CSR Qingdao Sifang Co. Ltd. - MBTA - Massachusetts Bay ... · PDF filerfp no. cap 27-10 new orange and red line vehicles sectionb part b technical proposal anp statements and certifications

CSR Qingdao Sifang Co. Ltd.

RFP NO. CAP 27-10 NEW ORANGE AND RED LINE VEHICLES

SECTIONB PART B TECHNICAL PROPOSAL ANP STATEMENTS AND

CERTIFICATIONS REGARDING ELIGIBILITY

NON-COLLUSIQN AFFillAYIT

8-69

It shall be understood that any offer submitted to the MBT A is made without collusion with any other Offeror submitting an offer on the same commodity/service, and is in all respects fair and without fraud.

STATE OF Shandong, China Date: ('II.~ D? 1 l,o/<p

COUNTY OF _,O""i"'ncog""da,,,o,__ _______ s.s.

The undersigned being duly sworn, deposes and says that he/she is the

Duty Authorized Official (Sole Owner; Partner, President, Treasurer, or Other Duty Authorized Official of a Corporation)

of CSR Qingdao Sifang CO.,LTD (Name of Firm as Appearing in Submitted Proposal)

and works in _,O""i"'n'Og"'da,.,o,__ _________ _ (City/Town)

and certifies under penalties of perjury that this proposal is in all respects bona fide, fair and made without collusion or fraud with any other person. As used in this paragraph the word "person" shall mean any natural person, joint venture, partnership, corporation or other business or legal entity.

-~-~_, _ _...:..._M.:..:____'.__A &14tvq Assistant Director, Marketing Department, Overseas Business Division (Signature and Title of Person Making Affidavit)

Sworn to before me this __ day of ____ , 20 _

My commission expires:----------

CALIFORNIA JURAT WITH AFFIANT STATEMENT GOVERNMENT CODE § 8202

il\]' See Attached Document (Notary to cross out lines 1-6 below) D See Statement Below (Lines 1-6 to be completed only by document signer(s], not Notary)

Signalure of Document Signer No. 1

State of California

County of A LAMl:llA

e FEUPE l. SUMAGAVSll Commission fl 2025467 Notar.y Public • California

Alameda County M Comm. Ex Ires Jun 16, 2017

Place Notary Seal Above

Signature of Document Signer No. 2 (~ any)

Subscribed and sworn to (or affirmed) before me

on this 7 l'H day of _M_A~Y __ 20 ( Lf __ , Date Month Year

by

QI ANG MA (1)_~-~-----------Name ol Signer

proved to me on the basis of satisfactory evidence to be the person who appeared before me (.) J6

(and

(2) ____________ _ Name of Signer

proved to me on the basis of satisfactory evidence to be the person who appeared before me.)

Signature __ ()+~_,,~--· ~,._/!_~ _ _,,_ _ _,._ Signature of Jo'1ary 0/

OPTIONAL -----------

Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal

and reattachment of this form to another document.

Further Description of Any Attached Document

Title or Type of Document: ~N~O~N_-_CO_L_/.._V_S_l_O_N __ A-_F_F_t I>_A-V~I

RIGHT THUMBPRINT OFSIGNER#1

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Document Date: __ fJ.. __ l/-_Y~_7~,_2.0 __ l_lf-~- Number of Pages: __ ( __ ~----~

RIGHTTHUMBPAINT OFSIGNEA#2

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NO rJJ;:z Signer(s) Other Than Named Above: ----------------------------

© 2010 National Notary Association• NationalNotary.org • 1-800-US NOTARY (1-800-876-6827)


SECTIONB PART B TECHNICAL PROPOSAL AND STATEMENTS AND

CERTIFICATIONS REGARDING EI.IGIBILITY

CONFLICT OF INTEREST CERTIFICATION

The undersigned hereby certifies that the Offeror shall comply with the Massachusetts Conflict of Interest Laws, M.G.L. c. 268A, and with the Conflict oflnterest terms stated in Section C?.03.

OFFER OR: CSR Qingdao Sifang Co., Ltd.

AUTHORIZED SIGNATURE:

NAME (PRINTED): MaOiang

B-70

TITLE: Assistant Director, Marketing Department, Overseas Business Division

DATE: Ma;j ;O I )--0/Lf-




ASSURANCE OF ADHERENCE

B-71

By execution below, the Offeror hereby offers to furnish equipment and services in accordance with the Contract as indicated herein:

OFFEROR: CSR Qingdao Sifang Co. Ltd.

AUTHORIZEDSIGNATURE: -~~~~--~~~=',.--~~~~~~~~~~~~~~-NAME (PRINTED): ~M=a~Q=ia=n=g __________________ _

TITLE: Assistant Director. Marketing Department, Overseas Business Division

DATE: /1a;j /o,

RFPNO. CAP27-10 NEW ORANGE AND RED LINE VEHICLES

SECTIONB PART B TECHNICAL PROPOSAL AND STATEMENTS ANP


PERFORMANCE GUARANTEE

B-72

The undersigned hereby certifies that the Offeror shall provide a Performance Guarantee in the form of an Irrevocable Stand-By Letter of Credit in the amount of Thirty Percent (30%) of the Total Base Contract Price in accordance with Section C3.03B. Statement from Banking Institute to be attached herein. The form of the letter provided by the Banking Institute shall be in substantial form as set forth in Section E.



NAME (PRINTED): MaQiang


DATE:




INSURANCE REOUIBEMENTS

The undersigned hereby certify that the Offeror shall provide full compliance with the Insurance Requirements provision in accordance with Section C3.05.




B-73


DATE:


SECTIONB PART B TECHNICAL PROPOSAL ANP STATEMENTS AND


DOMESTIC U.S. CONTENT REQUIREMENT

B-74

The Offeror hereby certifies that it will comply with the Domestic U.S. Content Requirements set forth in Section C7 .17.

NOTE: If the Offeror fails to demonstrate that it is in compliance with the Domestic U.S. Content Requirements set forth in Section C7 .17, it will be required to take the necessary steps in order to achieve compliance. If the Offeror takes these necessary steps, it will not be allowed to change its original offered price or the price of its final offer. If an Offeror does not take the necessary steps, it will not be awarded the contract. Once the Contract has been awarded, the Contractor's failure to take the necessary steps will be considered a breach of the Contract.

OFFEROR: CSR Qingdao Sifang Co., Ltd.

AUTHORIZEDSIGNATURE: __ .46~~~=-~~~-----------------NAME (PRINTED): ~M=a~O""'i=an=g,_ _______ ---,---________ _

TITLE: Assistant Director, Marketing Department. Overseas Business Division

DATE:

RFP NO. CAP 27-lONEW ORANGE AND RED LINE VEHICLES B-75

SECTIONB PART B TECHNICAL PROPOSAL AND

STATEMENTS AND CERTIFICATIONS REGARDING ELIGIBILITY

DOMESTIC U.S. CONTENT WORKSHEET

At least 60% of the total cost of rolling stock components and subcomponents must be Domestic U.S.

Content or covered by a current FTA waiver as provided in Section C7.l 7.

Components

Component Manufacturer Domestic/ Covered by % of Domestic (Name/ (Name/ Foreign Current FTA Content Description) Address) Waiver? Propulsion(include gear Toyo Denki/2507 Lovi Rd. us NO

21.16% ofTotal box/Coupling) Freedom, PA 15042 Content

Trucks and Major Truck Bradken/12200 NW 10.20% of Total Components( not Ambassasor Drive, Suite Content include 647, Kansas City, MO, us NO

wheelsets/propulsion/br 64163 ake/ gear box /Coupling)

Auxiliary Power( not Toyo Denki/2507 Lovi Rd. us NO 5.60% of Total

include Battery) Freedom, PA 15042 Content

HVAC Faiveley/50 Beechtree 5.58% ofTotal Boulevard, PO Box 9377, us NO Content Greenville, SC 29604

Couplers Dellner/8334-H Arrowridge us NO 6.97% of Total

Blvd, Charlotte, NC 28273 Content

Wheel sets UTC RAS/501 Highland us NO 1.32% of Total

Avenue Morton, PA 19070 Content

Air Brake Equipment Faiveley/50 Beechtree 4.67% of Total and Controls Boulevard, PO Box 9377, us NO Content

Greenville, SC 29604

Cab Signal Equipment Ansaldo STS/ASTS USA 1.89% of Total Manufacturing & Service us NO Content Center, Batesburg, SC

Door Systems Faiveley/50 Beechtree 5.60% ofTotal Boulevard, PO Box 9377, us NO Content Greenville, SC 29604

Cab Seats USSC/2021 The 0.12% ofTotal Alameda,Suite 295 San us NO Content Jose, CA 95126

Component Manufacturer Domestic/ Covered by % of Domestic (Name/ (Name/ Foreign CurrentFTA Content Description) Address) Waiver? Passenger Seats Freedman/4545 W. Augusta us NO

0.97% of Total Blvd, Chicago, IL 60651 Content

\1 ehicle Monitoring Toyo Denki/2507 Lovi Rd. us NO 4.51% ofTotal

System Freedom, PA 15042 Content Communications RLC/LLC 1 OV Gill Street, 5.90% ofTotal Equipment including Woburn, MA 01801 us NO Content LED and LCD Signage Lighting Trans-Lite 1.2 7% of Total

120 Wampus Lane Milford, us NO Content CT06460

Subcomponents For each Component identified as Domestic U.S. Content above, provide the information in the table below.

