On the agenda: Summit County meeting — Surveillance camera (Mar 11)

Agenda
High Valley Transit District
Thursday, March 11, 2021, 1 PM

NOTICE is hereby given that the Board of Trustees will meet electronically,
via Zoom, on Thursday, March 11, 2021
(All times listed are general in nature, and are subject to change by the
Board)
Consistent with provisions of the Utah Open and Public Meetings Act, Utah Code Ann. §52-4207(4), the High Valley Transit District Board of Trustees Chair has issued written
determinations supporting the Board of Trustees' decision to convene electronic meetings of
the Board without a physical anchor location. Due to the health and safety risks related to the
ongoing COVID-19 pandemic and considering public health orders limiting in-person
gatherings, members of the public should not attend Board meetings in person. However,
members of the public are invited and encouraged to view and participate in the Board’s
electronic meetings as described below.

Public comment may also be submitted until 12 PM on Thursday, March 11,
2021 via email at [email protected].
To participate in the webinar:
https://summitcountyut.zoom.us/j/91041274529
Or, to listen by phone, dial 1-301-715-8592; Webinar ID: 910 4127 4529
This meeting may be recorded.
1)

Pledge of Allegiance

2)

Public Comment – all comments will be limited to three minutes per
person

Work Session
3)

Review Draft Service Plan (Cathal O’Gorman, VIA)

4)

Discussion of roles and responsibilities of the Board

5)

Discussion of Summit County staff roles and services to the Transit
District/ILA (continued)

6)

Draft Certifications and Assurances (continued)

7)

Draft Policies and Procedures (continued)

Staff Report Page 1

8)

Discussion of Ex-Officio Board membership

9)

Board comments

10)

Staff comments

Members of the Board, presenters, and members of the public may attend and fully participate
by electronic means, using Zoom (phone or video).
Non-Discrimination Notice The High Valley Transit District’s policy is that no person,
regardless of race, color, or national origin shall be excluded from participation in, be denied
the benefits of, or be subject to any discrimination under any program, activity, or services
under Section 601 of Title VI of the Civil Rights Act, as amended. To view a copy of our Title
VI Policy and Complaint Procedure, please contact us at (435) 336-3113.
If you require this or any information in an alternative format, please contact us at (435) 3363113.

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Snyderville Basin Public transit district
proposed service changes.
PHASE 1: Summer 2021
service changes.
What changes are proposed?
Routes 6 Lime and 7 Pink:
• Combine these routes into one high-frequency
route from Jeremy Ranch to Deer Valley
• Target frequency of every 15 minutes or less,
all year round (funding dependent)
On-Demand Transit or Microtransit:
• Launch a new on-demand transit service
across the orange shaded zone
• If you live in the orange zone, a Summit County
van will come pick you up and take you to a
nearby transit hub or your final destination
• All trips will be shared and may require a short
walk (except for those with disabilities)
• You can book a trip using a smartphone or call
the dispatcher
Kimball Junction Circulator:
• Extended to serve Bitner Road
• Operates every 15-minutes or less
8 Brown / Trailside Loop:
• Passengers travelling from Bitner Road will
use the new Kimball Junction Circulator
• On-demand transit will serve Trailside,

including adding dozens of additional virtual
stops in Trailside and surrounding areas
11 Black (Kamas Commuter):
• Additional stops in Francis and Hideout
• Additional daily trips (funding dependent)
All routes and paratransit:
• New, streamlined technology
platform to plan and book trips

What is not changing?
• All other bus routes*

PHASE 2: Future
network additions.
What changes are being considered?
Heber City route:
• Launch a new route to Heber City
Coalville shuttle:
• Launch a pre-booked shuttle to Coalville and
increase service levels as demand grows

What is not changing?
All other bus routes

* Park City Transit manages all other bus routes in Summit County and may also adjust service in the future
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INTERLOCAL COOPERATION AGREEMENT
FOR TRANSIT SYSTEM SERVICES

This Inter-local Cooperation Agreement (“Agreement”) is entered into this ____ day
of __________, 2021 (the “Effective Date”), by and among HIGH VALLEY TRANSIT
DISTRICT, a political subdivision of the State of Utah (hereinafter, “District”), and
SUMMIT COUNTY, a political subdivision of the State of Utah (hereinafter, “County”).
Each is individually referred to as a “Party” and collectively as the “Parties.”
RECITALS
WHEREAS, the County formed the District, a small public transit district, to
provide regional public transit services to the County’s residents, workforce, and visitors,
which is funded by the following sales and use taxes: (a) the county option sales and use tax
to fund a system for public transit, Utah Code §59-12-2213, (b) the county-wide option sales
and use tax for highways and public transit, Utah Code §59-12-2219, wherein a 0.10% sales
and use tax was imposed and distributed to the District, and (c) the county-wide option sales
and use tax for a system for public transit, Utah Code §59-12-2220 (together the “County
Public Transit Taxes”), and the county-wide additional mass transit sales and use tax, Utah
Code §59-12-2214 (the “AMT”); and,
WHEREAS, it is the County’s desire that regional transit services be made available
throughout the County; and,
WHEREAS, the District is a regional transit district empowered to provide the
regional transit services which the County desires; and,
WHEREAS, the Parties hereto are willing to enter into this Agreement wherein the
County agrees to annex into the District the remainder of the unincorporated Summit County
and the District agrees to provide a regional system of public transit to the County’s
residents, workforce, and visitors as hereinafter specified; and,
WHEREAS, the Parties are authorized by the Utah Interlocal Cooperation Act, as
set forth in Title 11, Chapter 13, Section 202(1)(d), Utah Code Annotated (UCA) 1953, as
amended, to enter into this Agreement.

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AGREEMENT
NOW, THEREFORE, in consideration of the recitals, mutual covenants and agreements
herein set forth, the mutual benefits to the Parties to be derived, and for other valuable
consideration, the receipt and sufficiency of which the Parties acknowledge, the Parties
agree as follows:
1.

Annexation.

1.1 County agrees to adopt a resolution from its County Council petitioning the
District for annexation of all remaining unincorporated property within the County into
the District (the “Annexation Resolution”), in form and substance as set forth in Exhibit
A herein. The County shall comply with Utah Code §17B-1-403 or its successor law.
The County shall file the Annexation Resolution and an administrative fee with the
District. The administrative fee shall cover the costs associated with any public noticing,
public hearing, or election required as part of the annexation process.
1.2 District agrees to process the Annexation Resolution and approve the
annexation (the “Annexation”) so long as (a) an insufficient number of written protests
are received by the District following the annexation public hearing, or (b) an election of
registered voters within the County approves of the annexation, and the conditions
precedent to Closing (defined hereafter) have been satisfied.
1.3 The Parties agree that they will act in good faith in completing the
annexation process.
2.
Sales and Use Taxes; Canyons Transit Fees; Kimball Area Transportation
SSD Assessments.
2.1 County Public Transit Taxes. County agrees to remit to the District, on the
schedules approved by the Utah State Tax Commission (the “Tax Commission”), all sales
and use taxes collected pursuant to the County Public Transit Taxes.
2.2 Canyons Transit Fees. The Canyons Transit Service Agreement between
Summit County, the Canyons Resort Village Association, Inc., and VR CPC Holdings,
Inc., dated _________, 2021 (the “Canyons Transit Agreement”) provides that the resort
operators pay a fee for enhanced transit services to the Canyons Resort as part of its
Development Agreement with the County. The fees associated with the Canyons Transit
Agreement will be remitted to the District and the Canyons Transit Agreement shall be
assigned to the District by the County in accordance with Section 3.2.
2.3 Kimball Area Transportation SSD Assessments. Pursuant to Summit County
Code, Title 2, Chapter 31, the County operates the Kimball Area Transportation SSD for
the purpose of providing enhanced transit services to businesses within the Kimball
Junction Towncenter. Assessments from the Kimball Area Transportation SSD shall be
remitted to the District to provide for the enhanced transit services to businesses within

