wvoRK Department ofJEOF oRTUNITY. Transportation

ANDREW M. CUOMO Governor

MARIE THERESE DOMINGUEZ

Commissioner.

RONALD L. EPSTEIN Executive Deputy Commissioner

Chief Financial Officer

New York State Department of Transportation FTA Pre-Award Audit Report

For NYSOGS Adult Bus Contract Award 23170

NYSOGS Contract#: 23170 Bidder (Offerer): Manufacturer: Description of Vehicle (LOT):

Annual Estimated Quantity: Submitted by: Date:

WMK, LLC OBA Mobility Works The Braun Corporation LOT A. Low Floor Vehicle <10,000 lb. 4 Passenger [3A/1W/C] 30 Ed Sawicki December 27, 2019

50 Wolf Road, Albany, NY 12232 I www.dot.ny.gov

Executive Summary

The Federal Transit Administration (FTA) Pre-Award Audit Report is a review and a determination of compliance, based on information supplied to the New York State Office of General Services (NYSOGS) Invitation for Bid (IFB) Number 23170 for acquiring new FTA Adult Passenger Transit Buses and associated optional equipment. Each vehicle category or "LOT" is bid separately, with a unique set of specifications.

Before an apparent low bidder can be recommended for award, each bid offer must demonstrate compliance with the bid specifications, and include copies of FTA required Pre-Award documents, including: Buy America Certification, applicable Federal Motor Vehicle Safety Standards (FMVSS) Certification, and Purchaser's Requirements Certification.

This report verifies that the bidder (offeror) WMK, LLC OBA Mobility Works meets the rolling stock vehicle manufacturer requirements for Pre-Award Buy America Certification for LOT A.

This document further outlines how the audit is conducted for the Pre-Award requirements for FTA funded transit vehicles by NYSDOT. The NYSOGS Adult Bus bid 23170 is the procurement instrument used by the Public Transportation Bureau (PTB) of the New York State Department of Transportation (NYSDOT) for FTA 5310 funded vehicles. The Pre-Award documentation should also be used by other eligible FTA funded procurements through the Extension of Use Program administered by PTB.

Audit Procedures

When bids are submitted, NYSOGS forwards PTB copies of each bid package. PTB assists NYSOGS in the review for specification and FTA compliance. In-house staff at PTB reviews the documentation, then report back to NYSOGS with findings, if any.

Appendix D of the IFB contains all Federal Government Required Clauses (FTA). Attachment 1 contains the bidder's proposed specifications and pricing; New York State required certifications are found in Attachment 2; Manufacturer's certification in Attachment 9; and FTA certification for Rolling Stock in Attachment 10.

For Pre-Award Certification, PTB staff catalogues all documents forwarded from NYSOGS, then reviews the bid submissions of the lowest 2 bidders. Each review determines if the specifications are met and if all documentation has been provided by each bidder. NYSOGS policy allows for bidders to supply missing or additional supporting documentation when requested in writing.

During this phase, PTB staff relays questions and deficiencies to NYSOGS for follow up. Bidders are requested to reply within 5 business days of written notification. This

2019 OGS Adult Bid Pre-Award Buy America Narrative Page 2 of 4

cycle continues until either the discrepancy is satisfactorily resolved, or a recommendation of non-compliance is relayed to NYSOGS by PTB. To qualify for contract award on the NYSOGS Adult Bus Contract, bidders must supply sufficient pre-award documentation that satisfies FTA requirements. Pre-Award Certification and supporting documents are attached to this audit report, certifying compliance with Buy America and Federal Motor Vehicle Safety Standards (FMVSS}. In addition, certification that the manufacturer is responsible and capable of producing the specified vehicles is also included.

To validate these certifications, the following criteria has been established:

Bidder (Offeror) Certification Form (B-1; B-2)

As part of the bid process, each bidder(offeror) must certify that their offer complies with the requirements of 49 U.S.C. 5323U) and the applicable regulations in 49 CFR 661.11. Form B-1; B-2 has been added to the supporting documents.

Pre-Award Buy America Certification Form (B-3; 8-4)

Part A (B-3)

Submitted with Attachment 10 of the IFB, the bidder (offeror) certifies the proposed vehicles will comply with Buy America in accordance with 49 CFR Part 663-Subpart B and 49 U.S.C. 5323U). When the bidder is not the manufacturer, the bidder must include the manufacturer's certification. Supporting documents must include sufficient detail that demonstrates at least 70% United State material content for award 23170.

The manufacturer certification must also include a separate final assembly cost in terms of dollars, the activities associated with final assembly, and the location it occurred.

As a method to verify that percentages of components and sub-components presented are consistent and reasonable, the manufacturer's self-certification is compared to other bidders' proposals.

By certifying Part A, the recipient, or its auditor affirms compliance with this statute.

Part B (8-4)

If Part B is endorsed, a copy of a letter from the FTA which grants a waiver to the rolling stock to be purchased from the Buy America Requirements shall be included in this report.

Pre-Award Purchasers Requirement Certification Form (85)

Unlike a request for proposal, this I FB requires full compliance with the bid specifications for award. The review team seeks out any deviation that may be listed by

2019 OGS Adult Bid Pre-Award Buy America Narrative Page3of4

the bidder or suggested in the supporting documentation. When discovered and requested, written clarification must be provided by the bidder that satisfies the specifications, or the bid is disqualified.

Attachment 9 of the IFB includes a Manufacturer's certificate, requiring the manufacturer to verify that the bidder is an authorized dealer of their product, and that they have the capacity and capability of producing the vehicle.

In addition, the reviewer verifies that the bidder is listed under the Systems for Awards Management (SAMS), and that the manufacturer is a current and eligible Transit Vehicle Manufacturer (TVM) with the United States Department of Transportation.

