreed that the clause shall not be modified, except to identify the subcontractor who will be subject to its provisions.

2. FALSE OR FRAUDULENT STATEMENTS OR CLAIMS - CIVIL AND CRIMINAL FRAUD

A. Contractor acknowledges that the provisions of the Program Fraud Civil Remedies Act of 1986, as amended, 31 U.S.C. § 3801 et seq. and U.S. DOT regulations, "Program Fraud Civil Remedies," 49 CFR Part 31, apply to its actions pertaining to this Project. Upon execution or performance of the underlying Contract, Contractor certifies or affirms the truthfulness and accuracy of any statement it has made, it makes, it may make, or causes to be made, pertaining to the underlying Contract or the FTA assisted project for which this Contract work is being performed. In addition to other penalties that may be applicable, Contractor further acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification, the Federal Government reserves the right to impose the penalties of the Program Fraud Civil Remedies Act of 1986 on Contractor to the extent the Federal Government deems appropriate.

B. Contractor also acknowledges that if it makes, or causes to be made, a false, fictitious, or fraudulent claim, statement, submission, or certification to the Federal Government under a contract connected with a project that is financed in whole or in part with Federal assistance originally awarded by FTA under the authority of 49 U.S.C. § 5307, the Government reserves the right to impose the penalties of 18 U.S.C. § 1001 and 49 U.S.C. § 5307(n)(1) on Contractor, to the extent the Federal Government deems appropriate.

C. Contractor agrees to include the above two clauses in each subcontract financed in whole or in part with Federal assistance provided by FTA. It is further agreed that the clauses shall not be modified, except to identify the subcontractor who will be subject to the provisions.

3. ACCESS TO THIRD PARTY CONTRACT RECORDS AND SITES OF PERFORMANCE

A. For a period of three years following Contract closing, the Contractor shall maintain, preserve and make available to SFRTA, the FTA Administrator, the Comptroller General of the United States, and any of their authorized representatives, access at all reasonable times, complete and readily accessible, all books, records, accounts, reports, papers, including but not limited to, data, documents, reports, statistics, subagreements, leases, third party contracts, arrangements, other third party agreements of any types and supporting materials of Contractor, which are directly pertinent to this Contract for the purposes of making audits, examinations, excerpts and transcriptions.

B. Contractor also agrees, pursuant to 49 CFR 633.17, to provide the FTA Administrator or their authorized representatives, including any project management oversight contractor, access to Contractor's records, information and construct ion sites (including all Work and materials) pertaining to a major capital project, defined at 49 U.S.C. § 5302(a)1, which is receiving federal financial assistance through the programs described at 49 U.S.C. §§ 5307, 5309 or 5311.

C. The Contractor agrees to comply with the record retention requirements in accordance with 2 C.F.R.

§ 200.334. The Contractor agrees to maintain, complete and readily accessible, all books, records, accounts, reports, including but not limited to, data, documents, reports, statistics, subagreements, leases, third party contracts, arrangements, other third party agreements of any types and supporting materials for a period of not less than three (3) years after the date of termination or expiration of this Contract, except in the event of litigation or settlement of claims arising from the performance of this Contract or in the event the Contractor is informed in writing to extend the three (3) year period, in which case the Contractor agrees to maintain same until SFRTA, the FTA Administrator, the US Comptroller General, or any of their duly authorized representatives, have disposed of all such litigation, appeals, claims or exceptions related thereto. Reference 49 CFR 18.39(i)(11).

D. The Contractor shall maintain, and SFRTA shall have the right to examine and audit, all records and other evidence sufficient to reflect properly all prices, costs or rates negotiated and invoiced in performance of this Contract. This right of examination shall include inspection at all reasonable times of the Contractor’s offices engaged in performing the Contract.

E. If this Contract is completely or partially terminated, the Contractor shall make available the records relating to the Work terminated until three years after any resulting final termination settlement. The Contractor shall make available records relating to appeals under the Claims and Disputes clause in the General Terms and Conditions or to litigation or the settlement of claims arising under or relating to this Contract until such appeals, litigation, or claims are finally resolved.

F. This provision entitled “Access to Third Party Contract Records and Sites of Performance” applies with equal force and effect to any subcontractors at any tier hired by the Contractor to perform Work under this Contract. The Contractor shall insert this provision in all subcontracts at all tiers under this Contract and require subcontractor compliance therewith.

4. CHANGES TO FEDERAL REQUIREMENTS

Contractor shall at all times comply with all applicable FTA regulations, policies, procedures and directives, including, without limitation, those listed herein or included in the current Master Agreement between SFRTA and FTA, as they may be amended or promulgated from time to time during the term of this Contract (“Federal Requirements”). Contractor's failure to so comply shall constitute a material breach of this Contract.