Subcomponent Manufacturer Domestic/ Covered by % of Domestic (Name/ (Name/ Foreign Current FTA Content Description) Address) Waiver?

% of Total --Content



(Attach additional sheets as necessary.)

TOTAL 75.76 % Domestic Content of Total Cost of Rolling Stock Components




B-76

FINAL ASSEMBLY OF PRODUCTION <NON-PILOT) VEHICLES IN MASSACHUSETTS

The undersigned hereby certifies that it will comply with the requirement of Section C7 .18 with regard to Final Assembly of Production (Non-Pilot) Vehicles in Massachusetts.

If the undersigned's anticipated final assembly operations, processes and measures it will use in connection with the Production Vehicles delivered under the Contract differ from or do not include at a minimum all operations, processes and measures listed in the definition of Final Assembly in Section C7 .18, the undersigned certifies that it has included in its proposal an explanation as to why the undersigned believes that its final assembly satisfies the general requirement of final assembly of all Production Vehicles in Massachusetts, and seeks a determination from the Authority that its proposal satisfies the general requirement in Section C7.18 that final assembly of all production vehicles take place in Massachusetts. The undersigned understands that its proposal may be rejected by the Authority as non-compliant.





DATE:


SECTIONB PARTBTECHNJCALPROPOSALANPSTATEMENTSAND


SECURITY REQUIREMENTS CERTIFICATION

The undersigned hereby certifies that the Offeror, if awarded this Contract, shall comply with the MBTA' s Security Requirements as stated in Section C7 .11 of the Agreement.


B-77

AUTHORlZEDSIGNATURE: ~~~----~~~-'~~~~~~~~~~~~~~~~


DATE:


SECTIONB PART B TECHNICAL PROPOSAL ANP STATEMENTS ANP


RIGHT-OF-WAY SAFETY TRAINING REQUIREMENTS CERTIFICATION

B-78

The undersigned hereby certifies that the Offeror, if awarded this Contract, shall be in full compliance with the MBIA Right-of-Way Safety Awareness Training Requirements as stated in the Agreement.

OFFEROR: CSR Qingdao Sifang Co .. Ltd.

AUTHORIZEDSIGNATURE: ~----<;~,,..L..-~~__...,~~~~~~~~~~~~~~~-NAME(PRINTED): ~M=a~Q~ia=n~g~~~~--~~~~~~~~~~~~~-

TITLE: Assistant Director, Marketing Department. Overseas Business Division

DATE:

RFP NO. CAP 27-10 NEW ORANGE AND RED LINE YEHICI ES



CERTIFICATION REGARDING DEBARMENT. SUSPENSION AND OTHER RESPONSIBILITY MATTERS

The Offeror certifies to the best of its knowledge and belief, that it, and its principals:

B-79

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

2. Have not within a three-year period preceding this offer 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 charged by a govermnental 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 offer had one or more public transactions (Federal, State or local) terminated for cause of default.

If the Offeror is unable to certify to any of the statements in this certification with respect to it or its principals, the Offeror shall attach an explanation to this certification).

THE OFFEROR CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS SUBMITTED ON OR WITH THIS CERTIFICATION.

--:;; 7~ A ss-t' W,;t l>il~-f;,y , MerrAeti_r Pepcirt;ni.(,fl,1, Offeror: -e:J~ t?Jersectf i>ur;.-,;n,ess 'J>ivi>io11

Signature and Title of Authorized Official

The undersigned chieflegal counsel for the { 5 /t fX.~cfAp ~k VJ. 1 LtJ. · hereby certifies (Offeror)

that the /V/ Cl Q • has authority under State and local law to comply with (Authorized offici1

the subject assurances and that the certification abo

RFPNO. CAP 27-10 NEW ORANGE AND RED LINE VEHICLES



CERTIFICATION RJ<;GARDJNG DEBARMENT. SUSPENSION AND OTHER RESPONSIBILITY MATTERS

CONTINUED

"INSTRUCTIONS FOR CERTIFICATION"

Primary Covered Transactions

B-80

l. By signing and submitting this Proposal the Offeror is providing the certification on the preceding page.

2. The inability of a person to provide the certification will not necessarily result in denial of participation in this covered transaction. The Offeror shall submit an explanation of why it cannot provide the certification. The certification or explanation will be considered in connection with the Authority's determination whether to enter into this transaction. However, failure of the Offeror to furnish a certification or an explanation shall disqualify such a person from participation in this transaction.

3. The certification is a material representation of fact upon which reliance was placed when the Authority determined to enter into this transaction. If it is later determined that the Offeror knowingly rendered an erroneous certification, in addition to other remedies available to the Authority, the Authority may terminate this transaction for cause of default.

4. The Offeror shall provide immediate written notice to the Authority if at any time the Offeror learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

5. The Offeror agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the Authority.

6. The Offeror further agrees by submitting this proposal that it will include the clause titled "Certification regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transaction'', without modification, in all lower tier covered transactions and in all solicitations for lowered tier covered transactions.

7. Except for transactions authorized under paragraph ( 5) of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Authority, the Authority may terminate this transaction for cause or default.


SECTIONB PARTB TECHNICAL PROPOSAL AND STATEMENTS AND


CERTIFICA TTON REGARDING DEBARMENT. SUSPENSION ANP OTHER RESPONSIBILITY MATTERS FOR LOWER TIER PARTICIPANT

B-81

The Offeror, as the Primary Participant, hereby certifies that the attached Lower Tier Participant Certification Regarding Debarment, Suspension and Other Responsibility Matters, as noted on the two following pages, shall be duly executed, and shall remain on file with the Offeror in accordance with the Contract Provisions as if stated herein.


AUTHORIZEDSIGNATURE: ~~~~~lli-~-'~--------------NAME (PRINTED): =M=a~O'-'i=an"=g~-----------------


DATE: M ~ (0 I 2-AJll./J




INTEl,J,ECTU AI, PROPERTY LICENSE AGREEMENT CERTIFICATION

The undersigned hereby certifies that the Contractor and its related subsuppliers/subcontractors/ agents will execute and adhere to a software escrow agreement and comply with the provisions of Section C5.l 1 as noted and defined therein and shall comply with the Contract Specification No. VE-10-036 and all other general terms and conditions.

OFFER OR: CSR Qingdao Sifang Co .. Ltd.



B-85

TITLE: Assistant Director. Marketing Department. Overseas Business Division

DATE:


SECTIONB PART B TECRNICAL PROPOSAL AND STATEMENTS AND


CERTIFICATION OF COMPLIANCE 'VITH REGULATION 102CMR12.00 DEPENDENT CARE ASSISTANCE PROGRAM INCLUDING CHILD CARE

B-90

The undersigned hereby certifies that the Offeror is in compliance with Section 7 of Chapter 521 of the Acts of 1990, as amended by Chapter 329 of the Acts of 1991, and the regulations issued pursuant thereto, 102 CMR 12.00, and that the Offeror is either a qualified employer having fifty (50) or more full time employees and has established a dependent care assistance program, or offers its employees child care tuition assistance or on-site or near site subsidized child care placements, or is an exempt employer.

OFFER OR: CSR Qingdao Sifang Co .. Ltd.