Federal Motor Vehicle Safety Standards FMVSS Forms (B7; B-8)

Part A (B-7)

When endorsed, the reviewer verifies that the bidder has supplied the manufacturer's certification that the vehicle will comply with all applicable FMVSS requirements.

Attached with this report is the manufacturer's FMVSS certification for the specified vehicle.

Part B (B-8)

If Part B is endorsed, a statement from the manufacturer would be included, indicating that the specified vehicle will not be subject to FMVSS issued by the National Highway Traffic Safety Administration (NHTSA) in 49 CFR Part 571.

Pre-Award Audit Conclusions

After review of the documentation, the reviewer has concluded that the bidder (offeror) meets the rolling stock vehicle manufacturer requirements for Pre-Award Buy America Certification for LOT A.

Attachments

Form B-1; B-2 Form B-3; B-4 and supporting documents Form B-5 and supporting documents Form 8-7; 8-8 and supporting documents

2019 OGS Adult Bid Pre-Award Buy America Narrative Page 4 of 4

WYORK TEOF ORTUNITY.

Department of Transportation

Federal Transit Administration Buy America Rolling Stock

Certification

INSTRUCTIONS: The bidder or offeror must complete ejther Part A or Part Band Part C of this form. One form must be completed fa· � vehicle bid. The completed form, signed and dated, must be submitted prior to the bid award. In determining the ability to cer:ify compliance, the bidder or offerer must obtain the required certifications and review the documentation submitted by the manufactL rer in support of its certification. Guidance regarding the Federal Transit Administration's Buy America program may be found at: www.translt.dot.gov. OGS Invitation for Bids No.: 123170 I

PART A: Certificate of Compliance with Buy America Rolling Stock Requirements

A. To certify COMPLIANCE with Buy America Rolling Stock Requirements, check the box below, sign and date the at:testatlon, then go toPart C.

The bidder or offeror hereby certifies that it will comply with the requirements of 49 U.S�C. 5323(1], and the applicable regulation� in l2S) 49 CFR § 661.11.

Signature:

If you are not using a digital signature above, you must provide the information below to complete the form, then £0 to Part C to submit

the form.

Print Name, !Eric H. Mansfield

Company Name: jwMK, LLC dba Mobility Works

I Title: I President/Chief Operations Officer

Date: loec 30, 2019

PART B: Certificate of Non-Compliance with Buy America Rolling Stock Requirements

B. To certify NON-COMPLIANCE with Buy America Rolling Stock Requirements, check the box below, sign and date the attestation, tt-engo to PartC.

The bidder or offeror hereby certifies that It can not �omply with the requirements of 49 .U.S.C. S323(jl. but may qualify for an 0 exemption to the requfreme.nt consistent with 49 U.S.C. 53230)(2), as amended, and the applicable regulations in 49 CFR § 661. 7.

Signature:

If you are not using a digital signature above, you must provide the information below to complete the form, then go to Part C to sul::T1lt theform.

Print Name: Title:

Company Name: Date:

PART C: Submitting the Form

For Part A or B above, select the Lot being certified:! ,_L_o_t A _____ __.

Use the buttons below to Save and/or Print this form for your records. To submit the form via email, use the Submit button to send the form to: Public.Transport�tion@dot.ny.gov. I Save Form I

Submit by Email

Print Form

, ..,_ .... 1\1 '7

4WYORK HOF ORTUNITY.

Department of Transportation

Federal Transit Administration

Pre-Award Buy America

Certification

INSTRUCTIONS: Completion of this form is required. Please complete either Part A or B below as applicabl�. You must sign and date the form. The form must be returned to

Recipient and Vehicle Information

Recipient Name: New york State Department of Transportation Date:

Number ofVehicle(s) to be �urchased:�j3_o __ __.

Descr;pt;on of Veh;cle[s), I Low Floor Vehkle < 10,000 lb.

� Check here to attach additional vehicle information

Manufacturer: lrhe Braun Corporation

PART A: Pre-Award Buy America Certification

loec 27, 2019

To certify COMPLIANCE with Pre-Award Buy America Requirements, complete the following questions, then sign and date the form.

1. In accordance with 49 CFR Part 663-Subpart B, is the recipient of the vehicles described above satisfied that the vehicle(s) to be purchased from the manufacturer meet the requirements of 49 CFR U.S.C. 5323(j) as amended? (e Yes (' No

2. Identify the party responsible for the review of t he documentation provided by the manufacturer that listed (1) the proposedcomponent and subcomponent parts of the vehicles identified by manufacturer, country of origin, and cost; and (2) the proposedlocation of the final assembly point for the vehicles, including a description of the activities that will take place at the final assemblypoint and the cost of the final assembly. Select One: (' Recipient (e Recipient's Appointed Auditor

Name of Auditor: �IE_d _w_a _rd __ sa_w_ i _c _ki _____________________ �

Recipient Authorized Signature: Ed Sawicki Digitally signed by Ed Sawicki Date: 2019.12.27 08:43:04 -05'00'

If you are not using a digital signature above, you must sign, then complete the following section. If your digital signature does not contain one or more of these elements, you must also complete this section.

Print Name: Company Name:

Title:

PART B: Pre-Award Buy America Certificate of Non-Compliance

To certify NON-COMPLIANCE with Pre-Award Buy America Requirements, complete the following question, then sign and date the form.

1. In accordance with 49 CFR Part 663-Subpart B, does the recipient keep on file a certification that there is a letter from FTA which grantsa waiver to the rolling stock to be purchased (as described above), from the Buy America requirements under 49 U.S.C. 53230)(2)(A), (2)(B),or (2){0), as amended? (' Yes (' No

Recipient Authorized Signature:

If you are not using a digital signature above, you must sign, then complete the following section. If your digital signature does not contain one or more of these elements, you must also complete this section.