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the Kimball Junction Towncenter.
3.
Transfer of County Owned Transit Assets. County shall transfer, and the
District shall accept, acquire, and take assignment and delivery of, all County’s right, title
and interest, in and to all assets, properties, goodwill and rights of every nature, kind and
description, whether tangible or intangible, real, personal or mixed, accrued or
contingent, which are related to, used or held for use by the County in connection with
the operation of transit within the unincorporated Summit County, as the same shall exist
on the Closing Date. The assets to be transferred by the County and accepted by the
District hereunder (collectively, the “Transferred Assets”), as more particularly set forth
in this section, and the transfer thereof by the County and acceptance thereof by the
District shall be an express condition precedent to Closing.
3.1 Real Property.
3.1.1 At Closing, County shall convey to the District by Special Warranty
Deed marketable title in Summit County Tax Identification Parcel No. KAMC-1, located
at 231 South 175 West, Kamas, Utah 84036 (the “Kamas Business Commons Park &
Ride Transit Center”), in form and substance as set forth in Exhibit B hereto.
3.1.2 At Closing, County shall convey to the District by Special Warranty
Deed marketable title in Summit County Tax Identification Parcel No. PCTC-6-X,
located adjacent to the Sheldon D. Richins County Facility at Kimball Junction with an
address of 6490 N. Landmark Dr., Park City, Utah 84098 (the “County Transit Hub”), in
form and substance as set forth in Exhibit C hereto.
3.1.3 At Closing, the County shall dedicate, transfer, assign and convey to the
District all existing interests in real property, which are owned by the County, including
easements and rights-of-way, which are necessary for the operation of the public transit
system. An itemized inventory of the existing real property interests, easements and
rights-of-way, including bus shelters, to be assigned and conveyed hereunder are
identified and shown on Exhibit D attached hereto.
3.1.4 All instruments assigning and/or granting the easements to the District
pursuant to this section shall be in form and substance as set forth in Exhibit E hereto.
All assignments shall be free and clear of all liens, encumbrances and claims whatsoever,
and all grants of easement shall have a perpetual term.
3.2. Assignment of Contracts, Reports, Records and Intangibles.
3.2.1 Contracts.
3.2.1.1 The County agrees to assign to the District that certain
contract entitled Bus Service Agreement between the Utah Transit Authority (“UTA”),
Park City Municipal Corporation, and Summit County, dated August 24, 2011, whereby
those parties agreed to participate jointly in operating transit service in and around Salt

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Lake County and Summit County, and the same having been amended by that certain
Addendum No. 1, Service and Alignment Change 2017, dated ________, 2017 (together,
the “SLC-SC Transit Agreement”), in form and substance as set forth in Exhibit F hereto.
3.2.1.2 The County agrees to assign to the District the Canyons
Transit Agreement, in form and substance as set forth in Exhibit G hereto.
3.2.1.3 The County agrees to assign to the District that certain
contract entitled Service Provider/Professional Services Agreement, Kimball Circulator,
LLC, dated June 1, 2017, and its First Amendment, dated September 19, 2019 (the
“Kimball Circulator Agreement”), in form and substance as set forth in Exhibit H hereto.
3.2.2 County represents that there are no other service contracts, to which the
County is a party, which are necessary to be assigned to the District in order for the
District to operate and maintain a system of public transit within the County. All
intangibles, reports and records related to the ownership and operation of Park City
Transit, which are in the County’s possession, as identified in Exhibit I hereto, shall be
assigned by the County to the District. Copies of all transit maps, maintenance and
inspection records, and operation manuals which are maintained by and in the possession
of the County shall be provided by the County to the District at or prior to Closing.
4.
Closing. The closing of the transfer of the assets referenced herein (the
“Closing”), will take place on a date and at a time and place mutually agreeable to the
Parties subsequent to the Annexation, but in no event later than June 30, 2021.
4.1 County Closing Deliverables. At the Closing, County shall deliver to the
District:
4.1.1 Special Warranty Deed, in the form attached as Exhibit B, duly
executed by the County conveying the Kamas Business Commons Park & Ride Transit
Center identified in and as required pursuant to Section 3.1.1 herein.
4.1.2 Special Warranty Deed, in the form attached as Exhibit C, duly
executed by the County conveying the County Transit Hub identified in and as required
pursuant to Section 3.1.2 herein.
4.1.3 Assignments and/or Grants of Easement, in the form attached as
Exhibit E, duly executed by the County assigning and/or granting, as the case may be, to
the District the easements and rights-of-way identified in Exhibit D hereto, as required
pursuant to Section 3.1.4 herein.
4.1.4 All documents required to be delivered by the County to the District
pursuant to Section 3.2 herein as identified in Exhibits F, G, H, and I hereto.
4.2 District’s Closing Deliverables. At Closing, the District shall deliver to the
County such other customary instruments, filings or documents, in form and substance

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satisfactory to the County, as may reasonably be requested by the County or as may be
otherwise necessary or desirable to evidence and effect the of the transfer, conveyance
and delivery of Transferred Assets to the District and to put the District in actual
possession or control of the Transferred Assets.
5.
Representations and Warranties of the Parties. As an inducement to the
Parties to enter into this Agreement, the Parties hereby represent and warrant as follows:
5.1 Representations and warranties of the County. County hereby represents and
warrants as follows as of the date of this Agreement and remade as of the Closing:
5.1.1 Authority of County. County has full power and authority to enter into
this Agreement, to carry out its obligations hereunder and to consummate the transactions
contemplated hereby. The execution and delivery by County of this Agreement, the
performance by County of its obligations hereunder and the consummation by County of
the transactions contemplated hereby have been duly authorized by all requisite legal
action. This Agreement has been, and upon its execution will have been, duly executed
and delivered by County; and, assuming due execution and delivery by both Parties
hereto, this Agreement constitutes, and upon its execution will constitute, a legal, valid
and binding obligation of County enforceable against County in accordance with its
terms, except as may be affected by bankruptcy, insolvency, reorganization, moratorium
or similar laws relating to or affecting creditors’ rights generally or by rules of law
governing specific performance, injunctive relief or other equitable principles (regardless
of whether such principles are considered in a proceeding at law or in equity).
5.1.2 No Conflicts; Consents. The execution, delivery and performance by
County of this Agreement, and the consummation of the transactions contemplated
hereby, do not and will not: (a) conflict with or result in a violation or breach of, or
default under, any provision of the organizational documents of County; (b) conflict with
or result in a violation or breach of any provision of any law, regulation or order
applicable to County; and (c) result in any breach of, constitute a default (or an event that,
with or without notice or lapse of time or both, would become a default) under any
agreement or other instrument, or result in the creation of any encumbrance on any of the
Transferred Assets pursuant to any note, bond, mortgage, indenture, agreement, lease,
license, permit, franchise, instrument, obligation or other contract to which County is a
party or by which County or the Transferred Assets may be bound or affected.
5.1.3 No Liabilities. To County’s knowledge, County has no liabilities of
any nature arising out of, the operation of Park City Transit, whether accrued, absolute,
contingent or otherwise, whether known or unknown.
5.1.4 Good and Marketable Title to be Conveyed. County owns good and
marketable title to all of the Transferred Assets, free and clear of any encumbrance, title
imperfection or restriction of any kind whatsoever (whether accrued, absolute,
contingent, or otherwise). The delivery to the District of all assignments, grants of
easement and assignment of easements at Closing will transfer to the District good and

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marketable title to all of the Transferred Assets, free and clear of any encumbrance.
County makes no representation or warranty regarding the condition or suitability of the
Transferred Assets and the District accepts the Transferred Assets in their as-is condition.
5.1.5 No Pending Actions. There are no actions pending or, to County’s
knowledge, threatened in connection with the Transferred Assets or County’s ownership
or operation thereof, nor is there any basis for any such action, that seek to prevent,
hinder, modify, delay or challenge the transactions contemplated by this Agreement.
There are no actions by County pending, or which County has commenced preparations
to initiate, against any other person in connection with the Transferred Assets. There are
no outstanding and unsatisfied, or to County’s knowledge, threatened, orders, writs,
judgments, injunctions, penalties or awards against, relating to or affecting the
Transferred Assets, County’s ownership or operation thereof or the transactions
contemplated by this Agreement.
5.2 Representations and Warranties of the District. The District hereby
represents as follows:
5.2.1 Powers of the District. The District has full power and authority to
enter into this Agreement, to carry out its obligations hereunder and to consummate the
transactions contemplated hereby. The execution and delivery by the District of this
Agreement, the performance by the District of its obligations hereunder and the
consummation by the District of the transactions contemplated hereby have been duly
authorized by requisite action of its governing board. This Agreement has been, and
upon its execution will have been, duly executed and delivered by the District; and,
assuming due execution and delivery by both Parties hereto, this Agreement constitutes,
and upon its execution will constitute, a legal, valid and binding obligation of the District
enforceable against the District in accordance with its terms, except as may be affected
by bankruptcy, insolvency, reorganization, moratorium or similar laws relating to or
affecting creditors’ rights generally or by rules of law governing specific performance,
injunctive relief or other equitable principles (regardless of whether such principles are
considered in a proceeding at law or in equity).
5.2.2 No Conflicts; Consents. The execution, delivery and performance by
the District of this Agreement, and the consummation of the transactions contemplated
hereby, do not and will not: (a) conflict with or result in a violation or breach of, or
default under, any provision of the organizational documents of the District; (b) conflict
with or result in a violation or breach of any provision of any law, regulation or order
applicable to the District; and (c) result in any breach of, constitute a default (or an event
that, with or without notice or lapse of time or both, would become a default) under any
agreement or other instrument to which the District is a party or by which the District
may be bound or affected.
5.2.3 There are no actions pending or, to the District’s knowledge, threatened
that seek to prevent, hinder, modify, delay or challenge the transactions contemplated by
this Agreement.