Contractor may contact either SFRTA or FTA for a copy of the current FTA Master Agreement or access it from FTA’s website (www.transit.dot.gov). The Federal Requirements and any changes to the Federal Requirements during the term of the Agreement are incorporated herein by reference and made a part hereof.

The Federal Requirements and any changes to them shall apply to both the Contractor and all subcontractors.

5. CIVIL RIGHTS (TITLE VI, ADA, EEO) AND PROMOTING FREE SPEECH AND RELIGIOUS

LIBERTY

The following requirements apply to the Contract (except provision C(4) which applies only to construction projects):

A. Nondiscrimination- In accordance with Title VI of the Civil Rights Act, as amended, 42 U.S.C. § 2000d, section 303 of the Age Discrimination Act of 1975, as amended, 42 U.S.C. § 6102, section 202 of the Americans with Disabilities Act of 1990, 42 U.S.C. § 12132, Federal transit law at 49 U.S.C. § 5332, and FTA Circular 4704. Contractor agrees that it will not discriminate against any employee or applicant for employment because of race, color, religion, creed, national origin, sex (including sexual orientation and gender identify), age, or disability. In addition, Contractor agrees to comply with applicable Federal implementing regulations and other implementing requirements FTA may issue.

B. Promoting Free Speech and Religious Liberty. The Contractor shall ensure it complies with all provisions of the U.S. Constitution, Federal Law, and statutory and public policy requirements: including, but not limited to, those protecting free speech, religious liberty, public welfare, the environment, and prohibiting discrimination.

C. Equal Employment Opportunity – The following equal employment opportunity requirements apply to the underlying Contract:

1. Race, Color, Religion, Creed, National Origin, Sex- In accordance with Title VII of the Civil Rights

Act, as amended, 42 U.S.C. § 2000e, and Federal transit laws at 49 U.S.C. § 5332, Contractor agrees to comply with all applicable equal employment opportunity requirements of U.S. Department of Labor (U.S. DOL) regulations, 42 U.S.C. § 2000e note), and with any applicable Federal statutes, executive orders, regulations, and Federal policies that may in the future affect activities undertaken in the course of this Contract. Contractor agrees to take affirmative action to ensure that applicants http://www.transit.dot.gov/ are employed, and that employees are treated during employment, without regard to their race, color, creed, national origin, sex, or age. Such action shall include, but not be limited to, the following:

employment, upgrading, demotion or transfer, recruitment or recruitment advertising, layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. In addition, Contractor agrees to comply with any implementing requirements FTA may issue.

2. Age- In accordance with section 4 of the Age Discrimination in Employment Act of 1967, as amended, 29 U.S.C. § 623 and Federal transit law at 49 U.S.C. § 5332, Contractor agrees to refrain from discrimination against present and prospective employees for reason of age. In addition, Contractor agrees to comply with any implementing requirements FTA may issue.

3. Disabilities- In accordance with Title 1 of the Americans with Disabilities Act of 1990, as amended, 42 U.S.C. §§ 12101, et seq. and section 102 of the Americans with Disabilities Act, as amended, 42 U.S.C. § 12112, Contractor agrees that it will comply with the requirements of U.S. Equal Employment Opportunity Commission, "Regulations to Implement the Equal Employment Provisions of the Americans with Disabilities Act," 29 CFR Part 1630, pertaining to employment of persons with disabilities. In addition, Contractor agrees to comply with any implementing requirements FTA may issue.

4. The following EEO clauses apply to all Agreements for construction (41 C.F.R. Chapter 60).

During the performance of this Agreement the Contractor agrees as follows:

a) The Contractor will not discriminate against any employee or applicant for employment because of race, color, religion, sex, sexual orientation, gender identity, or national origin.

The Contractor will take affirmative action to ensure that applicants are employed, and that employees are treated during employment without regard to their race, color, religion, sex, sexual orientation, gender identity, or national origin. Such action shall include, but not be limited to the following:

b) Employment, upgrading, demotion, or transfer; recruitment or recruitment advertising; layoff or termination; rates of pay or other forms of compensation; and selection for training, including apprenticeship. The Contractor agrees to post in conspicuous places, available to employees and applicants for employment, notices to be provided setting forth the provisions of this nondiscrimination clause.