Print Name: Company Name:

Title:

FT A Rolling Stock Procurements B-3; B-4 2017

Pre Award Buy America Certification Manufa-,:turer: The Braun Corpcrallon

Bid ND. 23170 Description: LOT A Low FloorVehlcle <10,00D lbs.

Recrplent: Sta18 of NV-OGS Vin: ______ .....,._ ...... __ ....,. __

Final aaaembry acti¥1Uea completed at : The Braun corporaticn 631 W. 11st st. Winamac, IN 46996 Assembred In US

---·- ----·- -·· -- -----·-· -- .. • -· -·•n�-- ·-- ··- ·- -· . --· ----

ChUals ChMller U.S. NO 50.77%

Pre- Flnal Assembly The Braun Collloration U.S. YES 7.37% lnterfor Panels Medallion Plastics U.S. YES 2.34%

Mist. Stamrwt Parts Qualitv Tool and StamDln!l U.S. YES 1.67% Misc. Fabricated Parts Mor/Rvde U.S. YES 1.28%

Floor/Sub-Floor Standard lnteorated U.S. YES 1.16% Exterior Panels Star Deslon. LLC U.S. YES 0.85%

Mrsc. StamnArl Parts Looan Stamoino U.S. YES 0.67% Tie-down Belt9 & Track Q'Straint U.S. YES 0.46%

Steel JoseDh T. Rverson U.S. YES 0.61% RamDffii�.Comoonents Duramokl Castina U.S. YES 0.38%

Brake/Fuel Unes C0008r-Standard U.S. YES 0.29% Fuel Tube Ontario, Inc U.S. YES 0.26%

HVACUnes Hutdlinson U.S. YES 0.22% Misc. Comnnnents Standard Industrial U.S. YES 0.29% Misc. Components Fastenal U.S. YES 0.18%

Misc. Pl11tlc Hammer U.S. YES 0.1-4% Tie-down Belts Unarade Q'Stralnt U.S. YES 1.37%

Total Percentage of Vehicle Manufactured In U.S. 70.30%

FINAL ASSEMBL YPOINT ,..,_ .. .,.,,

Windsor, Ont&riO, canada Winamac IN

Mishawaka, IN Muskeoon Heiahts, Ml

Elkhart IN Winamac IN Elkhart IN

Lo-nsoort, IN Ft Lauderdale, Fl

Lisi&, IL South Bend, IN

Falivlew Ml Warren. Ml

Llvinn.c:tnn TN Winamac.IN Chlcann IL Elkhart IN

Coat of final aaeembly as ..iated to C()tt of vehicle (percentage): 5. 91 %

Description ot ftnal assembly activities detalled on foHowlng IUlchmenL

-r. a+� THle: Commercfal WAV Bid Manager

Da«e: 9127��9

Pascdpt1gn pf flrutl u•embly act1v1Uea; (a) Strip Out - Removal of fhe front and rear uating components. interior wan and door panels, and all carpeting. (b) Seat Re-Engineering & Modifications • Remanufaetured to be easily removable for wheelel'lalr access and IO permit ecceaa to a kneeling systemlinqr actuator and a proprietary vehtde lllde doortramp corttrollar.(c) Subeystern Re-Engineering & Moctllicatlons-Jnatau nlWt' longer, rec;onfigured rear brake, fuel. beat, ana air conditianlng and fuel llnee.(d) Fuel Tank System Re-Ent:ilneering & Modifications· Removal of the original fuel tank and charcoal canister from Its mid-vehicle lacatlan, ratated,relocated, and relnstalled to aft of the rear axle location. The original fuel flfl pipe assembly is rem011ed amt discarded and a new, reconfigured fuel pipeassembly Is Installed to meet ttu, rel'oeated and rotated foel tank.(e) Fallricatlon of Lowered Floor Unit Body. Fal>ncatlon of a new low floor unit body.(f) Floor Re-Englneeri,g & Modifications - Removal of the Original Equipment Manufacturer (OEM) floor and undercarriage ft-om the toe pan to Iha rearaxle, adding of a new afl rear axle fuel tank SUPJIOrt stn.lcturt, a new kneeling system actuator hO\lalng and structure, a nw, 1pare tfrefstonlge tub. anda new klwered floor ,tructure, and varrou. body work to accommodate lhe new lowered floor structure.(g) Exhaust R.englnearlng & Modinoatians • Removal of the heat sheilds, and lnstalllng a new reconfigured exhaust�. hangar, brackete and mufflet.(h) Engine/Tran11ml11lan1Front Suspension AJsambly Modifications - Diaconnectlon from the vehlde and removed but with the engine line• and hotesleft attached. Modlllcationa are made to the englne/ttansmiasion/f,onl suspension astiembly, such as adding various types Df 1padng braclCetl, customsteering shaft eldenslon, and two engine cradle safety bracket tuba extensions. The anglnaltransmlallonffront suspension tanembley ie then reinstalled,In addition, a CARB r.ompllant fuel 8Y$fem Is Installed, and the exhauat system and heat shellds are insballed a we.II.Q) Sllde Door Re-Engineering & Modifications • Removal af the slide doors and modifications made to accommadate a lowered ffoor/Whnlchalr rampentrance. The doo11 are then rein5talled.0) Rear Axle & suspension Re-Engineering & Mcdlflcatlons - Removal, modlffc:aUons done to lhe sway bar mounting, and coll spring maunta, addlUon Ofa kneel chain lll'BCICet, and reinstallatlon of rear axle.(k) Flooring & Waffs • lnstallatfon of a marine grade flooring substrate and covering and carpet or plastic panelt with carpeted k'lserts. Wah art ooveredwlth new Interior panels and 1rfms.(I) Rear Bumper Re-Engineering & Modifications - Jnvo1vffll removal of 1h11 rear bumper, relnforclng the rear bumper, and reinstalling It.(m) Wiring Re-Engtneerlng & Modlffcatlona • Reccnfl;uratfon of the seating ayatem• and airbag systems, and modifications to accornadate thewhtalchalr ramp system, slide door openation, kneel function, and other accesslblty modifications.(n) Ramp • Installation of the manual or powerwheetchair raml)S.(o) PaJnt & Undercoat - Newly Installed components are painted and the entire floor hi undercoated.(p) M'8cellaneous � !ifflong otherthlnga, the vehlde rs Inspected� weighed and rec:ertified by The Braun Corporation.(q) Road Test(r) Final Wash(s) Flnar Inspection(t} Final repairs