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5.3 Survival. All representations of County and the District in this Agreement
shall survive the Closing and shall remain in full force and effect, until the expiration of
the statute of limitations following the date all performance thereunder was due to be
performed.
6.

Liabilities and Indemnification.

6.1 Indemnity by County. County will indemnify, reimburse, defend and hold
the District and its officers, directors, trustees, employees, consultants and agents from
and against and in respect of any and all demands, claims, actions, causes of action,
judgments, assessments, taxes, fines, losses, damages, liabilities, interest, penalties, costs,
and expenses, including, without limitation, reasonable legal fees, other professional fees
and any disbursements incurred in connection therewith, (collectively “Losses”),
resulting from, arising out of, relating to, or incurred by reason of: (a) any breach of any
representation, warranty, covenant, or agreement of County contained in this Agreement
or any agreement, instrument, or document executed and delivered by County pursuant
hereto; (b) any action taken by any taxing authority in relation to the classification and
taxation of the Transferred Assets for tax purposes as a result of this Agreement; and (c)
the operation of Park City Transit prior to the Closing.
6.2 Indemnity by the District. The District will indemnify, reimburse, defend,
and hold harmless County and its parent entity, shareholders, officers and directors,
employees, consultants and agents from and against and in respect of any and all Losses
suffered, incurred or sustained by any of them or to which any of them becomes subject,
resulting from, arising out of or relating to: (a) any breach of any representation,
warranty, covenant, or agreement of the District contained in this Agreement or other
instrument or document executed and delivered by the District pursuant hereto or thereto;
and (b) subsequent to Closing, any assumed liability.
7.
Waiver of Jury Trial. To the fullest extent permitted by law, each of the Parties
hereto expressly and knowingly waives any right it may have to a trial by jury in respect
to any litigation directly or indirectly arising out of, under or in connection with this
Agreement, the transactions contemplated hereby, or the actions of such party in the
negotiation, administration, performance and enforcement hereof. Each Party further
waives any right to consolidate any action in which a jury trial cannot be or has not been
waived. This provision shall survive any termination of this Agreement.
8.
Governmental Immunity Act. Because both Parties are governmental entities
under the Utah Governmental Immunity Act of Utah, Utah Code §63G-7-101, et. seq., as
amended, each Party is responsible and liable for any wrongful acts or negligence
committed by its own officers, employees, or agents and neither Party waives any
defense available to it under the Utah Governmental Immunity Act of Utah.
9.
Survivability. With the exception of Sections 3 and 4, which merge with the
Closing, all other provisions of this Agreement shall remain in full force and effect for

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the term of this Agreement.
10.
Relief of Obligation. This Agreement does not in any way relieve either Party of
any obligation or responsibility imposed upon it by law (Utah Code §11-13-208).
11.
Term. This Agreement shall be in effect for a period of fifty (50) years from the
Effective Date (Utah Code §11-13-216) unless otherwise terminated by the District and
the County by mutual written agreement.
12.
Eminent Domain. The County agrees to exercise on behalf of the District its
powers of eminent domain in accordance with Utah Code §17B-2a-820 or successor law.
The District is responsible for all costs and expenses associated with the eminent domain
proceeding, including legal fees, appraiser fees, fair market value compensation, etc. The
District shall provide written notice to the County of its desire to have the County
exercise its powers of eminent domain. The notice shall identify the property to be
condemned, the rationale of the District, and the timing of the condemnation. The
District and the County together shall agree upon a condemnation strategy, including the
hiring of outside legal counsel. Once the property is condemned, the County shall
transfer the title to the property in fee simple to the District.
13.
Special Conditions, Considerations and Circumstances. As a minimum level
of service within the unincorporated county, the District shall operate the Kamas Service
(10 Black), Lime Line, and SLC-SC Transit.
14.

County Services

14.1 Legal Services. The Summit County Attorney (the “County Attorney”)
shall serve as the District’s General Counsel.
14.1.1 The County Attorney shall provide legal services, including, but
not limited to negotiating, drafting and reviewing legal documents, regulations and
policies; providing advice in labor and employment matters; and handling District
litigation.
14.1.2 The County Attorney shall allocate to the District forty (40) hours
per month of legal services.
14.1.3 As personnel and resources, as well as time, permits, the County
Attorney may provide additional legal services in excess of the forty (40) hours per
month upon the specific request of the District’s General Manger or his/her designee.
14.1.4 Legal services shall be provided by attorneys who (a) are licensed
to practice law within the State of Utah, and (b) are sworn civil deputies of the Summit
County Attorney. Attorneys from the County shall at all times be deemed employees of
the County and shall not be deemed employees of the District (Utah Code §11-13-222).

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14.1.5 The District’s Board of Trustees and General Manger may, upon
the approval of the County Attorney, employ outside counsel to assist the County
Attorney or to represent the District in a lawsuit or other action. While the District
General Manger may control and direct the prosecution, defense and settlement of all
lawsuits, the County Attorney shall determine the means by which such occurs.
14.2

Human Resource Services.

14.2.1 The County, through the County Manager, shall provide certain
professional human resource services oversight to the District.
14.2.2 The County Manager shall allocate to the District ten (10) hours
per month of human resource services.
14.2.3 All personnel actions of the District, including, but not limited to
promotions, hiring, and discipline, shall be processed under the professional oversight of
the Summit County Human Resource Director.
14.2.4 The Summit County Human Resource Director and his staff shall
at all times be deemed employees of the County and shall not be deemed employees of
the District (Utah Code §11-13-222).
14.3 Treasurer Services. The Summit County Treasurer (the “County Treasurer”)
shall serve as the District’s Treasurer.
14.3.1 The County Treasurer shall be the custodian of all money, bonds, or
other securities of the District.
14.3.2 The County Treasurer shall determine the cash requirements of the
District and provide for the deposit and investment of all money by following the procedures
and requirements of Utah Code Title 51, Chapter 7, State Money Management Act.
14.3.3 The County Treasurer shall receive all public funds and money
payable to the District within three business days after collection, including all taxes,
licenses, fines and intergovernmental revenue.
14.3.4 The County Treasurer shall keep an accurate detailed account of all
money received under Section 14.3.3 in the manner directed by resolution of the Board of
Trustees.
14.3.5 The County Treasurer shall collect all special taxes and assessments as
provided by law and ordinance.
14.3.6 The County Treasurer shall allocate to the District ten (10) hours per
month of treasurer services.

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14.3.7 The County Treasurer and her staff shall at all times be deemed
employees of the County and shall not be deemed employees of the District (Utah Code
§11-13-222).
14.3.8 The County Treasurer shall provide those duties set forth in Utah
Code §17B-1-633.
14.4 Comptroller Services. The Summit County Financial Officer (the “County
Financial Officer”) shall serve as the District’s Comptroller.
14.4.1 The Comptroller shall maintain the financial records for each fund
of the District and all related subsidiary records, including a list of the outstanding bonds,
their purpose, amount, terms, date and place payable.
14.4.2 The Comptroller shall authorize the payment of all claims
against the District (accounts payable).
14.4.3 The Comptroller shall account for all funds received by the
District (accounts receivable).
14.4.4 The Comptroller shall administer payroll.
14.4.5 The Comptroller shall, at least quarterly, provide the board with a
list of all authority expenditures.
14.4.6 The Comptroller shall comply with the uniform accounting,
budgeting and reporting procedures prescribed in the Uniform Accounting Manual for
Local Districts.
14.4.7 The Comptroller shall comply with Utah Code §17B-2a-812.
14.4.8 The Comptroller shall not sign any single signature check.
14.4.9. The County Manager shall allocate to the District twenty (20)
hours per month of comptroller services.
14.4.10
County Financial Officer and his staff shall at all times be
deemed employees of the County and shall not be deemed employees of the District
(Utah Code §11-13-222).
14.5 Administrative Services. The Summit County Regional Transportation
Planning Director (the “Transportation Director”), Caroline Rodriguez, shall serve as the
District’s interim General Manager. The Transportation Director’s staff shall serve as the

