EXHIBIT 9 - ETHICS DECLARATION.pdf

Ethics Department Ethics@Metro.net

ETHICS DECLARATION

This form must be completed separately by all bidders/proposers, including all Prime Contractors and Subcontractors. The information provided by bidders/proposers is necessary for the Los Angeles County Metropolitan Transportation Authority (LACMTA) to make decisions under state law and Metro code.

Failure to complete the form in its entirety may result in significant delays and potential disqualification from the procurement. Bidders/Proposers must review the “Ethics Guidance for Proposers” reference page attached to this Declaration.

Your company, including all entities identified below (collectively, “Declarant Company”) must answer the questions below. The term “employee(s)” shall be defined as employees, officers, partners, owners, or directors of Declarant Company.

An affirmative response to any questions will not automatically cause disqualification.

However, failure to answer questions in good faith or providing materially false answers may subject a bidder/proposer to disqualification from the procurement.

Contact the Ethics Department with any questions related to this Declaration.

Complete each section below. State “none” if applicable.

A. COMPANY INFORMATION

(1) Declarant Company Name: __________________________________________________

a. Proposing or Bidding as ☐Prime Contractor or☐Subcontractor

b. Variations and acronyms of Declarant Company’s name used within the past 4 years: ______________________________________________________________

(2) Identify only the Parent(s), Subsidiaries and Related Business Entities that Declarant Company has controlled or directed, or been controlled or directed

by. “Controlled or directed” means shared ownership or 50% or greater ownership

a. Parent(s):

b. Subsidiaries:

c. Related Business Entities:

(3) If Declarant Company is a closed corporation (non-public, with under 35 shareholders), identify the majority shareholder.

(4) Identify any individuals, including employees and agents (individuals

(5) Identify any lobbyists and lobbying firms acting on behalf of Declarant representing the company), that have communicated or will communicate with a LACMTA Board Member or LACMTA employee regarding the award of this contract or project, including any individuals, employees and agents that have sought or will seek to influence the award of this contract or project.

Company that have lobbied a LACMTA Board Member or LACMTA employee on this contract or project.

B. CAMPAIGN CONTRIBUTIONS

Failure to disclose any contribution information may result in disqualification from this procurement.

(1) Has Declarant Company solicited or directed its employees or agents to make campaign contributions, whether through fundraising events, communications, or any other means, to LACMTA Board Members? ________

a. If so, provide details of each occurrence, including the date.

(2) Identify any entities or individuals, including employees and agents (individuals representing the company, e.g. , lobbyists), who make decisions for Declarant Company on any campaign contributions provided to elected officials.

(3) Disclose all campaign contributions made by the entities and individuals identified in Sections A and B to LACMTA Board Members within the past 4 years. Include the name of the contributor, the name of the recipient, the amount of the contribution, and the date the contribution was made.

C. EMPLOYEE AND COMPANY INFORMATION

If you answer “yes” to any question below, provide a detailed explanation of the facts and circumstances on a separate page.

(1) In the past 12 months, has Declarant Company hired a former LACMTA Board Member or staff to a LACMTA Board Member? ________

(2) In the past 36 months, has Declarant Company hired a former LACMTA employee? ________

a. If so, and the former LACMTA employee was hired within the past 12 months, does Declarant Company anticipate the former LACMTA employee will work on this contract? ________

(3) Is any Declarant Company employee related to, or does the employee have a close personal relationship with, a LACMTA Board Member or LACMTA employee? ________

(4) In the past 12 months, has any Declarant Company employee given any gifts to a LACMTA Board Member or LACMTA employee? ________

(5) In the past 12 months, has Declarant Company employed as a lobbyist any former LACMTA Board Member or former LACMTA employee? ________

(6) Has any Declarant Company employee performed any work relating to the following:

a. The development of the Statement of Work/Statement of Services or any specifications on this procurement? ________

b. Earlier phases of the project or services to be provided under this procurement? ________

c. If so, provide an explanation of the previously performed work.

D. DECLARATION

By signing this Ethics Declaration, Declarant Company attests that: (1) Declarant Company has read, understands, and shall abide by LACMTA’s Contractor Code of Conduct at all times during its relationship with LACMTA; (2) Declarant Company’s consultants and subcontractors have read or will promptly read and abide by LACMTA’s Contractor Code of Conduct.

There are ________ additional pages attached to this Ethics Declaration.

I, _______________________________(Authorized Representative), on behalf of _________________________________(Declarant Company), at which I am employed as _________________________________(Title), declare that after having made or caused to be made a reasonably diligent investigation regarding the Declarant Company, the foregoing responses, and the explanation on the attached sheet(s), if any, are correct to the best of my knowledge and belief.

Further, I understand that failure to answer the questions in good faith or providing materially false answers may subject Declarant Company to consequences, including disqualification of its Bid/Proposal.

Signature Date

Revised Jan. 2022

Revised Jan. 2022

ETHICS GUIDANCE FOR PROPOSERS

Campaign Contribution Restrictions

After a bid/proposal has been submitted, no bidder/proposer, or their employees or immediate family members, may make campaign contributions over $10 to Metro Board

Members during the time the bid/proposal is pending before Metro. If a bidder/proposer wins an award, they may not make any campaign contributions over $10 to Metro Board

Members for 4 years after the Board vote for award of the contract. For all other bidders/proposers, they may not make any campaign contributions over $250 to Metro

Board Members for 3 months after the Board vote for award of the contract. (Public

Utilities Code § 130051.20; Cal. Gov. Code § 84308.)

Procurement Communications Blackout

Beginning when a procurement’s solicitation documentation is issued and continuing until

Metro staff makes a public recommendation for award, bidders/proposers shall not contact by any means any 1) Metro Board Member or their staff; or 2) Metro staff other than those authorized to represent Metro concerning the procurement. Any contact shall be grounds for the disqualification of the proposer. (Public Utilities Code § 130685;

Contractor Code of Conduct § 5-20-170.)

Gift Restrictions

Bidders/Proposers may not offer, give, or promise to offer or give, directly or indirectly, any gift to any Metro Board Member or employee. (Contractor Code of Conduct § 5-20-

080.)

Lobbying

Any bidder/proposer not in compliance with Metro’s lobbyist registration code, will not be awarded a contract. (Public Utilities Code § 130051.18; Contractor Code of Conduct § 5-20-

070; Metro Admin. Code §§ 5-25-010 et seq.)

Please consult the Contractor Code of Conduct for a full review of all applicable codes and laws, available at https://www.metro.net/about/ethics/.