8Ubfec;t.

0 Memorandum U.S.. DepartmentofTranaponatlonFederal Tnnalt AclmkllatrallOft

Determination as to whether the process by which theBraun Colporation converts incomplete Chrysler minivans into Braun Entervans satisfies Ff A's Buy America requirements for final usembly.

JUN 2 8 2013

Raplyto Attn. ot Mary J. Lee, Attorney-Advisor

Dorval R. c---. Jr .. C'JdefCounscl �

To: Peter Rogoff, AdminiSlralOr

The pmpose of this memorandum is to document Fr A •s determination that.the processes by which the Braun Cmporation (Braun) converts incomplete Chrysler minivans into Braun-Entcrvans satisfiesFTA's Buy Americueq11irements for final assembly.

L

a. Rucissum of Bvy America Waiver for Minivans and Minivan Chassis

On June 21. 2010, FTA issued a non-availability waiver of the Buy America final assembly requirement fDT all minivans ·and minivan chassis. Notice of Buy A•erlca Waivu for Minhlans tJnd Mlnlvon ChQ!Uis, 1S Fed. Reg. 35.123. At that time, Ff A determined that there was no manufacturer that was willing and able to perform fmal assembly on these types ofvehicles in the United States. Id.

On August 3, 2012, FTA published a notice of a request to rescind the non.availability waiver for minivans and minivan chassis. 77 Fed. Reg. 46556. After reviewing and carefully ex>nsiderlng all ofthe comments submitted pursuant to the request, Ff A found that a domestic vehicle-the Vehicle Pioduction Gioup•s MV-1-is available that meets the Buy America fmal assembly requirements.Therefore, Fl'A detennined that the waiver was no longer necessary and rescinded the waiver. Decuion to Rescind Buy .America Waiver for Minivans and Minivan Clu:mls. 77 Fed. Reg. 71,673(Dec. 3, 2012).

Subsequently, in an\mdated letter sent in January 2013, Braun made a formal request to FTA to determine whether its processes were sufficient to meet the final assembly requhemcnt 1mder 49 C.F.R. § 661.11. Braun followed its request with a May 7, 2013 request to meet with Ff A to discussits processes, and a May 14, 2013 letter contJrinjng various certification documents citing that. amongother thinas. Braun is the final stage manufacturer. In a May 16, 2013 letter, Braun requested that fTA provide Braun with any fullow-up quoslions Ff A bad concerning Bra\D1's processes. On June4. 2013, Braun presented its manufacturing and �onvcrsion processes to FT A in person.

Page 1 of 6

reinstalled. In addition, a CARB com_pliant fuel system is installed, and the exhaust system and heat shields are installed as well.

(i) ''Slide Door Re-Engineering & Modifications": removal of the slide doors andmodifications made 1o acc::ommodate a lowered floor/wheelchair ramp entrance. 'Illedoors are then reinstalled.

(D "Rear Axle & Suspension Re-Engineering & Modifications"": removal, modificationsdone to the sway bar mounting. and coil spring mounts. addition of a kneel chain bracket�and reinstallation of the rear axle.

(k) "Flooring & Walls": installatian of a marine grade flooring substrate and covering and carpet or plastic panels with cupeted inserts. Walls are covered wi1h new interior panels and trims.

(1) "Rear Bumper Re-Engineering & Modificationsu: involves removal of the rear bumper. reinforcing the rear bumper� and reinstalling it.

(m) "W"aring Re-Engineering & Modifications": reconfiguration of 1he seating systems andairbag systems, and modifications to accommodate the wheelchair ramp system. slidedoor operation, kneel function, and other accessibility modifications.

(n) "Ramp": imtallation of the manual or power wheelchair ramps.

(o) "Paint & Underco.at": newly installed components are painted and the entire floor isunden::oated.

(p) .. MiscellancousH: Among other things, the vehicle is inspected. weighedt and recertified by Braun.

Bmm states that the above-described processes require approximate]y thirty employees end approximately flfty hours to complete the pmccsses per one vehicle. Braun employs approximately 150 employees for these conversion pzocesscs.

B�ause Braun is a final stage manufacturer under NRTSA's regulations and its conversion activities on the Chrysler vehicles BRt significant. Bmun believes that it also meets the final assembly requirement under FTA's Buy America regulations at 49 C.F.R. § 661.11 and is requesting confirmation by FI'A.

n. Buy America

a. Buy America Requinments for Buses and Rall Cars

Under 49 U.S.C. § 53230)(1), FTA may not obligate funds for a project unless the steel, iron, and manufactured goods used in a projc:et are pzoduced in the United States. For rollinl stock procurements, this requirement does not apply. if the cost of the components produced in the United States is more than 60 percent of the cost of all componen1s and final assembly takes place in the United States. 49 U.S.C. § 53230)(2)(C); 49 C.F.R. § 661.ll(a). Final assembly is defined as "the

Page 3of 5

creation of the end product from individual elements btouaht together for that purpose through application of manufacturing processes.." 49 C.F.R. § 661.1 l(r).