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interim administrative staff of the District. The Transportation Director and her staff shall
each allocate thirty-five (35) hours per week of administrative services.
14.5.1 The Transportation Director shall perform all duties of the General
Manager until such time that a permanent General Manager is selected by the District’s
Board of Trustees.
14.5.2 The Transportation Director’s staff shall perform all duties delegated to
it by the Transportation Director until such time that the permanent General Manager hires a
permanent administrative staff.
14.6 Information Technology Services. The Summit County Information
Technology Director (the “IT Director”) and his staff, shall serve as the Information
Technology department of the District.
14.7 Equipment. The County shall, as part of the services to be provided under
this Section 14, provide to the District the necessary equipment for County personnel
providing the governmental services which are the subject of this section, including
necessary vehicles and other facilities as are needed in the performance of the services
contemplated by this section.
14.8 Consideration. The District shall pay the County for the governmental
services which are the subject of this Section 14 a yearly fee of
_______________________Dollars ($___________.00) for the term of five (5) years.
This amount is based on a rate representing the average of the County’s current salary
rates for the various employees, administrative overhead, and an equipment fee. The
annual fee shall be payable on or before January 31st during each year of the effective
term of this section. The foregoing rates shall be increased every December based upon
the cost increases as determined in advance by mutual agreement of the District and the
County. A letter will be mailed to the District with the new agreed upon COLA rates
every subsequent year.
14.9 Liabilities and Indemnification. This Section 14.8 applies solely to the
governmental services which are the subject of this Section 14.
14.9.1 All privileges and immunities from liability which are ordinarily
available to District employees shall apply to the County employees while performing
governmental services under this Section 14.
14.9.2 County agrees and promises to indemnify and hold District, its
officers, agents, officials and employees, and volunteers harmless and release them for
and from any liability, costs or expenses arising from any action, causes of action, claims
for relief, demands, damages, expenses, costs, fees or compensation, whether or not said
actions, causes of action, claims for relief, demands, damages, costs, fees, expenses,
and/or compensation are known or unknown, are in law or equity, and without limitation,
all claims of relief which can be set forth through a complaint or otherwise that may arise

Staff Report Page 14

out of the acts or omissions, negligent or otherwise, of the County and/or its officers,
agents, officials, members, employees or volunteers in the performance of this Section
14.
14.9.3 District agrees and promises to indemnify and hold County, its
officers, agents, officials and employees, and volunteers harmless and release them for
and from any liability, costs or expenses arising from any action, causes of action, claims
for relief, demands, damages, expenses, costs, fees or compensation, whether or not said
actions, causes of action, claims for relief, demands, damages, costs, fees, expenses,
and/or compensation are known or unknown, are in law or equity, and without limitation,
all claims of relief which can be set forth through a complaint or otherwise that may arise
out of the acts or omissions, negligent or otherwise, of the District and/or its officers,
agents, officials, members, employees or volunteers in the performance of this Section
14.
15.

Miscellaneous Provisions.

15.1 No Assignment. Neither Party may assign its interest in this Agreement
without the written consent of the other Party.
15.2 No Third-Party Beneficiaries. This Agreement shall not confer any rights or
remedies upon any person or entity other than the Parties and their respective successorsin-interest.
15.3 Inducement. The making and execution of this Agreement has not been
induced by any representation, statement, warranty or agreement other than those herein
expressed.
15.4 No Recourse. This Agreement shall not create or be deemed to create or
permit any personal liability or obligation on the part of any direct or indirect officer,
employee, or representative of the County.
15.5 Binding Effect. This Agreement shall be binding upon and inure to the
benefit of the Parties hereto and their respective successors and assigns.
15.6 Business Relationship. This Agreement does not acknowledge the
existence of or establish a partnership, joint venture, or any other form of business
relationship between the Parties other than as expressly set forth herein, and this
Agreement is limited solely to the purposes and interests expressed herein.
15.7 Severability. If any term or provision of this Agreement shall, to any extent,
be determined by a court of competent jurisdiction to be void, voidable, or unenforceable,
such void, voidable or unenforceable term or provision shall not affect the enforceability
of any other term or provision of this Agreement; and the Parties agree to attempt in good
faith to reform such void or unenforceable provision to the extent necessary to render
such provision enforceable and to carry out its original intent.

Staff Report Page 15

15.8 Entire Agreement. This Agreement contains the entire agreement between
the Parties with respect to the subject matter hereof, and no statements, promises, or
inducements made by any Party or agents of any Party that are not contained in this
Agreement shall be binding or valid. Alterations, extensions, supplements or
modifications to the terms of this Agreement shall be agreed to in writing by the Parties,
incorporated as amendments to this Agreement, and made a part hereof. To the extent of
any conflict between the provisions of this Agreement and the provisions of any later
agreements, the later agreements shall be controlling.
15.9 Construction. As used herein, all words in any gender shall be deemed to
include the masculine, feminine or neuter, all singular words shall include the plural, and
all plural words shall include the singular, as the context may require.
15.10 Amendment. This Agreement cannot be altered or amended except
pursuant to an instrument in writing executed by the Parties.
15.11 Force Majeure. Performance by any Party hereunder shall not be deemed
to be in default where delays or defaults are due to war, insurrections, strikes, lock-outs,
floods, earthquakes, fires, casualties, acts of God, epidemics, quarantine, restrictions,
inability (when the responsible Party is faultless) to secure necessary labor, materials,
tools, acts or failure to act of any public or governmental agency or entity, or by any
other reason not the fault of the Party delayed in performing work or doing acts required
under the terms of this Agreement, and in such event, the performance of such work or
the doing of such act shall be excused for the period of the delay and the period of
performance for any such work or the doing of any such act shall be extended for a
period equivalent to the period of such delay.
15.12 Further Action. The Parties hereby agree to execute and deliver such
additional documents and to take such further action as may become necessary or
desirable to fully carry out the provisions and intent of this Agreement.
15.13 Expenses of Enforcement. In any proceeding to enforce, interpret, rescind
or terminate this Agreement or in pursuing any remedy provided hereunder or by
applicable law, the prevailing Party shall be entitled to recover from the other Party all
costs and expenses, including a reasonable attorney's fee, whether such proceeding or
remedy is pursued by filing suit or otherwise, and regardless of whether such costs, fees
and/or expenses are incurred in connection with any bankruptcy proceeding. For
purposes of hereof, the term “prevailing Party” shall include, without limitation, a Party
who agrees to dismiss an action or proceeding upon the other’s payment of the sums
allegedly due or performance of the covenants allegedly breached, or who obtains
substantially the relief sought. The provisions set forth in this paragraph shall survive the
merger of these provisions into any judgment.
15.14 Notice. Any notice required or desired to be given pursuant to this
Agreement or otherwise relating to this Agreement shall be in writing, addressed to the

Staff Report Page 16

Party at the address listed below, and shall be deemed effective: (i) upon personal
delivery, or (ii) three business days following deposit in the United States Mail, postage
prepaid, certified mail, return receipt requested.
To:

High Valley Transit District
ATTN: Chair, Board of Trustees
60 N. Main Street
P.O. Box 128
Coalville, Utah 84017
Telephone:

To:

Summit County
ATTN: County Manager
60 N. Main Street
P.O. Box 128
Coalville, Utah 84017
Telephone: (435) 336-3110

Either Party hereto may change its address for the purpose of receiving notices as herein
provided by serving written notice given in the manner aforesaid.
15.15. Applicable Law; Jurisdiction and Venue. This Agreement shall be
governed by and interpreted in accordance with the laws of the State of Utah. The Parties
hereby consent to the jurisdiction and venue of the state courts located in Summit
County, Utah.
15.16. Counterparts. This Agreement may be executed in counterparts and
delivered by electronic transmission.
16.

Interlocal Cooperation Act Requirements.

In satisfaction of the requirements of the Utah Interlocal Cooperation Act, the
Parties agree as follows:
16.1 This Agreement shall be conditioned upon the approval and execution of
this Agreement by the Parties pursuant to and in accordance with the provisions of the
Utah Interlocal Cooperation Act, as set forth in Utah Code Title 11, Chapter 13,
including the adoption of resolutions of approval, but only if such resolutions of the
legislative bodies of the Parties are required by the Utah Interlocal Cooperation Act.
16.2 In accordance with the provisions of Utah Code §11-13-202.5(3), this
Agreement shall be submitted to the attorney authorized to represent each Party for
review as to proper form and compliance with applicable law before this Agreement may
take affect.

Staff Report Page 17

16.3 A duly executed copy of this Agreement shall be filed with the keeper of
records of each Party, pursuant to §11-13-209 of the Utah Interlocal Cooperation Act.
16.4 No separate legal entity is created by the terms of this Agreement. To the
extent that this Agreement requires administration other than as set forth herein, it shall
be administered by the chief executive officer of each Party.
16.5 No real or personal property shall be acquired jointly by the Parties as a
result of this Agreement unless this Agreement has been amended to authorize such
acquisition. To the extent that a Party acquires, holds, or disposes of any real or personal
property for use in the joint or cooperative undertaking contemplated by this Agreement,
such Party shall do so in the same manner that it deals with other property of such Party.
IN WITNESS WHEREOF, the Parties have caused this Agreement to be executed on the
dates indicated by the signatures of the respective Parties.