DATE: Plfj 10 I .Wf{f



CERTIFICATIONS REGARPING ELIGIBILITY

PROHIBITED USE OF UNDOCUMENTED WORKERS CERTIFICATION

B-91

The Offeror agrees to comply with Massachusetts Executive Order 481, which applies to all state agencies in the Executive Branch, including all executive offices, boards, commissions, agencies, departments, divisions, councils, bureaus, and offices, now existing and hereafter established. As it is the policy of the Executive Branch to prohibit the use of undocumented workers in connection with the performance of state contracts, all contracts entered into after February 23, 2007 require that contractors, as a condition of receiving Commonwealth funds under any Executive Branch contract, make the following certification:

CERTIFICATION:

As evidenced by the signature of the Offeror' s Authorized Signatory below, the Offeror certifies under the pains and penalties of perjury that the Offeror shall not knowingly use undocumented workers in connection with the performance of all Executive Branch contracts; that pursuant to federal requirements, the Offeror shall verify the immigration status of all workers assigned to such contracts without engaging in unlawful discrimination; and that the Offeror shall not knowingly or recklessly alter, falsify, or accept altered or falsified documents from any such worker(s). The Offeror understands and agrees that breach of any of these terms during the period of each contract may be regarded as a material breach, subjecting the Offeror to sanctions, including but not limited to monetary penalties, withholding of payments, contract suspension or termination.





DATE:

The Offeror is required to sign this Certification only once and may provide a copy of the signed Certification for any contract executed with an Executive Branch Department. A copy of this signed Certification must be attached to the "record copy" of all contracts with this Offeror that are filed with the contracting Department.


SECTIONB PART B TECHNICAL PROPOSAL AND STATEMENTS ANQ

CERTIFICATIONS REGARDING EI ,IGIBILITY

CERTIFICATION REGARDING COMPANJES DOING BUSINESS WITH OR IN NORTHERN TBELAND

B-92

Pursuant to M. G.L. c. 7 § § 22C-F, the undersigned, being an authorized representative of the Offeror, hereby certifies under the pains and penalties of perjury that (check applicable item):

I. VThe Offeror does not employ ten (10) or more employees in an office or other facility located in Northern Ireland.

2. __ The Offeror does employ ten (10) or more employees in an office or other facility located in Northern Ireland and certifies that:

(a)_ The Offeror does not discriminate in employment, compensation, or the terms, conditions and privileges of employment on account of religious or political belief; and

(b) _The Offeror promotes religious tolerance within the work place, and the eradication of any manifestations ofreligious and other illegal discrimination; and

( c) _The Offeror is not engaged in the manufacture, distribution or sale of firearms, munitions, including rubber or plastic bullets, tear gas, armored vehicles or military aircraft for sue or deployment in Northern Ireland.

3. __ The Offeror does not certify to either 1 or 2( a-c) above.

Signed under the pains and penalties of perjury:




TITLE: Assistant Director. Marketing Department. Overseas Business Division

DATE: JI\~ \C 1 v/lf-




MBTA RETIREE CERTIFICATION

In accordance with Section 3 .3 of the MBTA Hiring of MBTA Retirees Policy dated June 5, 2009, THE CONTRACTOR IS REQUIRED TO NOTIFY THE MBTA THAT AN MBTA RETIREE HAS BEEN INCLUDED AS A MEMBER OF ITS TEAM.

B-93

Every contractor is required to notify the MBTA as part of the bidding process that an MBTA retiree will be included as a member of its team. The contractor shall be required to provide the name and date of retirement for each MBT A retiree on the team. Every MBTA retiree working for the MBTA under this condition shall do so in accordance with M.G.L., c 268A, Section 5.

Project Name: RFP No. CAP 27-10-Proposal for New Orange and Red Line Vehicles

Is a MBTA Retiree(s) presently included as a member of the team?

Yes __ _ No V If you responded "yes" to the above question, the Contractor certifies that the following MBTA Retirees are assigned to the team for this contract.

Firm Name (Please Print)

Retiree Name

OFFEROR: CSR Qingdao Sifang Co., Ltd.

MBTA Retirement Date

AUTHORIZEDSIGNATURE: ~~'-=~~'-9----+'~~~~~~~~~~~~~~~ NAME (PRINTED):

TITLE: Assistant Director, Marketing Department, Overseas Business Division.

DATE:

If additional space is required, please enclose attachments to be included with your proposal.

RFP NO. CAP 27-10 NEW ORANGE AND RED LINE VEHICLES B-94

SECTIONB PART B TECHNICAL PROPOSAL ANP STATEMENTS AND CERTIFICATIONS REGARDING ELIGIBILITY

Manufacturer Subcontractors/Suppliers (re: Section C5.15F notes the minimum "Major Equipment" suppliers to be listed. Additional suppliers, if known, should be provided)

Name Address Domestic(D) Assignments M/WBE

Foreian!Fl Status Tova Denki 2507 Lavi Rd. Freedom, PA 15042 D Propulsion ABB 7878 N 16th St, Phoenix, AZ 85020 D Propulsion

Columbus Castings 2211 Parsons Avenue Columbus, OH

D Trucks and Major

43207 Truck Components

Bradken 12200 NW Ambassasor Drive, Suite 647,

D Trucks and Major

Kansas Citv, MO, 64163 Truck Comoonents

Toyo Denki 2507 Lavi Rd. Freedom, PA 15042 D Auxiliary Power Sunnlv

ABB 7878 N 16th St, Phoenix, AZ 85020 D Auxiliary Power Supplv

Transtechnic 709 Augusta Arbor Way, Piedmont, SC

D Auxiliary Power

29673 Supplv

Feiveley 50 Beechtree Boulevard, PO Box 9377,

D Auxiliary Power

Greenville, SC 29604 Supply

GE Transportation 2712 S. Dillingham, Grain Valley, Mo,

D Auxiliary Power

64029 Sunnlv

Toyo Denki 2507 Lavi Rd. Freedom, PA 15042 D Low Voltage DC Power

ABB 7878 N 16th St, Phoenix, AZ 85020 D Low Voltage DC Power

Transitair One William K. Jackson LaneHomell, D HVAC New York 14843

Faiveley 709 Augusta Arbor Way, Piedmont, SC

D HVAC 29673

CSR Qingdao Sifang Co., Lid. 88 Jinhongdong Road, Chengyang F Carbody District, Qinc:idao 266111, China

Wabtec Passenger Transit 130 Ridgeview Center Drive, Duncan,

D Couplers SC 29334 .

Name Address Domestic(D) Assignments M/WBE

Foreign(F) Status

Dellner 8334-H Arrowridge Blvd, Charlotte, NC D Couplers 28273

Wabtec Passenger Transit 30 Ridgeview Center Drive, Duncan,

D Draft Gear South Carolina, 29334

Dellner 8334-H Arrowridge Blvd, Charlotte, NC

D Draft Gear 28273

UTCRAS 501 HiQhland AvenueMorton, PA 19070 D Wheel Sets x Wabtec Passenger Transit

130 Ridgeview Center Drive, Duncan, D

Air Brake Equipment SC, 29334 and Controls

Faiveley 709 Augusta Arbor Way, Piedmont, SC D

Air Brake Equipment 29673 and Controls

Knorr 50 Beechtree Boulevard, PO Box 9377, D

Air Brake Equipment Greenville, SC 29604 and Controls

AnsaldoSTS ASTS USA Manufacturing & Service D Cab Signal Center, Batesburg, SC Eauioment

Siemens 2400 Nelson Miller Parkway Louisville, D Cab Signal KY 40223 Equipment

GE Transportation 2712 S. Dillingham, Grain Valley, Mo,

D Cab Signal

64029 Equipment

Wabtec Vapor Door 130 Ridgeview Center Drive, Duncan,

D Door Systems SC, 29334

Ultimate Transport 30914 San Antonia St., Hayward, CA

D Door Systems 94544

Faiveley 709 Augusta Arbor Way, Piedmont, SC

D Door Systems 29673

Kustom Seating 3000 Madison Street Bellwood, Illinois

D Seats 60104-2219D

Ultimate Transport 30914 San Antonia St., Hayward, CA

D Seats 94544

Freedman 4545 W. Augusta Blvd, Chicago, IL

D Seats 60651

Toyo Denki 2507 Lovi Rd. Freedom, PA 15042 D Vehicle Monitoring Svstem

ABB 7878 N 16th St, Phoenix, AZ 85020 D Vehicle Monitoring Svstem

Woojin 5108 Azusa Canyon Rd. Irwindale, CA

D Vehicle Monitoring

91706 Svstem

Toyo Denki 2507 Lavi Rd. Freedom, PA 15042 D Network Equipment and lntearator

Name Address Domestic(D) Assignments

M/WBE Foreign(F) Status

ABB 7878 N 16th St, Phoenix, AZ 85020 D Network Equipment and lnteqrator Communications