The typical minimum final assembly requirements for rolling stock are :further provided in Appendix D to § 661.l I and distingw.shcd between minimllm final assembly requirements for rail cars and buses. FTA provided guidance on the final assembly requirement for buses in a March 18, 1997 Dear Colleague Letter on B11:y America: Pre-Award and Post-Delivery Audits. which has been added to FTA's existing iegulation and is still applicable today:

In the case of a new busa final amembly would typically incl� at a minimum, the installation and interconnection of the engine, transmission, axles. including 1he COQling and braking systems; the installation and interconnection of the heating and air eonditionins equipment; the installation of pneumatic and elc:cttieal systems, door systems, passenger seats, passenger grab rails, destination signs, wheelchair lifts; and road testing, final inspection. repairs and pzeparation of the vehicles for delivery.

See also 49 C.F.R. § 661.11 app. D, para. b.

If a manufactu.ret's assembly processes do not include all of the activities typically considered final assembly. the manufacturer may request an Fl'A determination of compliance. FrA Dear Colleague Letter, Match 18, 1997; 49 C.F.R. § 661.11 app. D, para. c. FTA reviews these requests for compliaru:c � by c:aS&; based upon the information provided by the manufacturer. 49 C.F.R. § 661.J l app. D, para. c.

b. Final .Anembly RequJremenmfor .Minivans

While Fr A addresses the typical final assembly requisements for rolling stodt such as buses and rail cars in its regulations and guidance doeuments, FTA has not specifically addressed the final assembly requirements for minivans and minivan chassis. Moreover,. begause the minivans at issue here are converted for wheelchair accessibility. the typical final assembly requirements for bus� and even.other minivans that are not wheelchair accCSSI"ble, may not apply because of the significant amount of manufacturing that takes place to the vehicle durins the conversion processes. Thus> in order to show that wheelchair accessible minivans meet the Buy America requirement for final assembly, Braun must show that the wheelchair accessible minivans it manufactures Is a different vehicle from the incomplete: minivan that it receives from Chrysler and tbat those processes include assembling the various components in the United States in order to prodw:e a wheelchair-aocessible minivan.

Ill. Discussion

Upon careful re�ewofBnun's manufacturing processes in consultation with FI'A engineers. I find that 13mwtts processes meets the final assembly requixement for rolling stock under 49 C.F.R. § 661.11 (a) and (r). As stated above, ill order-to show that wheelchair accessible minivans meet the Buy America requimnent fo.r final assembly, a wnverted minivan 'that allows for wheelchair accessibility must be a different vehicle from the original Cbcysler minivan and 1hose processes most include assembling the various components in the United Slates in order to produce a wheelchair accessible minivan. Here> once all of Braun's conversion and manufacturiug pro�ses in the United Stat�s are comp1ete, Braun's �ehicle is no longer a. "Chrys� minivan. Instead, it becomes a "Braun Entervan" with different door. height. floor length> and seating dimensions, is wheelchair

Page4of5

WYORK :TEOF ORTUNITY.

Department of Transportation

Federal Transit Administration

Pre-Award Purchaser's Requirements

Certification

INSTRUCTIONS: Completion of this form is required. You must sign and date the form. The form must be returned to

Recipient and Vehicle Information

Recipient Name: New York State Department ofTransportation Date:

Number ofVehicle(s) to be Purchased:I30 ---�

Manufacturer: !The Braun Corporation

DescripUon of Vehicle(s), I Low Floor Vehicle < 1 O,OOOlb.

� Check here to attach additional vehicle information

PART A: Pre-Award Buy America Certification

I Dec 27, 2019

To certify COMPLIANCE with Pre-Award Buy America Requirements, complete the following questions, then sign and date the form.

1. ln accordance with 49 CFR Part 663-Subpart B, does the recipient of the vehicle(s) described above certify that the describedvehide(s) are the same product described in the recipient's solicitation specification? (e' Yes (' No

2. In accordance with 49 CFR Part 663-Subpart B, does the recipient of the vehicle(s) described above certify that the proposedmanufacturer is a responsible manufacturer with the capability to produce vehicles that meet the spec ifications set forth in thesolicitation? r. Yes (' No

Recipient Authorized Signature: Ed Sawicki Digitally signed by Ed Sawicki Date: 2019.12.27 08:56:57 -05'00'

If you are not using a digital signature above, you must sign, then complete the following section. If your digital signature does not contain one or more of these elements, you must also complete this section.

Print Name: Company Name:

Title:

FTA Rolling Stock Procurements B-5 2017

GllOUP 415:zl-BUSES, TRANSIT (Adult PatteDler) PAGE2of3

fof each Lot beilg bid. Mat be 111bmitted prior to the Bid award or the Bid will be rejected u IIOnn$J)OllSi-ve. This n!quitemat does not apply to lower tier nbcoatracton. 49CFR Part 661 B&1y America R«pdr'1ftelltJ, n:quires lbal wbicles purehued with Fcdcml Transit Admlnistratioa (FT A) finds meet tbc followina critcrir.

1. All inm, steel and mmiuf'actun:d produc.:t, � in tilt. manu&111un1 of the "chicle must be produced .fn the Uniled StaleS��m�

OR

2. The cost of compollC:tl1S and subcoqionecits of Che vehidc tlrat are pn,duced in 1he United States is more than 70% ofIlle cost of all co� m.4 .lllboompoaonb of Che vehicle and final assembly oat tab place in the United Slates ( 49

· CPR.661.11).By .dpf11 llelffl en Page 3. manur.cturu certifies tbat It:

I. Elt1"rwlN,:o•plp. orguu,otu,g&wll/J 41 U.S.C B:Z3(i)(1). (Ckch•e)Cm;ticate qf 0,mplianc8 With 49 U.S. C. SJ2J(/)(I)..JL The manufactor« hereby certifies that it will comply wi1h the requirements of 49 U.S.C. S323(j)(l) and the applicablereplations in 49 Q:R Part 661.S.