Staff Report Page 18

Signed this ___day of ____________, 2021.
SUMMIT COUNTY
____________________________________
Glenn Wright, Chair
Summit County Council
ATTEST:
___________________________________
County Clerk
Reviewed and found to be in proper form and compliance with applicable law:

County Attorney

Staff Report Page 19

Signed this ___ day of ______________, 2021.
HIGH VALLEY TRANSIT DISTRICT

____________________________________
Kim Carson, Chair
Board of Trustees

Reviewed and found to be in proper form and compliance with applicable law:

____________________________________
David L. Thomas
Chief Civil Deputy

Staff Report Page 20

EXHIBT A
Annexation Resolution

Staff Report Page 21

Summit County Resolution No. __________
RESOLUTION INITIATING PROCEEDINGS
RELATED TO THE ANNEXATION OF CERTAIN REAL
PROPERTY INTO THE BOUNDARIES OF THE
HIGH VALLEY TRANSIT DISTRICT
(Unincorporated County Annexation)

WHEREAS, as set forth in the Utah Limited Purpose Local Government Entities – Local Districts, Title
17B, Chapter 1, et seq. Utah Code,1953, as amended (the “Local District Act”), with all statutory references herein
being to the Local District Act unless otherwise stated, the County Council of Summit County, Utah (the “County
Council”), having created the High Valley Transit District (the “District”), as set forth in Summit County Code Title
2, Chapter 7, for the purpose of providing “a system of regional public transit by means of regular, continuing,
shared-ride, and surface transportation services that are open to the general public”, with a Board of Trustees (the
“Board”), who serves as the governing body of the District, and pursuant to the Local District Act has sole authority
to annex property into the legal boundaries of the District; and
WHEREAS, pursuant to Utah Code§17B-1-402, the Board is authorized to annex area into the District by
applying the provisions of Part 4 of the Local District Act, as the procedures governing the annexation; and
WHEREAS, Utah Code §§17B-1-403 and 404 provide that the process to annex an area into the District
may be initiated by a resolution adopted by the “legislative body of each county whose unincorporated areas
includes and each municipality whose boundaries include any of the area proposed to be annexed” into the District;
and,
WHEREAS, Summit County (the “County”) has participated in a system of public transit for the benefit of
its residents, workforce and visitors through the District and Park City Transit; and,
WHEREAS, the District and County have entered into an Interlocal Cooperation Agreement for Transit
System Services, dated _____, 2021, which sets forth the terms and conditions upon which, among other things, (i)
how County owned transit assets can be transferred to the District and assimilated into the District’s regional system
of public transit; (ii) how the District may be financed through the imposition of appropriate sales taxes; and (iii) any
special conditions, considerations and circumstances pertaining to the County and how transit services can be
provided by the District to the residents, workforce, and visitors of the County, subject to the annexation of said area
into the legal boundaries of the District; and

Staff Report Page 22

WHEREAS, the annexation of the remaining unincorporated areas of the County into the District is
consistent with and furthers the District’s mission and purpose of being a regional public transit system; and
WHEREAS, the County Council finds that under current circumstances, it is in the best interests of the
public health, convenience and necessity of the citizens of the County to join the remaining portions of the
unincorporated County into a regional transit authority through annexation and discontinue Park County Transit in
order to more fully provide transit services to its residents, workforce and visitors, and, therefore, initiates the legal
proceedings required to consider and approve the annexation in accordance with the requirements of Utah Code,
Title 17B, Chapter 1, Part 4 of the Local District Act, including, without limitation, the notice, public hearing,
protest and election procedures provided for therein.
NOW, THEREFORE, be it hereby resolved by the Summit County Council as follows:
SECTION 1. INCORPORATION OF RECITALS. The Recitals hereinabove set forth are incorporated
into this Resolution and made a part hereof as though fully set forth herein.
SECTION 2. DECLARATION AND STATEMENT OF INTENT. The County Council hereby
declares that the public health, convenience and necessity require the annexation of the remaining portions of the
unincorporated County, as defined herein (the “Annexation Area”), into the legal boundaries of the High Valley
Transit District and states its intent to annex said Annexation Area into the District subject to compliance with all
procedural requirements of the Local District Act. The Annexation Area is to be annexed for the purpose of
enabling the District to provide regional public transit service to the residents, workforce, and visitors of the County.
SECTION 3. INITIATION OF ANNEXATION PROCEEDINGS. Pursuant to and in conformance
with the powers set forth in Utah Code §17B-1-403 and §17B-1-404, the County Council by this Resolution initiates
the proceedings necessary for the annexation of the Annexation Area, as more particularly described in the form of
the Notice of Annexation set forth in Section 5 herein, and as depicted on and attached hereto as EXHIBIT “A”,
which exhibit is incorporated herein by this reference.
SECTION 4. PUBLIC HEARING. The County Council hereby calls for a public hearing to held on the
proposed annexation in conformance with the provisions of Utah Code §17B-1-409 and §17B-1-410. The public
hearing held shall be set by the Board in conformance with the Local District Act.

Staff Report Page 23

SECTION 5. NOTICE OF THE PUBLIC HEARING.
(1) In conformance with the provisions of Utah Code §17B-1-410, the Secretary of the Board
shall give written notice of the public hearing. The notice shall be given, in conformance with all applicable
requirements of Utah Code §17B-1-409, (i) by mailing of said notice to each registered voter residing within the
area proposed to be annexed, as determined by the voter registration list maintained by the county clerk as of a date
selected by the Board for a public hearing which is at least twenty (20) but not more than sixty (60) days before the
public hearing, and (ii) by posting of said notice in four (4) conspicuous locations within the area to be annexed, not
fewer than ten (10) days nor more than thirty (30) days before the date of the public hearing.
(2) The Notice of Annexation shall be in substantially the following form:

THE FORM OF NOTICE APPEARS ON THE FOLLOWING PAGE

Staff Report Page 24

NOTICE OF ANNEXATION
NOTICE IS HEREBY GIVEN, pursuant to and in conformance with the provisions of
Utah Code §§17B-1-409 and 410, that the Board of Trustees of the High Valley Transit District
(the “Board”), under authority of Utah Code §17B-1-402, has initiated proceedings to annex the
following real property, consisting generally of those real properties situated within the
jurisdictional boundaries of unincorporated Summit County that have not previously been annexed
into the High Valley Transit District (the “Annexation Area”), into the boundaries of the High
Valley Transit District (the “District”). All statutory references herein are to Utah Code 1953, as
amended.
The proposed Annexation Area is more particularly described in EXHIBIT “A” hereto.
In conformance with the provisions of Utah Code §17B-1-409 and §17B-1-410, the
Board has called for a public hearing to held on the proposed annexation. The public hearing shall
be held on the ____ day of ____________, 2021, at the hour of 6:00 p.m., in the Summit County
Council Chambers in the Summit County Courthouse, located at 60 N. Main Street, Coalville,
Utah (Anchor Location). At the public hearing, the Board shall give full consideration to each
written protest that has been filed, and hear and consider each interested person desiring to be
heard concerning the proposed annexation. The Board may continue the public hearing to another
date and time as it deems necessary.
The purpose of the proposed annexation is to facilitate regional public transit services
being provided by the District to residents, workforce, and visitors of Summit County. Upon
annexation, property taxes may be levied annually upon all taxable property within the proposed
Annexation Area, sales taxes shall be imposed upon the sale of goods and services purchased
within the proposed Annexation Area, and fees and charges may be imposed to pay for public
transit services proposed to be provided by the Authority.
Any interested person may, pursuant to and in conformance with the provisions of Utah
Code §17B-1-412, protest the proposed annexation by submitting a written protest to the Board no
later than thirty (30) after the public hearing. The protest shall explain why the person is
protesting the annexation.
END OF NOTICE

Staff Report Page 25

SECTION 6. APPROVAL OF THE ANNEXATION.

If adequate protests are not timely filed, and

otherwise in conformance with the provisions of Utah Code §17B-1-412 and §17B-1-414, the Board may adopt a
resolution approving the annexation of the Annexation Area into the legal boundaries of the District.

In

conformance with the provisions of Utah Code §17B-1-412, the Board may not adopt a resolution approving the
annexation if adequate protests are filed, absent an election of the registered voters of the Annexation Area.
SECTION 7. EFFECTIVE DATE. This Resolution shall take effect immediately upon its approval and
adoption by the County Council.
APPROVED AND ADOPTED this _____ day of ___________, 2021.