RL Controls LLC 1 OV Gill Street, Woburn, MA 01801 D Equipment including x LED and LCD Sianaae Communications

Woojin 5108 Azusa Canyon Rd. Irwindale, CA D

Equipment including 91706 LED and LCD

Sianaae Communications

ST Electronics 1151-6-3, Lianxi Rd., Pudong New

F Equipment including

District, Shanghai 201204, China LED and LCD Sianaae

Luminator 900 Klein Road Plano, Texas, 75074 D Lighting

SARIA 3000 Village Run Road, Unit 103#350,

D Lighting Wexford, PA 15090

Adrian Nameolates PO Box 211, Essex, MA 01929 D Decals and sians x Baultar

355, Parc-lndustriel, Windsor (Quebec) F Floor panels wl

J1S 3A9 coverino

SARIA 3000 Village Run Road, Unit 103#350,

D Event Recorder Wexford, PA 15090

Siemens 2400 Nelson Miller Parkway Louisville,

D Event Recorder KY 40223

Wabtec Bach Simpson 130 Ridgeview Center Drive, Duncan,

D Event Recorder SC, 29334

If additional space is required, please enclose attachments to be submitted with your proposal.



CERTIFICATIONS REGARDING EJ,JGIBILITY

Acknowledgment of Addenda is hereby established below:

ACKNOWI,EDGMENTOFADDENDA

Addenda No. Dated Received

1 1/10/2014 1/10/2014

2 1/14/2014 1114/2014

3 1/24/2014 1/24/2014

4 1/27/2014 1/27/2014

5 1/30/2014 1/30/2014

6 2/20/2014 2/20/2014

7 3/04/2014 3/04/2014

8 4/01/2014 4/01/2014

9 4/03/2014 4/03/2014

10 4/14/2014 4/14/2014

B-95

Failure to acknowledge receipt of all Addenda may cause the proposal to be considered non-responsive to the solicitation.

Acknowledgment of receipt of each Addendum must be duly established and included with this Offer (See the above table).

OFFER OR: CSR Oingdao Sifang Co .. Ltd.




DATE: A1¥§ ( 0 I VJ/ 0

410 MADISON AVENUE NEW YORK, NY 10017

IBL: (212) 935-3101 TELEX: ITI 423635, WU 661723 S.W.I.F.T.: BKCH US 33 FAX: (212) 593-1831

BANK LETTER OF COMMITMENT FOR LETTER OF CREDIT

Re: CSR Qingdao Sifang Co., Ltd. and CSR America Inc. MBTA Project No. CAP 27-10

To: MBTA

Dear Sirs:

This letter serves to confirm that our bank will issue an unconditional, irrevocable, nontransferable standby letter of credit in the format quoted below naming Massachusetts Bay Transportation Authority ("MBTA") as beneficiary, in the amount ofUSD276,000,000.00, within five (5) business days of receipt of written notice from MBTA or CSR Qingdao Sifang Co., Ltd. and CSR America Inc. that CSR Qingdao Sifang Co., Ltd. and CSR America Inc. has been selected as a successful proposer for the referenced Project.

It is further agreed that any actions arising under the letter of credit will be subject to jurisdiction and venue in the commonwealth of Massachusetts and governed by Massachusetts law. Provided that ifthe issuing bank has no office in Massachusetts, the letter of credit will be subject to jurisdiction and venue in the state of New York, and governed by New York law.

This letter shall remain in full force and effect until said letter of credit is delivered to MBTA in form and substance acceptable to MBT A or upon the withdrawal or termination of this letter upon ten (10) days' prior written notice to the Office of the General Counsel, MBTA.

Quote

Our Ref. No.: Ill Issue Date: ////

To: MBTA Address:////

Irrevocable and Non-transferable Standby Letter of Credit

Whereas, CSR Qingdao Sifang Co., Ltd. and CSR America Inc. (hereinafter called 'the Seller') has been selected by you as the successful proposer under REP No. CAP 27-10 for new orange and red line vehicles and will enter into a Contract No./// with you for//// (hereinafter called the 'Contract').

And, whereas it has been stipulated by you in the said contract that the seller shall furnish you with an irrevocable and non-transferable standby letter of credit by a recognized bank for the sum ofUSD276,000,000.00 (say U.S. Dollars Two Hundred and Seventy Six Million Only).

1

@i'tID«tf BANK OF CHINA NEW YORK BRANCH

410 MADISON AVENUE NEW YORK, NY 10017

TEL: (212) 935-3101 TELEX: fIT 423635, WU 661723 S.W.l.F.T.: BKCH US 33 FAX: (212) 593-1831

And whereas we, Bank of China Ltd., New York Branch, address://// have agreed to give this irrevocable and non-transferable standby letter of credit on behalf of the seller.

Therefore, we, hereby affirm that we are the guarantor and responsible to you, on behalf of the seller, up to a total amount ofUSD276,000,000.00 (say U.S. Dollars Two Hundred and Seventy Six Million Only), and we undertake to pay you unconditionally and independently, upon our receipt of your first written demand in original paper form stating that the seller fails to perform its obligations under the contract and specifying in which respects the proposer is in failure and your certificate and bank draft in the attached E-2 and E-3 forms of REP No.CAP 27-10.

The amount of this irrevocable and non-transferable standby letter of credit shall be reduced to USDxxx, representing 5 percent of the contract price upon our receipt of the seller's notification in original paper form stating that he has received the final milestone payment under the contract with your prior confirmation.

For the purpose of identification, any such demand and certificate and bank draft both in original paper form should be presented to us through your bank with their confirmation that the signatures thereon are authentic and legally binding upon you.

This standby letter of credit shall be valid from the effective date of the contract and remain valid until ////(expiry date). Any demand in respect of this standby letter of credit should reach us at our counter not later than the close of our business hours on the above expiry date.

Upon expiry, our liability under this standby letter of credit shall become null and void automatically.

This standby letter of credit is only personal to you and is not assignable or transferable. Any actions arising under this letter of credit will be subject to jurisdiction and venue in the commonwealth of Massachusetts and governed by Massachusetts law, provided that if the issuing bank has no office in Massachusetts, the letter of credit will be subject to jurisdiction and venue in the state of New York and governed by New York law.

Unquote

Dated: May 9th, 2014

Very truly yours Bank of China, New York

~ By:

Yuan, Dong, Executive Vice President

2

CSR Americas, Inc.




NON-COJ.J,JJSIONAFFIDAYIT

B-69

It shall be understood that auy offer submitted to the MBT A is made without collusion with auy other Offeror submitting au offer on the same commodity/service, and is in all respects fair and without fraud.

STATE OF Illinois Date: fl"j' 0 7 1 .2£J(({..

COUNTY OF ,,C'""o"'ok"'---________ s.s.

The undersigned being duly sworn, deposes and says that he/she is the

Duty Authorized Official (Sole Owner; Partner, President, Treasurer, or Other Duty Authorized Official of a Corporation)

of CSR America INC (Name of Firm as Appearing iu Submitted Proposal)

aud works in _,C"h"'i"'c.,,ag.,,o,__ _________ _ (City/Town)

and certifies under penalties of perjury that this proposal is in all respects bona fide, fair aud made without collusion or fraud with auy other person. As used in this paragraph the word "person" shall mean any natural person, joint venture, partnership, corporation or other business or legal entity.

Assistant Director, Marketing Department, Overseas Business Division, CSR Qingdao Sifaug CO.,LTD (Signature and Title of Person Making Affidavit)

Sworn to before me this __ day of ____ , 20 _

My commission expires:----------

CALIFORNIA JURAT WITH AFFIANT STATEMENT GOVERNMENT CODE § 8202

D See Attached Document (Notary to cross out lines 1-6 below) D See Statement Below (Lines 1-6 to be completed only by document signer[s], not Notary)

Signature of Document Signer No. 1

State of California

County of

Place Notary Seal Above

Signature of Document Signer No. 2 (ll any)

Subscribed and sworn to (or affirmed) before me

on this 7 TH day of __ M_A_Y __ 20 l't ___ , Date Month Year

by

Q tAl'JG MA (1) ____________ _ Name of Signer

proved to me on the basis of satisfactory evidence to be the person who appeared before me (.) y,j

.(a-Rel-

(2) ____________ _ Name of Signer

proved to me on the basis of satisfactory evidence to be the person who appeared before me.)