Cutfftcale ofNo•Complklnce with 49 U.S.C. $123(;)(1)

_ The mumfactllMr lia'eby certifies that it cannot comply with dlercquiremcms of 49 u.s.c. 53230)(1) and 49 c.F.k.661.S, but ii may qualify for an exception pursUint to 4!i1 u.s.c. 5323(J)(2)(A), 5323(i)(l)(B). ot 5323(j)(2)(D), and 49C.P.ll. 661.7.

2. Eitlta- will q,mm. or c,,..ot comply with 49 U.S.C. 53ZJ(b(2)(C). (Q«k 011�)Certflcat• q/Compliance wili 49 U.S.C S32J(j)(2)(C).__!_ Tbe inaDllfactwer hareby certifies that it will comply with the requiramc:nts or 49 U.S.C. S3l3{j)(2)(C) and theEeplalions at 49 C.F.R. Part661.ll.Certificate of Mm-Ccmpli4,a wlli 49 U.S. C. 5J1J(i){1)(C) __ The manuflctmer hereby certirx:5 lhat it cannot comply wieh te requirements of _.9 u.s.c. �l23(j)(2)(C) and 49 CF .R.. 661.ll, but may qualify for an exception pmsuaDt to 49 U.S.C. 5323(j)(2)(A). 5323(j)(2)(9). or S323{j)(l)(D), and 49 C.F.R. 1561.7.

CERTIFICATION OF C'OMI-LIANCE WITHl"EDEBAL BVY .AMERICA REQUIREMENTS (Part2 oU) (Fedenlly Maadated Pre-Award ud l'osM>eUvery Audit Reqwremaats)

All Tonsil B\llel iDc1uded ill dlia bid mutt meet the !Dluiranents of 49 U.S. Code S323(j); (49 CFR Patt 661 Bvy .America Rquin1'Wnt.s. and 49 CPR. Part 663,13 GNntM Rapo,ulblllty)- Jn accordance with tha Fcdea1. Gowmmmt llequircd Clause:1 ofdlis IFB, .. If* Bidder ca-ljfiu CtJmplitmce with B•y Mscrko, it 1"4U nbmU flocumtUttation wlilds fut:1 I) compoMllt and ntix»,,,ponat,xw oflicRollbtgStockto bepurdio.ml idmtlfad l,y �ero/lAepgra. tlweowt1ryof orlgl,t and =tt,· and 2) di, lot:oUon of •Jllllll a.T.tatbly poinlfot' the Rolling � inclutling" ducrtptlon of 1M adivilia that wi/1 ta'b p/tmll al tlflt fmal a.t.vmhly pollll and rltt, COIi of final a:uemb{y. "

By liplng bdow on pap J, you certify your express authority to aip on behalf of your company. and that all lnf'onutiea pnmded.11 c:emplete, true aad accurate.

2' l7ili_Attachment09 _ManufacturcriCertificate_2019-07-24

GROUF-40523-BUSES, TRANSIT (Adult Passenger) PAGE3of3

MANUFACTURBR'S COMPANYNAME: __ Th_e_B_n_u_n_Co__.rp_o_ni_tio_n ____________ _

ADDRESS: 631 W. lllhSL

TELEPHONE NUMBER: 800.946.7S13 Ext. no2

FAX NUMBER: 574.946.4670

E-MAIL ADDRESS: 1ndy.conner@braunabllity.com

AndyCouner

PJtINTED OR. TYPED AurHORJZBO MANUFACTURER'S REPRESEff ATIVE SIGNATURE

UREAlITHORIZED MANUFACTURER'S REPRESENTATIVE 9/27/2019

Commercial WAV Bid Manager TITLE

DATE

4WYORK J"EOF ORTUNITY.

Department of Transportation

Federal Transit Administration Pre-Award FMVSS Compliance

Certification

INSTRUCTIONS: Completion of this form is required. Please complete either Part A or Bas applicable, You must sign and date the form. The form must be returned to

Recipient and Vehicle Information

Recipient Name: New York State Department ofTransportation Date:

Number ofVehicle(s) to be Purchased:Ll3_o __ __,

Description of Veh lcle(s), !Low Floor Vehkle < 10.000 lb.

!Z] Check here to attach additional vehicle information

Manufacturer: IThe Braun Corporation

loec 27, 2019

PART A: Pre-Award FMVSS Compliance Certification

To certify COMPLIANCE with Pre-Award Buy America Requirements, complete the following questions, then sign and date the form.

1. In accordance with 49 CFR Part 663-Subpart D, does the recipient of the vehicle(s) described above certify that a copy of the above-noted manufacturer's self-certification information for those vehide(s) was received at the pre-award stage? (i' Yes (' No

2. In accordance with 49 CFR Part 663-Subpart D, does the recipient certify that the self-certification received from the above notedmanufacturer states that the vehicle(s) described above will comply with the relevant Federal Motor Vehicle Safety Standards issued bythe National Highway Traffic Safety Administration in 49 CFR Part 571? Ci' Yes ("' No

Recipient Authorized Signature: Ed Sawicki Digitally signed by Ed Sawicki Date: 2019.12.27 09:06:54 -05'00'

If you are not using a digital signature above, you must sign, then complete the following section. If your digital signature does not contain one or more of these elements, you must also complete this section.