COUNTY COUNCIL
SUMMIT COUNTY, UTAH
ATTEST:

______________________
County Clerk

APPROVED AS TO FORM:
__________________________
__________________________
County Attorney

__________________________
__________________________
Chair
VOTING OF COUNTY COUNCIL:
Councilmember _________
Councilmember _________
Councilmember _________
Councilmember _________
Councilmember _________

________
________
________
________
________

Staff Report Page 26

EXHIBIT “A”

ANNEXATION AREA MAP

Staff Report Page 27

EXHIBIT B
Kamas Business Commons Park & Ride Transit Center

Staff Report Page 28

AFTER RECORDED, PLEASE RETURN TO:
David L. Thomas
Chief Civil Deputy
Summit County Attorney
P.O. Box 128
60 N. Main
Coalville, Utah 84017

Tax Identification No. KAMC-1

SPECIAL WARRANTY DEED
FOR GOOD AND VALUABLE CONSIDERATION, Summit County, a political
subdivision of the State of Utah (the “Grantor”) having a mailing address at 60 N. Main Street,
P.O. Box 128, Coalville, Utah 84017, hereby CONVEYS AND WARRANTS, against those
claiming by, through and under the Grantor and not otherwise, to High Valley Transit District, a
body corporate and politic of the State of Utah, (the “Grantee”) having a mailing address at 60
N. Main Street, P.O. Box 128, Coalville, Utah 84017, the Grantor’s right, title and interest in and
to that certain tract of land located in Summit County, State of Utah, as described in Exhibit
“A” attached hereto (the “Subject Property”).
SUBJECT TO all restrictions, reservations and other conditions of record as may be
disclosed by a record examination of title.
TO HAVE AND TO HOLD the Subject Property, together with all tenements,
hereditaments, and appurtenances thereunto belonging, unto the Grantee, and its successors and
assigns, forever. The Grantor does hereby covenant to and with the Grantee that the Grantee is
owner in fee simple of the Subject Property and that the Grantor will warrant and defend the
same from all lawful claims whatsoever arising by, through and under the Grantor and not
otherwise.
The undersigned further hereby acknowledges and affirms to the below named Notary
Public that the undersigned appeared before such Notary Public and either executed this Deed
before such Notary Public or acknowledged to such Notary Public that the undersigned executed
this Deed for the purposes stated in it.
DATED as of the _____ day of ____________________, 2021.
Summit County
By: ______________________________________
Print Name: Thomas C. Fisher
Title: County Manager

Staff Report Page 29

STATE OF UTAH
COUNTY OF SUMMIT

)
:ss.
)

The foregoing instrument was acknowledged before me this _____ day of
____________________, 2021, by Thomas C. Fisher, the Summit County Manager in and on
behalf of Summit County.

__________________________________________
NOTARY PUBLIC
Residing at: _______________________________
My Commission Expires:
____________________

Staff Report Page 30

EXHIBIT A
Real Property situated in Summit County, State of Utah described as follows:
KAMC-1, located at 231 South 175 West, Kamas, Utah 84036

Staff Report Page 31

EXHIBIT C
County Transit Hub

Staff Report Page 32

AFTER RECORDED, PLEASE RETURN TO:
David L. Thomas
Chief Civil Deputy
Summit County Attorney
P.O. Box 128
60 N. Main
Coalville, Utah 84017

Tax Identification No. PCTC-6-X

SPECIAL WARRANTY DEED
FOR GOOD AND VALUABLE CONSIDERATION, Summit County, a political
subdivision of the State of Utah (the “Grantor”) having a mailing address at 60 N. Main Street,
P.O. Box 128, Coalville, Utah 84017, hereby CONVEYS AND WARRANTS, against those
claiming by, through and under the Grantor and not otherwise, to High Valley Transit District, a
body corporate and politic of the State of Utah, (the “Grantee”) having a mailing address at 60
N. Main Street, P.O. Box 128, Coalville, Utah 84017, the Grantor’s right, title and interest in and
to that certain tract of land located in Summit County, State of Utah, as described in Exhibit
“A” attached hereto (the “Subject Property”).
SUBJECT TO all restrictions, reservations and other conditions of record as may be
disclosed by a record examination of title.
TO HAVE AND TO HOLD the Subject Property, together with all tenements,
hereditaments, and appurtenances thereunto belonging, unto the Grantee, and its successors and
assigns, forever. The Grantor does hereby covenant to and with the Grantee that the Grantee is
owner in fee simple of the Subject Property and that the Grantor will warrant and defend the
same from all lawful claims whatsoever arising by, through and under the Grantor and not
otherwise.
The undersigned further hereby acknowledges and affirms to the below named Notary
Public that the undersigned appeared before such Notary Public and either executed this Deed
before such Notary Public or acknowledged to such Notary Public that the undersigned executed
this Deed for the purposes stated in it.
DATED as of the _____ day of ____________________, 2021.
Summit County
By: ______________________________________
Print Name: Thomas C. Fisher
Title: County Manager

Staff Report Page 33

STATE OF UTAH
COUNTY OF ________________

)
:ss.
)

The foregoing instrument was acknowledged before me this _____ day of
____________________, 2021, by Thomas C. Fisher, the Summit County Manager in and on
behalf of Summit County.

__________________________________________
NOTARY PUBLIC
Residing at: _______________________________
My Commission Expires:
____________________

Staff Report Page 34

EXHIBIT A
Real Property situated in Summit County, State of Utah described as follows:
PCTC-6-X, located at 6490 N. Landmark Dr., Park City, Utah 84098

Staff Report Page 35

EXHIBIT D
Inventory of Real Property Interests

Staff Report Page 36

EXHIBIT E
Assignment of Real Property Interests

Staff Report Page 37

Recording Requested By:
David L. Thomas
Chief Civil Deputy
Summit County Attorney
Summit County Courthouse
60 N. Main Street
Coalville, Utah 84017
______________________________________________________________________
Above Space for Recorder’s Use Only
ASSIGNMENT OF EASEMENTS
IN CONSIDERATION of the sum of Ten Dollars ($10.00), and other good and
valuable consideration, the receipt and sufficiency of which are hereby acknowledged,
Summit County, a political subdivision of the State of Utah (“Assignor”), hereby
CONVEYS, ASSIGNS and QUIT CLAIMS to High Valley Transit District, a body
politic and corporate of the State of Utah, and its successors-in-interest and assigns
(“Assignee”), all right, title and interest which Assignor owns or otherwise claims in and
to the following easements of record in Summit County, State of Utah, to wit:
1. [Example: Grant of Easement, dated December 31, 1988, recorded in
Summit County, State of Utah on January 6, 1989, under Entry No. 302944. Township 1
South, Range 3 East, Section 35; Township 1 South, Range 3 East, East ½ of Section 34;
Township 1 South, Range 3 East, West ½ of the Southwest ¼ of Section 36]
2. [Example: Easement Agreement, recorded in Summit County, State of
Utah on January 25, 2007, under Entry No. 00803013. Parcel PP-102-C-2, PP-102-B-3,
PP-B-3-A, PP-102-D-3-E, PP-102-M]
3. [All rights and interests of Assignor in and to the use of all public
utility easements, and public utility corridors in which the water system assets of
Assignor may be situated]
By acceptance of this Assignment, Assignee hereby acknowledges and agrees that
it shall take its rights and interests in and to the easements assigned hereunder “AS IS,
WHERE IS” and without warranty of any kind, either express or implied.
The individual executing this Agreement on behalf of Grantor hereby warrants
that he has the requisite authority to execute this Agreement on behalf of Assignor and
that Assignor has agreed to be and is bound hereby.
WITNESS the hand of Assignor this _____ day of ______________________,

Staff Report Page 38

2021.
SUMMIT COUNTY
_________________________________________
Thomas C. Fisher
County Manager
STATE OF UTAH )
: ss.
County of Summit )
On this _____ day of ____________, 2021, personally appeared before me Thomas
C. Fisher, signer of the above instrument, who duly acknowledged to me that he executed
the same for and in behalf Summit County, and that said Summit County duly executed the
same.