Signature --~~---'-/£-~,,___,. _ __,,,0~ __ ,,.~~--+-~ry PubfcT

• Though the information below is not required by law, it may prove valuable to persons relying on the document and could prevent fraudulent removal

and reattachment of this form to another document.

Top of thumb here

Further Description of Any Attached Document

Title or Type of Document: ~N_o~/\f_-_CO~l_L_US_I D_N __ A_F-_F_r_D_A_V_rr

Document Date: __ _,_M_A_Y~~7~1_"Pl._O_l_lf~Number of Pages: ___ ~-----~

Signer(s) Other Than Named Above: ___ _,_N_..cO...orJ_B.._ ______________________ _

~?JIJ'?JIJ'§R>1§R>1~~~"""""'""'""'~~~'~~~'<%i!<J§""'""'""'-R.~~R.·""'""'""'~""""""""""'""'~~?JIJ'""'""'~"'~ © 2010 National Notary Association• NatlonalNolary.org • 1·800-US NOTARY (1-800-876-6827) Item #5910

BFJ> NO. CAP 27-10 NEW ORANGE AND REP J,JNE YEHJCI.ES

SECTIONB PART B TECHNICAi, PROPOSAi, AND STATEMENTS AND

CERTIFICATIONS REGARDING El1IGIBII .ITV

CONFJ,JCT OF INTEREST CERTIFICATION

The undersigned hereby certifies that the Offeror shall comply with the Massachusetts Conflict of Interest Laws, M.G.L. c. 268A, and with the Conflict of Interest terms stated in Section C7.03.

OFFEROR: CSR America Inc.



TITLE: Assistant Director. Marketing Dxvartment. Overseas Business Division. CSR Oingdao Sifang Co .. Ltd.

DATE: M 0(jj /0 / uo If

B-70

RFP NO. CAP27-JO NEW ORANGE AND RED LINE vEHICLES

SECTIONB PART B TECHNJCAl1 PROPOSAl1 AND STATEMENTS AND

CERTIFICATIONS REGARDING EJ,JGIBJJ,JTY

ASSIIRANCE OF ADHERENCE

B-71

By execution below, the Offeror hereby offers to furnish equipment and services in accordance with the Contract as indicated herein:

OFFEROR:


NAME (PRINTED):

TITLE:

DATE:

CSR America Inc.

MaOiang

Assistant Director. Marketing Department. Overseas Business Division. CSR Oing<lao Sifang Co .. Ltd.

M.<J (/J7 JA;/Cf

RFP NO. CAP 27-10 NEW ORANGE AND RED l.JNE VEHICl,ES

SECTIONB PART B TECHNICAi, PROPOSAi, ANQ STATEMENTS AND

CERTIFICATIONS REGARDING EI,JGJBJJ,JTf

PERFORMANCE GJJABANTEE

B-72

The undersigned hereby certifies that the Offeror shall provide a Performance Guarantee in the fonn of an Irrevocable Stand-By Letter of Credit in the amount of Thirty Percent (30%) of the Total Base Contract Price in accordance with Section C3.03B. Statement from Banking Institute to be attached herein. The form of the letter provided by the Banking Institute shall be in substantial form as set forth in Section E.

OFFEROR:


NAME (PRINTED):

TITLE:

DATE:

CSR America. Inc.

MaOiang

Assistant Director. Marketing Department. Overseas Business Division. CSR Qingdao Sifang Co .. Ltd.

RFP NO. CAP 27-10 NEW ORANGE AND RED LINE vEHTCLES

SECTIONS PART B TECHNICAi, PROPOSAL AND STATEMENTS AND

CERTIFICATIONS REGARDING EI,JGIRJJ,ITY

INSJJRANCE BEOIJIBEMENTS

The undersigned hereby certify that the Offeror shall provide full compliance with the Insurance Requirements provision in accordance with Section C3.05.

OFFEROR:


NAME (PRINTED):

TITLE:

DATE:

CSR America. Inc.

MaOiang

Assistant Director. Marketing Department. Overseas Business Division. CSR Oingdao Sifang Co .. Ltd.

B-73

RFP NO. CAP 27-10 NEW ORANGE AND RED J,JNE VEHICLES

SECTIONB PART B TECHNICAi, PROPOSAL AND STATEMENTS AND

CERTIFICATIONS REGARDING EJ,JGIBJJ,JTy

DOMESTIC IJ.S. CONTENT BEOJJIBEMENT

B-74

The Offeror hereby certifies that it will comply with the Domestic U.S. Content Requirements set forth in Section C7.17.

NOTE: If the Offeror fuils to demonstrate that it is in compliance with the Domestic U.S. Content Requirements set forth in Section C7 .17, it will be required to take the necessary steps in order to achieve compliance. If the Offeror takes these necessary steps, it will not be allowed to change its original offered price or the price of its final offer. If an Offeror does not take the necessary steps, it will not be awarded the contract. Once the Contract has been awarded, the Contractor's failure to take the necessary steps will be considered a breach of the Contract.

OFFEROR: CSR America. Inc.

AUTHORIZEDSIGNATURE: --~==·~· -~~c:=\.__ _____________ _

NAME (PRINTED): ~M=a~O~ia=n~g __________________ _

TITLE: Assistant Director. Marketing Department. Overseas Business Division. CSR Qingdao Sifang Co .. Ltd.

DATE: /V/1!f /0 ~ 2-01(?

RFPNO. CAP27-10 NEW ORANGE A@ RED I.JNE VEHJCI.ES

SECTIONS PART R TECHNICAi, fROPOSAL AND STATEMENTS AND

CERTIFICATIONS REGARDING ELIGIBIIJTY

B-76

FINAi, ASSEMBJ,y OF fRODJJCTION (NQN .. PIJ,QD YEHICJ,ES IN MASSACHJJSETTS

The undersigned hereby certifies that it will comply with the requirement of Section C7 .18 with regard to Final Assembly of Production (Non-Pilot) Vehicles in Massachusetts.

If the undersigned's anticipated final assembly operations, processes and measures it will use in connection with the Production Vehicles delivered under the Contract differ from or do not include at a minimum all operations, processes and measures listed in the definition of Final Assembly in Section C7 .18, the undersigned certifies that it has included in its proposal an explanation as to why the undersigned believes that its final assembly satisfies the general requirement of final assembly of all Production Vehicles in Massachusetts, and seeks a determination from the Authority that its proposal satisfies the general requirement in Section C7 .18 that final assembly of all production vehicles take place in Massachusetts. The undersigned understands that its proposal may be rejected by the Authority as non-compliant.


AUTHORIZEDSIGNATURE: --~~::::.-.::.....:8!it&..:J.~\-------------~ '

NAME (PRINTED): ..1.Mll!a,._Q,,, .. ,,,lal!..!.ng,..__ _______________ _

TITLE: Assistant Director. Marketing Department. Overseas Business Division, CSR Qingdao Slfang Co .. \,td .

. DATE: /V1 (f (0 1 .J..-0/(/

RFP NO. CAP 27-10 NEW ORANGE AND RED J,TNE VEHICI,ES


CERTIFICATIONS REGARDING EJ,JGIBJJ,JTY

SECURITY REQUIREMENTS CERTIFICATION

The undersigned hereby certifies that the Offeror, if awarded this Contract, shall comply with the MBT A's Security Requirements as stated in Section C7.l 1 of the Agreement.

OFFEROR:


NAME (PRINTED):

TITLE:

DATE:

CSR America. Inc.

Ma Oiani:


B-77

RFP NO. CAP 27-10 NEW ORANGE AND RED l.JNJi; vF.HICI,ES

SECTIONS PART R TECHNICAi, PROPOSAi, AND STATEMENTS AND

CERTIFICATlONS REGARDING EIJGIBII.JTy

BIGHT-OF-WAY SAFETY TRAINING BEOUIBEMENTS CERTIFICATION

B-78

The undersigned hereby certifies that the Offeror, if awarded this Contract, shall be in full compliance with the MBTA Right-of-Way Safety Awareness Training Requirements as stated in the Agreement.

OFFEROR:


NAME (PRINTED):

TITLE:

DATE:

CSR America. Inc.

MaOiang


RFP NO. CAP 27-JO NEW ORANGE AND RED LINE VEHICLES



CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS

The Offeror certifies to the best of its knowledge and belief, that it, and its principals:

B-79

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

2. Have not within a three-year period preceding this offer 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 charged by a governmental 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 offer had one or more public transactions (Federal, State or local) terminated for canse of default.