Print Name: Company Name: L.__ ____________ ____J

Title;

PART B: Pre-Award FMVSS Inapplicability Certification

To certify INAPPLICABILITY with Pre-Award FMVSS Requirements, complete the following question, then sign and date the form.

1. ln accordance with 49 CFR Part 663-Subpart D, does the recipient of the vehicle(s) described above certify that, at the time of pre-award, astatement from the above-noted manufacturer, indicating that those vehicle(s) will not be subject to Federal Motor Vehicle Safety Standardsissued by the National Highway Traffic Safety Administration in 49 CFR Part 571, was received by the recipient? ("' Yes ("' No

Recipient Authorized Signature:

If you are not using a digital signature above, you must sign, then complete the following section. If your digital signature does not contain one or more of these elements, you must also complete this section.

Print Name:

Title:

Company Name: L_ _ ________________ ____J L_ ____________ ___J

FTA Rolling Stock Procurements B-7; 8-8 2017

i j

. ;r E I' I

I

GROUP .C0523 - BUSES. TRANSIT (Aclalt P.ssea&er)

A1TACHMENT 10

FEDERAL TRANSIT ADMINISTRATION CERTIFICATIONS

PRE-AWARD- POST-DELIVERY REQUIREMENTS

For RollJag Stock Acq11isfttoas Paid for by FT A Grant Fuds

Paphf5

Puraant lO 1hc use of federal Transit Adfflinisll'arion {FT A) funding for the purchase ofTransit Buses under che resultant Contracts. all FT A Certifications hereinafter shall be provided with all bid submiasions. The followinJ certifications � RCCC5Ar)' for compliance wich FT A replations, and shall also be provided for all appropriate pre-award and po111-delivcry audits.

Lecal Btashless Name or

Bklder/Company:. ____ WMK, LLC d/b/a Mobltltywortcs,_ ____________ _

DEBARMENT AND SUSPENSION, DISADVANTAGED BUSINESS ENTERPRISE ud EQUAL EMPLOYMENT OPPORTUNITY CERTIFICATIONS

Oovcnmeat-Wide Debarmttd allCI Staspensloa (Noaprocurement)

This contract is I covered tramiaction for purposes of 49 CFR Part 29 Govumnentwide Debarm�nt and S.,spASion (Nonprocurenm,1) and &,,'U#IIMlftWitk Requirements for Dnlg-Free Worlcploce (Grants). A& such. the Bidder is required to verify that none of the Bidder. its principals, as deftMd at 49 CFR 29.995, or aftilia1es, as defmcd at 49 CFR 29.905. arc excluded or disqualified as defined a149 CFR 29.940 and 29,945, by any Federal department or apcy. and by extension from ptrticipaioo in this FT A-assi:ited lnlnSKtion. Absent this cmification. properly c:omplccod and signed, a bid shall be deemed non-responsive.

By Kignins bctow, Bickler ccrtlftcS that it Ii not MCludc4 or didquaUficd u defined in 49 CFR 29.940 and 29.945.

The certification in this clause is a material representation of rac1 relied upon by 00S. Jr it is later determined rhat the bidder or proposer knowin1ly rendered an erroneous cer1irlcation, in addition to remedies available to 00S, the Fedaal Govcmmcnt may pursue available rancdies, including but not limited to suspension and/or debannent. The bidder or PfOPOSCr � 10 comply with the requimnenrs of 49 CfR 29, Subpart C while chis offer is valid and dlrouaftout the period of any contract lhat may arise from this offer. The bidder or proposer fwther agrees to include a provision requiring such compliance In its lower tier covered transactions.

Tramtc Vehicle MaaufM:tarer(TVM) Disadvantapcl Buslaes1 IEnterprhe

Pursuant to the provisions of Section lOS(f) of the Surface Transportation Assistance ACI of 1982. each Bidder must c:cnify that it has complied wirh Che requirements of 49 CfR Pan 26 .Participation by DisadvantagN Buslnus Enlerpris�s In Dtpartmw of Transportation FinalIClol Aul1ta,,ce Program,, Subpart C Coa/11'. Good Faith Efforts. ond Co11Nlng reprding the participalion of disadvantqed business enterprises in FT A-imistcd procuremenrs of transit vehides. TVMs muat establish and submit to the FTA Office ofCtvil Rights for approval an overall percenrasc goal. In &etting the ovcnll goal, manufacturers should be guided, to lhe extent applicable, by the principles unclcrlyin1 49 CFR 26.45. Only transit vehicle manufacturers listed on FT A's cenified lilll ofTransit Vehicle Manufacturers. or dial have submitted a goal medaodolol)' to FT A that has been approved or has not been disapproved. at the rime of solicitation arc eligible to bid. See htm;llwww.Ra.dot.govtcMlri&bJ!ill289l.h1mt Absent thi:; certification, properly completed and signed,• bid shalt be deemed non-responsive.

By sipina below, Bidder certifies that it has complied with the provisions of 49 CFR Part 26.49.

23170i_1\ltachmcnt10 FcdcralTransllAdministrauonCeniraeations_2019.o,.24

GROUP 40523 - BUSES. TRANSIT (Adalt Passenger) Pace2ol5

Equal E•ploymeat Opportualry

The Bidder, and ariy and alt subl:Olltractors or the Bidder, are required to comply with US Fcden1 Executive Order I 1246 Equal Employment Opponr,nity, as amended by US federal Executive Order l 1375 Amending Executive Order No. J 1246. Reladng to Eq11al Employme111 Opport1111ity, and supplemented in U.S. Department of Labor rq,ulation (41 CFR Pan 60 Office of Federal Cuntrnct Complia,rce Progmlfll. Eqr,o/ Employment Opportuni1y. Depurtme,rt of Lffbor),

By signing below. Bidder certifies that ii has complied with lhe provisions of Executive Order 11246, as amended by &ecutiw Order 113 75, and supplemenled in U.S. Dept. of Labor Regulation (41 CFR Part 60).