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

d) The Contractor will not discharge or in any other manner discriminate against any employee or applicant for employment because such employee or applicant has inquired about, discussed, or disclosed the compensation of the employee or applicant or another employee or applicant. 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https://www.law.cornell.edu/definitions/index.php?width=840&height=800&iframe=true&def_id=1341967f12aae2ba4918fc144e8e337a&term_occur=999&term_src=Title:41:Subtitle:B:Chapter:60:Part:60-1:Subpart:A:60-1.4 an employee who has access to the compensation information of other employees or applicants as a part of such employee's essential job functions discloses the compensation of such other employees or applicants to individuals who do not otherwise have access to such information, unless such disclosure is in response to a formal complaint or charge, in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or is consistent with the Contractor's legal duty to furnish information.

e) The Contractor will send to each labor union or representative of workers with which it has a collective bargaining agreement or other contract or understanding, a notice to be provided advising the said labor union or workers' representatives of the Contractor's commitments under this section, and shall post copies of the notice in conspicuous places available to employees and applicants for employment.

f) The Contractor will comply with all provisions of Executive Order 11246 of September 24, 1965, and of the rules, regulations, and relevant orders of the Secretary of Labor.

g) The Contractor will furnish all information and reports required by Executive Order 11246 of September 24, 1965, and by rules, regulations, and orders of the Secretary of Labor, or pursuant thereto, and will permit access to its books, records, and accounts by the administering agency and the Secretary of Labor for purposes of investigation to ascertain compliance with such rules, regulations, and orders.

h) In the event of the Contractor's noncompliance with the nondiscrimination clauses of this Agreement or with any of the said rules, regulations, or orders, this Agreement may be canceled, terminated, or suspended in whole or in part and the Contractor may be declared ineligible for further Government contracts or federally assisted construction contracts in accordance with procedures authorized in Executive Order 11246 of September 24, 1965, and such other sanctions may be imposed and remedies invoked as provided in Executive Order 11246 of September 24, 1965, or by rule, regulation, or order of the Secretary of Labor, or as otherwise provided by law.

i) The Contractor will include the portion of the sentence immediately preceding paragraph (1) and the provisions of paragraphs (a) through (f) in every subcontract or purchase order unless exempted by rules, regulations, or orders of the Secretary of Labor issued pursuant to section 204 of Executive Order 11246 of September 24, 1965, so that such provisions will be binding upon each subcontractor or vendor. The Contractor will take such action with respect to any subcontract or purchase order as the administering agency may direct as a means of enforcing such provisions, including sanctions for noncompliance:

Provided, however, that in the event the Contractor becomes involved in, or is threatened with, litigation with a subcontractor or vendor as a result of such direction by the administering agency, the Contractor may request the United States to enter into such litigation to protect the interests of the United States.

D. The Contractor shall:

1. Prohibit discrimination based on race, color, religion, national origin, sex (including gender identity), https://www.law.cornell.edu/definitions/index.php?width=840&height=800&iframe=true&def_id=0f7d242f378d28d188cc19f2db0b1d04&term_occur=999&term_src=Title:41:Subtitle:B:Chapter:60:Part:60-1:Subpart:A:60-1.4 https://www.law.cornell.edu/definitions/index.php?width=840&height=800&iframe=true&def_id=032c994483f5d63a2bfcb34d7038870c&term_occur=999&term_src=Title:41:Subtitle:B:Chapter:60:Part:60-1:Subpart:A:60-1.4 https://www.law.cornell.edu/definitions/index.php?width=840&height=800&iframe=true&def_id=0f7d242f378d28d188cc19f2db0b1d04&term_occur=999&term_src=Title:41:Subtitle:B:Chapter:60:Part:60-1:Subpart:A:60-1.4 https://www.law.cornell.edu/definitions/index.php?width=840&height=800&iframe=true&def_id=1341967f12aae2ba4918fc144e8e337a&term_occur=999&term_src=Title:41:Subtitle:B:Chapter:60:Part:60-1:Subpart:A:60-1.4 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https://www.law.cornell.edu/definitions/index.php?width=840&height=800&iframe=true&def_id=00765a738c1b32d1d70c41aaac882962&term_occur=999&term_src=Title:41:Subtitle:B:Chapter:60:Part:60-1:Subpart:A:60-1.4 https://www.law.cornell.edu/definitions/index.php?width=840&height=800&iframe=true&def_id=11ed7b108f4f698848db076411872c73&term_occur=999&term_src=Title:41:Subtitle:B:Chapter:60:Part:60-1:Subpart:A:60-1.4 https://www.law.cornell.edu/definitions/index.php?width=840&height=800&iframe=true&def_id=85800febb52c67ee7756ada191db0fae&term_occur=999&term_src=Title:41:Subtitle:B:Chapter:60:Part:60-1:Subpart:A:60-1.4 https://www.law.cornell.edu/definitions/index.php?width=840&height=800&iframe=true&def_id=85800febb52c67ee7756ada191db0fae&term_occur=999&term_src=Title:41:Subtitle:B:Chapter:60:Part:60-1:Subpart:A:60-1.4 disability, or age.