If the Offeror is unable to certify to any of the statements in this certification with respect to it or its principals, the Offeror shall attach an explanation to this certification).

THE OFFEROR CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS S\)BMITTED ON OR WITH THIS CERTIJ{JC,A TION. £; -:t d, fl s; s: s t<WC 'J)t rua:rr , ,A1qrke-&"iJ -!'8F. r 1:: 1>1 eWC , Offeror: ~ rzg:,,,, (lver~egs /?t!.>t'Jtesi 'bviSiM, {,$A.Brydµ ~£~ (A., L(P.

Signature and Title of Authorized Official

The undersigned chieflegal counsel for the _C_~_fz._c...A_M_ec...r_i.c_~ __ Z_Af_<!_,_· ____ hereby certifies (Offeror)

that the f1 °'-. Q ~ has authority under State and local law to comply with (Authorized O~

the subject assurances and that the certific tion abo

Date




CERTIFTCATIONREGARDING DEBARMENT. SUSP!i'.NSIQN AND OTHERRESPONSIBILITYMATTERS

CONTINUED


Primary Covered Transaction~

B-80

1. By signing and submitting this Proposal the Offeror is providing the certification on the preceding page.

2. The inability of a person to provide the certification will not necessarily result in denial of participation in this covered transaction. The Offeror shall submit an explanation of why it cannot provide the certification. The certification or explanation will be considered in connection with the Authority's determination whether to enter into this transaction. However, failure of the Offeror to furnish a certification or an explanation shall disqualify such a person from participation in this transaction.

3. The certification is a material representation of fact upon which reliance was placed when the Authority determined to enter into this transaction. If it is later determined that the Offeror knowingly rendered an erroneous certification, in addition to other remedies available to the Authority, the Authority may terminate this transaction for cause of default.

4. The Offeror shall provide immediate written notice to the Authority if at any time the Offeror learns that its certification was erroneous when submitted or has become erroneous by reason of changed circumstances.

5. The Offeror agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not lmowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the Authority.

6. The Offeror further agrees by submitting this proposal that it will include the clause titled "Certification regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transaction", without modification, in all lower tier covered transactions and in all solicitations for lowered tier covered transactions.

7. Except for transactions authorized under paragraph ( 5) of these instructions, if a participant in a covered transaction knowingly enters into a lower tier covered transaction with a person who is suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Authority, the Authority may terminate this transaction for cause or default.

BFP NO. CAP 27-10 NEW ORANGE AND RED IJNE YEHICI .ES

SECTIONB PART B TECHNICAI, PROPOSAL AND STATEMENTS AND

CEBTIFICATJONS REGARDING El1IGIBII.JTY

CERTIFICATION REGARDING DEBABMENL SJJSPENSION AND OIBER RESPONSIBILITY MATTERS FOB J,OWEB TIER PARTICIPANT

B-81




NAME (PRINTED): .,M..,a"'O""j,,,,an""g~-----------------

TITLE: Assistant Director, Marketing Department. Overseas Business

DATE:




INTELLECTUAL PROPERTYLICENSEAGBEEMENT CERIIFICATION

The undersigned hereby certifies that the Contractor and its related subsuppliers/subcontractors/ agents will execute and adhere to a software escrow agreement and comply with the provisions of Section CS. I I as noted and defined therein and shall comply with the Contract Specification No. VE-I 0-036 and all other general terms and conditions.

OFFER OR:


NAME (PRINTED):

TITLE:

DATE:

CSR America Inc.

MaOiang

Assistant Director, Marketing Department, Overseas Business Division. CSR Qingdao Sifang Co .. Ltd.

B-85

RFP NO. CAP 27-10 NEW ORANGE AND RED I.INE VEIDCI,ES



CERTIFICATION OF COMPLIANCE WITH REGULATION 102 CMR 12.00 DEPENDENT CARE ASSISTANCE PROGRAM INCLIIDING CHIID CARE

B-90

The undersigned hereby certifies that the Offeror is in compliance with Section 7 of Chapter 52 l of the Acts of 1990, as amended by Chapter 329 of the Acts of 1991, and the regulations issued pursuant thereto, 102 CMR 12.00, and that the Offeror is either a qualified employer having fifty (50) or more full time employees and has established a dependent care assistance program, or offers its employees child care tuition assistance or on-site or near site subsidized child care placements, or is an exempt employer.

OFFEROR:


NAME (PRINTED):

TITLE:

DATE:

CSR America, Inc.

MaOiang

Assistant Director. Marketing Department. Overseas Business Division. CSR Qingdao Sifang Co., Ltd.

RFP NO. CAP 27~10 NEW ORAN@ AND RED LINE VEHICT,ES

SECTIONB PART B TECHNICAi, PROPOSAi, ANQ STATEMENTS AND

CERTIFICATIONS BEGABQING EI.IGIRIJ,JTf

PROHIIDIM USE OF UNQOCUMENIEDWQRKERS CEBTIFJCATIQN

B-91

The Offeror agrees to comply with Massachusetts Executive Order 481, which applies to all state agencies in the Executive Branch, including all executive offices, boards, commissions, agencies, departments, divisions, councils, bureaus, and offices, now existing and hereafter established. As it is the policy of the Executive Branch to prohibit the use of undocumented workers in connection with the performance of state contracts, all contracts entered into after February 23, 2007 require that contractors, as a condition of receiving Commonwealth funds under any Executive Branch contract, make the following certification:

CERTIFICATION:

As evidenced by the signature of the Offeror's Authorized Signatory below, the Offeror certifies under the pains and penalties of perjury that the Offeror shall not knowingly use undocumented workers in connection with the performance of all Executive Branch contracts; that pursuant to federal requirements, the Offeror shall verify the immigration status of all workers assigned to such contracts without engaging in unlawful discrimination; and that the Offeror shall not knowingly or recklessly alter, falsify, or accept altered or falsified documents from any such worker(s). The Offeror understands and agrees that breach of any of these terms during the period of each contract may be regarded as a material breach, subjecting the Offeror to sanctions, including but not limited to monetary penalties, withholding of payments, contract suspension or termination.


AUTHORIZED SIGNATURE: -=h~~~-~---------------

TITLE: Assistant Director. Marketing Department. Overseas Business Division. CSR Qingdao Sifang Co .. Ltd.

DATE:

The Offeror is required to sign this Certification only once and may provide a copy of the signed Certification for any contract executed with an Executive Branch Department. A copy of this signed Certification must be attached to the "record copy'' of all contracts with this Offeror that are filed with the contracting Department.

RFP NO. CAP 27-10 NEW ORANGE AND RED LINE VEHICl,ES


CERTIFICATIQNS REGARDING EIJGlRIJ,JTY

CERTIFICATION REGARDING CQMPANIES DOING BJ!SlNESS WITH OB IN NQRTHEBN IRELAND

B-92

Pursuant to M.G.L. c.7 §§ 22C-F, the undersigned, being an authorized representative of the Offeror, hereby certifies under the pains and penalties of perjury that (check applicable item):

1. J The Offeror does not employ ten ( 10) or more employees in an office or other facility located in Northern Ireland.

2. __ The Offeror does employ ten (10) or more employees in an office or other facility located in Northern Ireland and certifies that:

(a)_ The Offeror does not discriminate in employment, compensation, or the terms, conditions and privileges of employment on account of religious or political belief; and

(b) _The Offeror promotes religious tolerance within the work place, and the eradication of any manifestations ofreligious and other illegal discrimination; and

( c) _The Offeror is not engaged in the manufacture, distribution or sale of frrearms, munitions, including rubber or plastic bullets, tear gas, armored vehicles or military aircraft for sue or deployment in Northern Ireland.

3. __ The Offeror does not certify to either 1or2(a-c) above.

Signed under the pains and penalties of perjury:

OFFEROR:


NAME (PRINTED):

TITLE:

DATE:

CSR America. Inc.

MaOiang





MBTA RETIREE CERTIFICATION

In accordance with Section 3 .3 of the MBTA Hiring of MBT A Retirees Policy dated June 5, 2009, THE CONTRACTOR IS REQUIRED TO NOTIFY THE MBTA THAT AN MBTA RETIREE HAS BEEN INCLUDED AS A MEMBER OF ITS TEAM.