______________________________________________
NOTARY PUBLIC
Residing at: _______________________________
My Commission Expires:
____________________

Staff Report Page 39

Recording Requested By:
David L. Thomas
Chief Civil Deputy
Summit County Attorney
Summit County Courthouse
60 N. Main Street
Coalville, Utah 84017

_______________________________________________________________

Above Space for Recorder’s Use Only

GRANT OF EASEMENT
Summit County, a political subdivision of the State of Utah (“Grantor”), hereby GRANTS AND
CONVEYS to High Valley Transit District, a body corporate and politic of the State of Utah, and
its successors-in-interest and assigns (“Grantee”), for the sum of Ten Dollars ($10.00), and other
good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, a
non-exclusive perpetual easement and right-of-way, and temporary construction easement,
together with the right of access thereto including ingress and egress (the “Easement”), to be
utilized by Grantee for the purpose of constructing, installing, owning, operating, inspecting,
maintaining, repairing, altering, replacing, and protecting transit facilities (the “Transit
Facilities”). The Easement shall be situated over, under, across and through the following real
property of Grantor (the “Easement Property”), located in Summit County, State of Utah, more
particularly described as follows:
SEE EXHIBIT “A”
attached hereto and incorporated herein by reference.
This Easement is granted subject to the following rights, covenants and restrictions:
1. Temporary Construction Easement. During the period that the Transit Facilities
authorized hereunder are under construction, the Grantee shall have the right to utilize such portion of
Grantor’s property situated along and adjacent to the Easement Property as described herein as shall
be reasonably necessary in connection with the initial construction and installation of the Transit
Facilities. Grantee’s construction and operational activities related to its use of the Easement
Property as provided herein shall be performed in compliance with all applicable requirements of
governmental entities having jurisdiction.
2. Access to Easement Property. It is understood and agreed that the Easement set forth
herein gives, grants and conveys to Grantee, and the general public, the right of access, including
ingress and egress, to and upon the Easement Property for the purposes set forth herein.
3. Reasonable Ground Restoration. Within a reasonable time following completion of
construction of any improvements associated with the Transit Facilities within the Easement
Property, subject to suitable weather and/or soil conditions, and excepting the Transit Facilities,
Grantee, at its expense, shall reasonably restore the surface of the Easement Property or any other

Staff Report Page 40

property of Grantor disturbed by Grantee during construction, as near as practicable to its preconstruction condition.
4. Grantor’s Continued Use of the Property. Grantor reserves the right to use and enjoy
the Easement Property subject to this Easement and Grantee’s rights hereunder, and so long as
Grantor shall not construct any permanent buildings or other structures or improvements, or plant
any trees or shrubs whose roots would contact Grantee's Transit Facilities, or otherwise do any
thing or take any action which would unreasonably obstruct or interfere in any way with the
Grantee’s rights to the use of the Easement Property and Grantee’s rights of access thereto as
herein set forth.
5. Right to Remove Obstructions. Grantor expressly acknowledges and agrees that
Grantee shall have the unilateral right, without notice or compensation to the Grantor, to
physically remove any structure or other obstruction, and to cut and keep clear all trees, brush,
native growth or foliage, which are now or may hereafter be situated within the Easement
Property that may, in the Grantee’s sole opinion, endanger, hinder or conflict with its rights
hereunder. Grantee shall have no liability for any damage to any improvements made by Grantor
to the extent such damage arises out of or in connection with Grantee’s use of the Easement
Property consistent with its rights hereunder.
6. No Representations or Warranties. Grantee is acquiring the Easement as is, where is,
with all faults and defects, and GRANTOR MAKES NO REPRESENTATION OR
WARRANTY, EXPRESS OR IMPLIED, INCLUDING BUT NOT LIMITED TO ALL
WARRANTIES OF FITNESS FOR A PARTICULAR PUPOSE OR OTHERWISE, ALL OF
WHICH ARE HEREBY EXPRESSLY DISCLAIMED AND EXCLUDED. Grantor makes no
representations or warranties regarding the environmental condition of the Easement Property or
the Easement.
7. Covenant Running with the Land. The Easement and related rights granted hereunder
create an equitable servitude on the Easement Property and constitute a covenant running with the
land which shall be binding upon Grantor and the Grantee and their respective legal
representatives, successors-in-interest and assigns.
8. Amendment. This Easement, and all rights, covenants and restrictions set forth herein
may not be terminated, extended, modified or amended without the consent of Grantor and
Grantee, and any such termination, extension, modification or amendment shall be effective only
upon recordation in the official records of Summit County, Utah, of a written document effecting
the same, duly executed and acknowledged by Grantor and Grantee.
9. Warranty of Authority. The individual executing this Agreement on behalf of Grantor
hereby warrants that he has the requisite authority to execute this Agreement on behalf of the
Grantor and that the Grantor has agreed to be and is bound hereby.
10. Acknowledgement of Agreement by Grantee. By accepting delivery of and
recordation of this Grant of Easement, Grantee acknowledges and agrees with the terms and
provisions hereof.
WITNESS the hand of Grantor this _____ day of ______________________, 2021.

Staff Report Page 41

GRANTOR:
Summit County
By: _________________________________________
Name: Thomas C. Fisher
Its: County Manager

STATE OF UTAH )
: ss.
County of Summit )
On this _____ day of _______________, 2021, personally appeared before me Thomas C.
Fisher, signer of the above instrument, who duly acknowledged to me that he executed the same for
and in behalf Summit County, and that said Summit County duly executed the same.
______________________________________________
NOTARY PUBLIC

Residing at: _______________________________
My Commission Expires:
____________________

Staff Report Page 42

EXHIBIT “A”
Legal Description of Easement Property

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Exhibit F
Assignment of SLC-SC Transit Agreement

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ASSIGNMENT AGREEMENT
Between
HIGH VALLEY TRANSIT DISTRICT
And
SUMMIT COUNTY

THIS ASSIGNMENT AGREEMENT ("Agreement") is made and entered into
this __day of_______, 2021, between SUMMIT COUNTY, a political subdivision of the
State of Utah (the “County") and HIGH VALLEY TRANSIT DISTRICT, a body
corporate and politic of the State of Utah (the "District"). The County and District are
collectively referred to herein as the "Parties."
WITNESSETH:
WHEREAS, the County has entered into a Bus Service Agreement between the
Utah Transit Authority (“UTA”), Park City Municipal Corporation, and the County, dated
August 24, 2011, whereby those parties agreed to participate jointly in operating transit
service in and around Salt Lake County and Summit County, and the same having been
amended by that certain Addendum No. 1, Service and Alignment Change 2017, dated
________, 2017 (together, the “SLC-SC Transit Agreement”); and,
WHEREAS, the purpose of this agreement is for the County to assign and the
Authority to assume such SLC-SC Transit Agreement;
NOW, THEREFORE, the Parties mutually agree as follows:
For value received, Summit County does hereby assign, transfer, and set over to
the High Valley Transit District all rights, title, interest, duties, and obligations in and to
that certain SLC-SC Transit Agreement, subject to all terms and conditions thereof, a
copy of which is attached thereto as Exhibit A and made part hereof, and the District
hereby accepts and assumes the foregoing instrument, subject to all the terms and
conditions thereof.

Staff Report Page 45

by law.

IN WITNESS WHEREOF, the Parties caused this Agreement to be executed as

SUMMIT COUNTY

By: __________________________________
Thomas C. Fisher
County Manager

HIGH VALLEY TRANSIT DISTRICT

By:

Kim Carson, Chair
Board of Trustees

Staff Report Page 46

EXHIBIT A
SLC – SC Transit Agreement

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EXHIBIT G
Assignment of Canyons Transit Agreement

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ASSIGNMENT AGREEMENT
Between
HIGH VALLEY TRANSIT DISTRICT
And
SUMMIT COUNTY

THIS ASSIGNMENT AGREEMENT ("Agreement") is made and entered into
this __day of_______, 2020, between SUMMIT COUNTY, a political subdivision of the
State of Utah (the “County") and HIGH VALLEY TRANSIT DISTRICT, a body
corporate and politic of the State of Utah (the "District"). The County and District are
collectively referred to herein as the "Parties."
WITNESSETH:
WHEREAS, the County entered into that certain Canyons Transit Service
Agreement between Summit County, the Canyons Resort Village Association, Inc., and
VR CPC Holdings, Inc., dated _________, 2021 (the “Canyons Transit Agreement”);
and,
WHEREAS, the purpose of this agreement is for the County to assign and the
District to assume such Canyons Transit Agreement;
NOW, THEREFORE, the Parties mutually agree as follows:
For value received, Summit County does hereby assign, transfer, and set over to
the High Valley Public Transit District all rights, title, interest, duties, and obligations in
and to that certain Canyons Transit Agreement, subject to all terms and conditions
thereof, a copy of which is attached thereto as Exhibit A and made part hereof, and the
District hereby accepts and assumes the foregoing instrument, subject to all the terms and
conditions thereof.

Staff Report Page 49

by law.