2. Prohibit the:

a) Exclusion from participation in employment or a business opportunity for reasons identified in 49 U.S.C. § 5332;

b) Denial of program benefits in employment or a business opportunity identified in 49 U.S.C.

§ 5332; or

c) Discrimination identified in 49 U.S.C. § 5332, including discrimination in employment or a business opportunity identified in 49 U.S.C. § 5332.

d) Follow the most recent edition of FTA Circular 4702.1, “Title VI Requirements and Guidelines for Federal Transit Administration Recipients,” to the extent consistent with applicable federal laws, regulations, requirements, and guidance; but FTA does not require an Indian Tribe to comply with FTA program- specific guidelines for Title VI when administering its Underlying Agreement supported with federal assistance under the Tribal Transit Program.

E. Contractor agrees to include these requirements in each subcontract financed in whole or in part with Federal assistance provided by FTA, modified only if necessary to identify the affected parties.

6. DISADVANTAGED BUSINESS ENTERPRISES (DBEs) [Note: Exhibits 2, 3 and 5 and their associated requirements only apply if there is a specific DBE goal associated with a project.]

A. This Contract is subject to the requirements of Title 49, Code of Federal Regulations, Part 26, Participation by Disadvantaged Business Enterprises (DBEs) in Department of Transportation Financial Assistance Programs. The objectives of 49 C.F.R. Part 26 are:

• To ensure nondiscrimination in the award and administration of U.S. DOT-assisted contracts;

• To create a level playing field on which DBEs can compete fairly for U.S. DOT-assisted contracts;

• To ensure that the DBE program is narrowly tailored in accordance with applicable law;

• To ensure that only firms that fully meet 49 C.F.R Part 26’s eligibility standards are permitted to participate as DBEs;

• To help remove barriers to the participation of DBEs in U.S. DOT-assisted contracts;

• To promote the use of DBEs in all types of federally-assisted contracts and procurement activities;

• To assist the development of firms that can compete successfully in the marketplace outside the DBE program; and

• To provide appropriate flexibility to recipients of Federal financial assistance in establishing and providing opportunities for DBEs.

B. This Contract is subject to the requirements of Title 49, Code of Federal Regulations, Part 26, Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs. Therefore, the Contractor must satisfy the requirements for DBE participation as set forth herein. These requirements are in addition to all other equal opportunity employment requirements of this Contract. SFRTA shall make all determinations with regard to whether or not a Contractor/Proposer/Bidder/Offeror is in compliance with the requirements stated herein. In assessing compliance, SFRTA may consider during its review of the Proposer’s/ Bidder’s/Offeror’s submission package, the Proposer’s/Bidder’s/Offeror’s documented history of non-compliance with DBE requirements on previous contracts with SFRTA.

Each Proposer/Bidder/Offeror shall submit the following with its proposal/bid/offer:

• The Proposer/Bidder/Offeror shall submit separate Schedule of Subcontractor

Participation forms showing DBE and non-DBE subcontractors that they intend to use during the Project (see Exhibit 1). No work to be performed by a DBE shall be included on Exhibit 1 that the Proposer/Bidder/Offeror has reason to believe the listed DBE will subcontract, at any tier, to other than another DBE.

• The Proposer/Bidder/Offeror shall submit the Intent To Perform as a Subcontractor and Proposer/Bidder/Offeror Declaration form for each proposed DBE Subcontractor (see Exhibit 2) which shall constitute a representation by the Proposer/Bidder/Offeror to SFRTA that it believes such firm is ready, willing, and able to perform the work indicated.

This form must be filled out by all DBE subcontracting firms proposed to work on the Project. Each participating DBE firm must have a current valid DBE certification which shall also be attached to this form or provide justification as to how the DBE certification will be obtained prior to award of the Contract. It shall be at SFRTA’s sole discretion to determine if the provided information supports the DBE’s assertion that the DBE certification will be obtained prior to award. In the same form (Exhibit 2), the Proposer/Bidder/Offeror also commits that if it is awarded the Contract, it will enter into a subcontract with such DBE for the work described at the approximate price set forth in the same form (Exhibit 2). If a Proposer/Bidder/Offeror is a DBE and lists itself on the same form (Exhibit 2), it is required to perform the work indicated with its own work force.

If the Proposer/Proposer/Bidder/Offeror is not itself a DBE, nor has plans to utilize an authorized DBE, the Proposer/Proposer/Bidder/Offeror shall write "NO DBEs" on Exhibit 2 and submit the form with its proposal/bid/offer.