B-93

Every contractor is required to notify the MBTA as part of the bidding process that an MBTA retiree will be included as a member of its team. The contractor shall be required to provide the name and date of retirement for each MBTA retiree on the team. Every MBTA retiree working for the MBTA under this condition shall do so in accordance with M.G.L., c 268A, Section 5.

Project Name: RFP No. CAP 27-10-Proposal for New Orange and Red Line Vehicles

Is a MBTA Retiree(s) presently included as a member of the team?

Yes No V lfyou responded "yes" to the above question, the Contractor certifies that the following MBTA Retirees are assigned to the team for this contract.

FjrmName (Please Print)

Retiree Name

OFFER OR: CSR America Inc.

MBTA Retirement Date

AUTHORIZEDSIGNATURE: ~M~a~Q=ia=n=g~-.-~~~~~~~~~~~~~~~~

NAME (PRINTED): ~.,,-9~~7A~-'~-------------TITLE: Assistant Director, Marketing Department, Overseas Business Division

CSR Qingdao Sifang Co., Ltd.

DATE:

If additional space is required, please enclose attachments to be included with your proposal.




Acknowledgment of Addenda is hereby established below:

ACKNOWLEDGMENT OF ADDENPA

Addenda No. Dated Received

1 1/10/2014 1/10/2014

2 1/14/2014 1/14/2014

3 1/24/2014 1/24/2014

4 1/27/2014 1/2712014

5 1/30/2014 1/30/2014

6 2/20/2014 2/20/2014

7 3/04/2014 3/04/2014

8 4/01/2014 4/01/2014

9 4/03/2014 4/03/2014

10 4/14/2014 4/14/2014

B-95

Failure to acknowledge receipt of all Addenda may cause the proposal to be considered non-responsive to the solicitation.

Acknowledgment of receipt of each Addendum must be duly established and included with this Offer (See the above table).

OFFER OR:


NAME (PRINTED):

TITLE:

DATE:

CSR America Inc.

Ma Oiang

Assistant Director. Marketing Department. Overseas Business Division, CSR Qingdao Sifang Co .. Ltd.




CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS FOR LOWER TIER PARTICIPANT

CONTINUED


Lower Tier Covered Transactions

1. By signing and submitting this proposal the prospective lower tier participant is providing the certification on the preceding page.

2. This certification is a material representation of fact upon which reliance was placed when this transaction was entered into. If it is later determined that the prospective lower tier participant knowingly rendered an erroneous certification, in addition to other remedies available to the Authority, the Authority may pursue available remedies, including suspension and/or debarment.

3. The prospective lower tier participant shall provide immediate written notice to the person to which this proposal is submitted if at any time the prospective lower tier participant learns that its certification was erroneous by reason of changed circumstances.

4. The prospective lower tier participant agrees by submitting this proposal that, should the proposed covered transaction be entered into, it shall not knowingly enter into any lower tier covered transaction with a person who is debarred, suspended, declared ineligible, or voluntarily excluded from participation in this covered transaction, unless authorized by the Authority.

5. The prospective lower tier participant further agrees by submitting this proposal that it will include the clause titled "Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transactions", without modification, in all lower tier covered transactions and in all solicitations for lower tier covered transactions.

6. A participant in a covered transaction may rely upon a certification of a prospective participant in a lower tier covered transaction that it is not debarred, suspended, ineligible, or voluntarily excluded from the covered transaction, unless it knows that the certification is erroneous. A participant may decide the method and frequency by which it determines the eligibility of its principals. Each participant may check the Nonprocurement List.

7. Nothing contained in the foregoing shall be construed to require establishment of a system of records in order to render in good faith the certification required. The knowledge and information of a participant is not required to exceed that which is normally possessed by a prudent person in the ordinary course of business dealings.

8. Except for transactions authorized under paragraph ( 4) of these instructions, if a participant in a covered transaction lrnowingly enters into a lower tier covered transaction with a person who is

RFP NO. CAP 27-10 NEW ORANGE AND RED LINE YEIDCLES B-84

suspended, debarred, ineligible, or voluntarily excluded from participation in this transaction, in addition to other remedies available to the Authority, the Authority may pursue available remedies, including suspension and/or debarment.

RFP NO. CAP 27-10 NEW ORANGE AND RED LINE VEIDCLES




B-82

The Lower Tier Participant certifies by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal, State or local department or agency.

When the Lower Tier Participant is unable to certify to any of the statements in this certification, such Participant shall attach an explanation to this proposal.

THE LOWER TIER PARTICIPANT CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS SUBMITTED ON OR WITH THIS CERTIFICATION.

LOWER TIER PARTICIPANT:


NAME (PRINTED):

TITLE:

DATE:

{hr([ Co.1 iil ~utv ~i f-k'mJ 'Dtv)\ • irJ 0 Amei1'L!A__

l 1lflUAA,"1 0!q 1 dG ftj





B-82

The Lower Tier Participant certifies by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debannent, declared ineligible, or voluntarily excluded from covered transactions by any Federal, State or local department or agency.



LOWER TIER PARTICIPANT: Ansaldo STS USA, Inc ~~----~~~~4-~~~~~~~~~~~~~~~-


NAME (PRINTED) : Fumagalli

TITLE: President & CEO

DATE:




CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS.FOR LOWER TIER PARTICIPANT

B-82






NAME (PRINTED):

TITLE:

DATE:

Appendix F

SECTIONB PART B TECHNICAL PROPOSAL AND STATEMENTS AND CERTIFICATIONS REGARDING ELIGIBILITY CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS FOR LOWER TIER PARTICIPANT

Sup.plier Na·me:

Supplier Representative:

Syste.rn:

Date:

c LL C o)J t!IAT10 NA l Y,vc. (Fawea~ Te aw>/;,r;i,/.;)

t(~ S'fivABY- K4 Accr;w..J.. 7&.a~ -dd\;:Xnk::et!'

AP57 b~J Pna)v,'; (-(VA C





B-82






NAME (PRINTED): /1e ~ vc; SA VA R. L

TITLE: k <'-~ A cc~ _rfa.,.a.qP<-

DATE: oi / 22 /_ 2o 4/i-



STATEMENTS AND CERTIFICATIONS REGARDING ELIGIBILITY CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND

OTHERRESPONSIBILITYMATTERSFORLOWERTIERPARTICIPANT

B-82

The Lower Tier Participant certifies by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal, State or Jocal department or agency.


THE LOWER TIER PARTICIPANT CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS SUBMITTED ON OR WITH THIS CERTIFICATION. A I

/ l lf ~

LOWER TIERPARTICIPANT/:tirl~dm<JA1 ~ tmg ~ompany " n I AUTHORIZEDSIGNATURE:~\~j_'--'/'!L/\A'-"-'--VIV\f-f\J{jp41'--===-~~~~~~~~~~~-

NAME (PRINTED): Gerald Freedl11an

TITLE: CEO

DATE: Apri116, 2014

GETSGS Proprietary and Confidential Proposal Package Page Page 36 of 195

REP NO. CAP 27-10 NEW ORANGE AND RED LINE VEHICLES



CERTIFICATION REGARDING DEBARMENT. SUSPENSION AND OTHER RESPONSIBILITY MATTERS FOR LOWER TIER PARTICIPANT

B-82




LOWER TIER PARTICIPANT: Knorr Brake Company, LLC

AUTHORIZED SIGNATURE: ..... tr<t..t-. ~~dt-'""lif.t:J.:..::.e-4=---~.LL...i:~i!:::=--=----------NAME (PRINTED): Kenneth E. Towns

TITLE: Vice President. Contracts

DATE: March 10, 2014


SECTIONB

PART B TECHNICAL PROPOSAL AND STATEMENTS AND CERTIFICATIONS REGARDING ELIGIBILITY


B-82

Tl1e Lower Tier Patticipant certifies by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded fron1covered transactio11s by any Federal, State or local departme11t or agency.

When the Lo\ver Tier Participant is tmable to certify to any of the statements in this certification, such Participa11t shall attach a11 explanation to this proposal.


LOWER TIER PARTICIPANT: Kustom Seating lJnlimited


TITLE: Director of Sales and Marketing

DA TE: 3/21/13


SECTION B PART B TECHNICAL PROPOSAL AND



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NAME (PRINTED):

TITLE:

DATE:

RFP NO. CAP 17-10 NEW ORANGE AND RED I.INE VEHICLES


STATE~1IENTS _:\.i'-1D CERTIFICATIONS REGARDll'l"G ELIGIBILITY

CERTIFICATION REGARDING DEBARl\IEl'\T. SUSPENSION AND OTHER RESPONSIBILITY ~'l...\TTERS FOR LOWER TIER PARTICIP.:\.i'-"T

The Lower Tier Participant certifies by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debanuent declared ineligible, or voluntarily excluded from covered transactions by any Federal. State or local depatiment or agency.