Legal Business Name or Bldder/Company:. ____ WMIC, LLCd/b/a/ Mobilityworks:..-__________ _

CERTIFICATION OF COMPLIANCE W1111 FEDERAL MOTOR VEHICLE SAfETY STANDARDS (FMVSS)

The Bidder hereby cenirJes lhat Transit Buses I() be provided under the resultant Contract comply with all seipulatcd and relevant Federal Motor Vehicle Safety Standards (FMVSS). Farther. Bidder has iMladed lhe manuractarer•s FMVSS certilieatiolt applicable to tbe Bue Item vehicle bwlld l'or ndl LOT lrid. In accordance with the Federal Oovanmcnt Required aauses (FT A) of this conlract, the bidder shall ensure that all Transit Buses will be affixed with a Transit Bus ··mamgachlrer's FMJISS self-certif u:Ulion .,ticur information for !lllfoty co,npliantt thal IM \.'flhh:/11 co'11plia wl1h rrlrt-am FMVSS. ..

I . Regulations: The Bidder underslands throuah Ibis certification lhat aJI Transit Buses provided under this contract shall confonn 10 Federal and State regulations in dfca at time or delivery. Transit Buses shall also meet the inspection requirements of o,apcer vt. Article 3. Part 7ZO or 721 of the NYS Transportation Regulations.

2. Notification: Llst the name and address below of the Dealers located in New York State where lhe pre-delivery servicewill be performed, if o'lher lh:m � Contnle:Wr's shop. AUAch a separ.uc shecl if nC\:essary. A letu:r from each DcGlcrasreeing I() perfonn the pre-dcliYCJY seniice ml.ISi accompany the bid.Dealer Name: Mobill1yworks Albany

Street Address: 1192 Ccmnal Ave .. Ste. 25 ____________________ _City, State, ZIP:Albany, NY 1220.S ______________________ _Contact Name: Dean Pelis __________________ _Phone Number: .51S.346-90S9 _________________ _

Dealer Name: Mobilil,Y'l'Orks Burralo _______ _Street Address: 3560 Sheridan Drive __________ _

City. State, ZIP: ButTalo. NY 14?'>6. _____________________ _Contact Name: Lou Caaalano

-------------------------

Phone Number. 71�342-3530 __________________ _Dealer Name� Mobilityworks East Hartford. ______________________ _Street Address: 104 Pitkin St. ________________________ _City, State. ZIP: East Har1fard, CT 06108. ___________________ _Contact Name: Roger Brown. _____________________ _Phone Number. 860-2112-8202. ____________________ _

23 I 70i Attachmentl0. FederalTninsitAdministralionCcrti fications _201 �7-24

CROUP ,C05Z3 - BUSES, TRANSIT (Adalt Paaenger) Page4 ors

STURAA Test Report #{s):

LotA· ,_ r.r-a,-grKo'-1 LOI H _______________ _

Lot B _____________ _ lot( _______________ _

LotC _____________ _ LotJ ______________ _

LotD _____________ _ LotK _______________ _

Lot E _____________ _ LotL _______________ _

LolF _____________ _ LotM _______________ _

Loe (j _____________ _ OR

2. __ A copy of a STURAA Tea Report p-epared b)' the Federal Tnmsit Administralion·s (FT A; Altoona.Pennsylvania Bus Testing Cencer is not attached for 1hc following Lots. and the undersigned has c:omph:tecl lhiscertification and appropriately initialed with the understanding that such Tramit Buses either wilt fully completeAltoona T ming prior to first Transit Bqs orders and that svc:h STURM Test Report is forwarded 10 die New York StateDepanment ofT ransponation. Public Transporlalion Bureau for verification. or the Transit Buses will be: subject todisqualification from bid award for non-compliance. The time ftame for compJ� or non<0mplianc:e. for TransitBuses bid that do not have a STURAA Tast Report submi11ed, will be subject to determination by the New York StateDepartment ofTranspOf1alion. Public Transportation Bureau.

Lo&A _____________ _ LotH _______________ _

Lot B _____________ _ Loll _______________ _

LotC ____________ _ LotJ ______________ _

LOI D _____________ _ LotK _______________ _ LotE _____________ _ LotL _______________ _

LotF _____________ _ l..otM _______________ _

LotO ____________ _ __ Manuta·urcr·s Certificate of Anticipaled Testins has been submiUC'd \\.idl the bid ror the Loc(s) indiClled above.

The undersigned understand$ that miscpresenting 1hc tes1ing status of a Transit Bus acquired with Federal financial �ance may subject the undersigned to civil pclla(liC$ as outlined in the U.S. Department of Transportation's regulation on Program Fraud Civil Remedies, 49 CFR Part 3 I. In addition. the undersigned understands that FT A may suspend or debar a manufac:lurcr under the procedures in 49 CFR Part 29.

By llgalnc below you certify your upress aathri1y to up on behalf of yourself, your company, or otller eatity and full knowledge and acc:eptaace of 1llis Attaebaeat 10 - Pftim,I Trasit A�minlstrlllNa CfffijktnJons, ud tut all infwmatloa prcmded is complete. true ud acc11111te.

Legal 8U5incss Name of Company Bidding: WMK.U.C

DJBIA � Doing Busincss As(ifapplicable): Mobilit)-worts

Signature: Printed orTwed Name:William tvf. KoebU�

Title: Chief Executive Ollic:cr Date:

23 I 70i Attachment JO _FederalTransitAdministracionCertifications_2019-07-24