• If SFRTA establishes a specific DBE goal for a project (“Contract DBE Goal”), the

Proposer/Bidder/Offeror shall submit the DBE Commitment Letter (Exhibit 3) that certifies compliance with either the Contract DBE Goal for the Project set by SFRTA in the solicitation documents or the Goal of Record which is defined as a DBE participation percentage higher than the Contract DBE Goal than the Contract DBE Goal which the Proposer/Bidder/Offeror certifies it shall satisfy for the Project, as substantiated by the other required exhibits submitted with the proposal/bid/offer.

• The Proposer/Bidder/Offeror shall submit the Proposer’s/Bidder’s/Offeror’s List of Subcontractors/Subconsultants/Suppliers (see Exhibit 4).

• If a Proposer/Bidder/Offeror does not meet SFRTA’s Contract DBE Goal, the Request for DBE Good Faith Efforts Determination (Exhibit 5) should also be submitted when the proposal/bid/offer is due. The submission of this information is considered an issue of responsibility, and SFRTA may not award a Contract to any Proposer/Bidder/Offeror who has not supplied this documentation.

Following submittal of the proposal/bid/offer:

• If the DBE Subcontractor participation changes prior to award of the Contract, the Proposer/Bidder/Offeror will be required to immediately notify SFRTA of the changed amount and the reason(s) for the change.

• If awarded the Contract, the successful Proposer/Bidder/Offeror may not deviate from the DBE Schedule of Subcontractor Participation submitted with the proposal/bid/offer. Any subsequent changes and/or substitutions of DBE firms will require review and written, prior approval by

SFRTA.

• Except as authorized by the SFRTA, the successful Proposer/Bidder/Offeror shall enter into formal agreements with the subcontracting firms shown in the submitted Intent to Perform as a DBE Subcontractor and DBE Schedule of Subcontractor Participation forms within ten (10) business days after receipt of a Contract executed by SFRTA. The successful Proposer/Bidder/Offeror (Contractor) shall provide the SFRTA a copy of each agreement within three (3) business days of execution.

C. Contractor shall cooperate with SFRTA in meeting commitments and goals with regard to the maximum utilization of DBEs. Best efforts shall be used on the Project to ensure DBEs receive the maximum opportunity to compete for subcontracts.

D. A stated goal of SFRTA is that DBEs will be afforded full opportunity to participate in this Project and will not be discriminated against on the grounds of race, sex, color, religion, ancestry, national origin, physical handicap, including AIDS, marital status, age over forty or cancer-related medical condition.

E. Contractor agrees to ensure that certified DBE firms are provided the maximum opportunity to participate in the performance of Work under the Contract. The DBE participation which the Contractor commits to in its Bid or Proposal that meets or exceeds the contract goal shall become the goal of record, and SFRTA shall enforce the DBE participation committed to in the Bid or Proposal. If the Contractor cannot meet the stated DBE contract goal, the Contractor shall provide SFRTA with information necessary to establish Contractor’s good faith efforts to obtain the DBE participation goal using Exhibit 5 entitled, “Request for DBE Good Faith Efforts Determination.” Successful achievement of good faith efforts will be based on criteria specified by SFRTA, which includes the following areas:

(1) Advertisement

Copies of advertisements placed in at least one general circulation media, one trade association publication and one minority focused media at least twenty (20) days prior to SFRTA’s Bid or Proposal due date.

(2) Community Outreach

Copies of letters, telephone logs and faxes used to contact organizations/groups, including names of organizations/groups, dates, names of contacts, telephone numbers and copies of correspondence received from any of these organizations/groups acknowledging contact by Contractor.

(3) Defining Scope of Work

Contractor shall determine the portion of the Work that is intended to be performed by its own workforce and that portion of the Work that has been identified for subcontracting.

(4) Written Requests for Proposal

Extend written Invitations for Quote/Proposal to DBE firms for all Work that the Contractor intends to subcontract and provide specification requirements to DBE’s.

(5) Solicitation Follow-up

Oral and/or written follow-up of initial solicitation of DBE firms.

(6) Attend Pre-Bid/Proposal Conference

Although attendance at Pre-Bid/Proposal Conferences scheduled by SFRTA is optional, this is one of the criteria for meeting good faith efforts.

(7) List of Proposals from DBEs

If applicable, documentation showing instances where Contractor negotiated in good faith with DBEs and did not unjustifiably reject proposals prepared by any DBE.

SFRTA may verify that all information is complete, accurate and adequately documents the Contractor's good faith efforts before committing…