\¥ hen the Lo\.ver Tier Pa1ticipant is unable to certify to any of the statements in this certification, such Participant shall attach an explanation to this proposal.

THE LOWER TIER PARTICIPANT CERTIFIES OR AFFIRMS THE TRUTHFUL!\1ISS AND ACCUR.:\.CY OF THE CONTENTS OF THE STATE1\'IE:\TTS SUBMITTED ON OR WITH

THIS CERTIFICATION.



DATE:




OTHER RESPONSIBILITY MATTERS FOR LOWER TIER PARTICIPANT The Lower Tier Participant certifies by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal, State or local department or agency. When the Lower Tier Participant is unable to certify to any of the statements in this certification, such Participant shall attach an explanation to this proposal. THE LOWER TIER PARTICIPANT CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS SUBMITTED ON OR WITH THIS CERTIFICATION. LOWER TIER PARTICIPANT: Transitair

AUTHORIZED SIGNATURE: NAME (PRINTED): Michael L. Nisbet TITLE: Managing Director & CFO DATE: April 23, 2014





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LOWER TIER PARTICIPANT: TOYO DENKI USA, Inc. ~~~~~~~~~~~~~~~~~~~~~~


NAME (PRINTED):

TITLE: President

DATE: April 16, 2014




OTHER RESPONSIBILITY MATTERS FOR LOWER TIER PARTICIPANT

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THE LOWER TIER PARTICIPANT CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS SUBMITTED ON OR WITH TIDS CERTIFICATION.

LOWER TIER PARTICIPANT: ---======~=::....==c..==---"-=-=-'===-=-===-=---~

AUTHORIZEDSIGNATURE: _ ..c::_ ______ .£::.=-..==--._~~~===::::::::=::::::::. ____________ ~

NAME (PRINTED): --=E=sa:...:M=elkk=o,__ _ ______________ _

TITLE: __ ~Pre~s=id=e=nt"----------------------~

DATE: __ -"-'A~p=ri~ll~l~·=20~1~4~-----------------~

Form B-82_ Trans-Lite_2014-04-11.doc



STATEMENTS AND CERTIFICATIONS REGARDING ELIGIBILITY CERTIFICATION REGARDING DEBARMENT. SUSPENSION AND


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The Lower Tier Participant certifies by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded fro1n covered transactions

. by any Federal, State or local department or agency.



LOWER TIER PAR TI CIP ANT: --~T,_,r;can"'s,,,te"'c"'hn"'i"'k"'C"'o"-m"-"U"'S'"'A'---------

AUTHORIZED SIGNATURE: --~·C~·····~==·~=··>c_li,_.(..::-~-----------NAME(PRINTED): ______ ~S~t~ep~l~1e"'n~M~a~r~k ________________ _

TITLE: __________ -'"S~a~le~s~M~a~n~a~e~r-----------~

DATE: __________ ~A'-=ri~l~l4,,,_.2~0~!4,__ _____ ~

RFP NO. CAP 27-10 NEW ORANGE AND RED LINE VEWCLES

SECTIONB rARTBIECHNICALPROPQSALANUSTAIEMENTSANQ


CERTIFICATION REGARDING DEBABMENT. SUSPENSION ANQ OTUER BESPQNSIBILID MATTERS FOR LOWER TIER PARTICIPANT

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The Lower Tier Participant certifies by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debannent, declared ineligible, or voluntarily excluded from covered transactions by any Federal, State or local department or agency.


THE LOWER TIER PARTICIPANT CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS SUBMITTED ON OR WITH TWS CERTIFICATION.

LOWER TIER PARTICIPANT: ~~tion N.~LC AUTHORIZED SIGNATURE:~=~~~=~~~-::::__ ________ _

NAME(PRINTED): ~G=e=o=ff~N~e=ls=o=n----------------~

TITLE: President

DATE: April 9th 2014



STATEMENTS AND CERTIFICATIONS REGARDING ELIGIBILITY CERTIFICATION REGARDING DEBARMENT. SUSPENSION AND


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LOWER TIER PARTICIPANT: rr~ _LLC

AUTHORIZED SIGNATURE: -~-=+--1i)=--........... ~_,.C..,k¥J,v-b4'=<..--"')'-----------NAME (PRINTED): Craig Nichols _____________________ _

TITLE: Senior Program Manager-Rail Transit __________________ _

DATE: II April2014 ____________________ _

RFP NO. CAP 27-10 NEW ORANGE AND RED LINE VEIDCLES



CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBfLITY MATTERS FOR LOWER TIER PARTICIPANT

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OFFER OR:


NAME (PRINTED):

TITLE:

DATE:

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Appendix F SECTION B PART B TECHNICAL PROPOSAL AND STATEMENTS AND CERTIFICATIONS REGARDING ELIGIBILITY CERTIFICATION REGARDING DEBARMENT, SUSPENSION AND OTHER RESPONSIBILITY MATTERS FOR LOWER TIER PARTICIPANT

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BID PROPOSAL EXHIBIT 1 - CERTIFICATIONS AND SUBMISSION FORMS

CERTIFICATION OF LOWER-TIER PARTICIPANT REGARDING DEBARMENT, SUSPENSION, INELIGIBILITY, VOLUNTARY

EXCLUSION, AND OTHER RESPONSIBILITY MATTERS

The Lower-Tier Participant (applicant or potential Subcontractor for a major third party Contract), Wabtec Passenger Transit division of Westinghouse Air Brake Technologies Corporation , certifies, by submission of this Bid, d/b/a Wabtec Coro. (Company Name)

that it and its "principals" [as defined in 49 CFR 29. lOS(p)], to the best of their knowledge and belief: 1. Are not presently debarred, suspended, proposed for debarment, declared ineligible, or

voluntarily excluded from participation in this transaction by any Federal Department or agency;

2. Have not within a three-year period preceding this Bid 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, 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 a government entity (Federal, state, or local) with commission of any of the offences enumerated in paragraph (2) of this certification; and

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

THE LOWER-TIER PARTICIPANT (APPLICANT OR POTENTIAL SUBCONTRACTOR FOR A MAJOR THIRD PARTY CONTRACT) Wabtec Passenger Transit division of Westinghouse A ir Brakes

Technologies Corporation, d/b/ a vVabtec Corp.(Company Name) CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF

THE STATEMENTS SUBMITTED ON OR WITH THIS CERTIFICATION AND

AT THE PROVISIONS OF 31 USC§§ 3801 ET SEQ. ARE APPLICABLE

6Jan2014 Date

Typed Name and Title of Authorized Officer

If the Lower-Tier Participant is unable to certify to any of the statements in this certification, then the Lower-Tier Participant must attach an explanation to this certification.

P-15





The Lower Tier Participant certifies by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any Federal, State or local department or agency. When the Lower Tier Participant is unable to certify to any of the statements in this certification, such Participant shall attach an explanation to this proposal. THE LOWER TIER PARTICIPANT CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS SUBMITTED ON OR WITH THIS CERTIFICATION.


________________________________________________________


________________________________________________________

NAME (PRINTED):

________________________________________________________

TITLE:

________________________________________________________

DATE:

________________________________________________________

Vapor Stone Rail Systems,

Frederik van der Veen

Proposals Manager

a division of Westinghouse Air Brake Technologies Corporation, d/b/a Wabtec Corp.

January 31, 2014





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The Lower Tier Participant certifies by submission of this proposal, that neither it nor its principals are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transact ions by any Federal, State or local department or agency.



WOOJIN IS AMERICA, INC.

AUTHORIZED SIGNATURE: _____ __...,9e'7F~~~79"'-~~/~--t~L~ ..... '-----____ _ NAME (PRINTED): __ J_o_s_E_P_H_s_._K_IM _______________ _

Vice President & COO

DATE: __ A_p_ri_l_l6_,_2_0_1_4 ________ ___________ ~

Documents

CSR Qingdao Sifang Co. Ltd. - MBTA - Massachusetts Bay ... · PDF filerfp no. cap 27-10 new orange and red line vehicles sectionb part b technical proposal anp statements and certifications