IN WITNESS WHEREOF, the Parties caused this Agreement to be executed as

SUMMIT COUNTY

By: __________________________________
Thomas C. Fisher
County Manager

HIGH VALLEY TRANSIT DISTRICT

By:

Kim Carson, Chair
Board of Trustees

Staff Report Page 50

EXHIBIT A
Canyons Transit Agreement

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EXHIBIT H
Assignment of Kimball Circulator Agreement

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ASSIGNMENT AGREEMENT
Between
HIGH VALLEY TRANSIT DISTRICT
And
SUMMIT COUNTY

THIS ASSIGNMENT AGREEMENT ("Agreement") is made and entered into
this __day of_______, 2020, between SUMMIT COUNTY, a political subdivision of the
State of Utah (the “County") and HIGH VALLEY TRANSIT DISTRICT, a body
corporate and politic of the State of Utah (the "District"). The County and District are
collectively referred to herein as the "Parties."
WITNESSETH:
WHEREAS, the County entered into that certain Service Provider/Professional
Services Agreement, Kimball Circulator, LLC, dated June 1, 2017, and its First
Amendment, dated September 19, 2019 (the “Kimball Circulator Agreement”); and,
WHEREAS, the purpose of this agreement is for the County to assign and the
District to assume such Kimball Circulator Agreement;
NOW, THEREFORE, the Parties mutually agree as follows:
For value received, Summit County does hereby assign, transfer, and set over to
the High Valley Transit District all rights, title, interest, duties, and obligations in and to
that certain Kimball Circulator Agreement, subject to all terms and conditions thereof, a
copy of which is attached thereto as Exhibit A and made part hereof, and the District
hereby accepts and assumes the foregoing instrument, subject to all the terms and
conditions thereof.

Staff Report Page 53

by law.

IN WITNESS WHEREOF, the Parties caused this Agreement to be executed as

SUMMIT COUNTY

By: __________________________________
Thomas C. Fisher
County Manager

HIGH VALLEY TRANSIT DISTRICT

By:

Kim Carson, Chair
Board of Trustees

Staff Report Page 54

EXHIBIT A
Kimball Circulator Agreement

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EXHIBIT I
Assignments of Contracts

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Not every provision of every certification will apply to every applicant or award. If a provision
of a certification does not apply to the applicant or its award, FTA will not enforce that
provision. Refer to FTA’s accompanying Instructions document for more information.
Text in italics is guidance to the public. It does not have the force and effect of law, and is not
meant to bind the public in any way. It is intended only to provide clarity to the public regarding
existing requirements under the law or agency policies.
CATEGORY 1. CERTIFICATIONS AND ASSURANCES REQUIRED OF EVERY
APPLICANT.
All applicants must make the certifications in this category.
1.1. Standard Assurances.
The certifications in this subcategory appear as part of the applicant’s registration or annual
registration renewal in the System for Award Management (SAM.gov) and on the Office of
Management and Budget’s standard form 424B “Assurances—Non-Construction Programs”.
This certification has been modified in places to include analogous certifications required by
U.S. DOT statutes or regulations.
As the duly authorized representative of the applicant, you certify that the applicant:
(a)

(b)

(c)

(d)
(e)

Has the legal authority to apply for Federal assistance and the institutional, managerial
and financial capability (including funds sufficient to pay the non-Federal share of project
cost) to ensure proper planning, management and completion of the project described in
this application.
Will give the awarding agency, the Comptroller General of the United States and, if
appropriate, the State, through any authorized representative, access to and the right to
examine all records, books, papers, or documents related to the award; and will establish
a proper accounting system in accordance with generally accepted accounting standards
or agency directives.
Will establish safeguards to prohibit employees from using their positions for a purpose
that constitutes or presents the appearance of personal or organizational conflict of
interest, or personal gain.
Will initiate and complete the work within the applicable time frame after receipt of
approval of the awarding agency.
Will comply with the Intergovernmental Personnel Act of 1970 (42 U.S.C. §§ 4728–
4763) relating to prescribed standards for merit systems for programs funded under one
of the 19 statutes or regulations specified in Appendix A of OPM’s Standards for a Merit
System of Personnel Administration (5 CFR 900, Subpart F).

Staff Report Page 57

(f)

(g)

Will comply with all Federal statutes relating to nondiscrimination. These include but are
not limited to:
(1)
Title VI of the Civil Rights Act of 1964 (P.L. 88-352) which prohibits
discrimination on the basis of race, color or national origin, as effectuated by U.S.
DOT regulation 49 CFR Part 21;
(2)
Title IX of the Education Amendments of 1972, as amended (20 U.S.C. §§ 1681–
1683, and 1685–1686), which prohibits discrimination on the basis of sex, as
effectuated by U.S. DOT regulation 49 CFR Part 25;
(3)
Section 5332 of the Federal Transit Law (49 U.S.C. § 5332), which prohibits any
person being excluded from participating in, denied a benefit of, or discriminated
against under, a project, program, or activity receiving financial assistance from
FTA because of race, color, religion, national origin, sex, disability, or age.
(4)
Section 504 of the Rehabilitation Act of 1973, as amended (29 U.S.C. § 794),
which prohibits discrimination on the basis of handicaps, as effectuated by U.S.
DOT regulation 49 CFR Part 27;
(5)
The Age Discrimination Act of 1975, as amended (42 U.S.C. §§ 6101–6107),
which prohibits discrimination on the basis of age;
(6)
The Drug Abuse Office and Treatment Act of 1972 (P.L. 92-255), as amended,
relating to nondiscrimination on the basis of drug abuse;
(7)
The comprehensive Alcohol Abuse and Alcoholism Prevention, Treatment and
Rehabilitation Act of 1970 (P.L. 91–616), as amended, relating to
nondiscrimination on the basis of alcohol abuse or alcoholism;
(8)
Sections 523 and 527 of the Public Health Service Act of 1912 (42 U.S.C. §§ 290
dd-3 and 290 ee-3), as amended, relating to confidentiality of alcohol and drug
abuse patient records;
(9)
Title VIII of the Civil Rights Act of 1968 (42 U.S.C. §§ 3601 et seq.), as
amended, relating to nondiscrimination in the sale, rental, or financing of housing;
(10) Any other nondiscrimination provisions in the specific statute(s) under which
application for Federal assistance is being made; and,
(11) the requirements of any other nondiscrimination statute(s) which may apply to the
application.
Will comply, or has already complied, with the requirements of Titles II and III of the
Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970
(“Uniform Act”) (P.L. 91-646) which provide for fair and equitable treatment of persons
displaced or whose property is acquired as a result of Federal or federally-assisted
programs. These requirements apply to all interests in real property acquired for project
purposes regardless of Federal participation in purchases. The requirements of the
Uniform Act are effectuated by U.S. DOT regulation 49 CFR Part 24.

Staff Report Page 58

(h)

(i)

(j)

(k)

(l)

(m)

(n)
(o)

Will comply, as applicable, with provisions of the Hatch Act (5 U.S.C. §§ 1501–1508
and 7324–7328) which limit the political activities of employees whose principal
employment activities are funded in whole or in part with Federal funds.
Will comply, as applicable, with the provisions of the Davis–Bacon Act (40 U.S.C.
§§ 276a to 276a-7), the Copeland Act (40 U.S.C. § 276c and 18 U.S.C. § 874), and the
Contract Work Hours and Safety Standards Act (40 U.S.C. §§ 327–333), regarding labor
standards for federally assisted construction subagreements.
Will comply, if applicable, with flood insurance purchase requirements of Section 102(a)
of the Flood Disaster Protection Act of 1973 (P.L. 93-234) which requires recipients in a
special flood hazard area to participate in the program and to purchase flood insurance if
the total cost of insurable construction and acquisition is $10,000 or more.
Will comply with environmental standards which may be prescribed pursuant to the
following:
(1)
Institution of environmental quality control measures under the National
Environmental Policy Act of 1969 (P.L. 91-190) and Executive Order (EO)
11514;
(2)
Notification of violating facilities pursuant to EO 11738;
(3)
Protection of wetlands pursuant to EO 11990;
(4)
Evaluation of flood hazards in floodplains in accordance with EO 11988;
(5)
Assurance of project consistency with the approved State management program
developed under the Coastal Zone Management Act of 1972 (16 U.S.C. §§ 1451
et seq.);
(6)
Conformity of Federal actions to State (Clean Air) Implementation Plans under
Section 176(c) of the Clean Air Act of 1955, as amended (42 U.S.C. §§ 7401 et
seq.);
(7)
Protection of underground sources of drinking water under the Safe Drinking
Water Act of 1974, as amended (P.L. 93-523); and
(8)
Protection of endangered species under the Endangered Species Act of 1973, as
amended (P.L. 93–205).
Will comply with the Wild and Scenic Rivers Act of 1968 (16 U.S.C. §§ 1271 et seq.)
related to protecting components or potential components of the national wild and scenic
rivers system.
Will assist the awarding agency in assuring compliance with Section 106 of the National
Historic Preservation Act of 1966, as amended (16 U.S.C. § 470), EO 11593
(identification and protection of historic properties), and the Archaeological and Historic
Preservation Act of 1974 (16 U.S.C. §§ 469a-1 et seq.).
Will comply with P.L. 93-348 regarding the protection of human subjects involved in
research, development, and related activities supported by this award of assistance.
Will comply with the Laboratory Animal Welfare Act of 1966 (P.L. 89-544, as amended,
7 U.S.C. §§ 2131 et seq.) pertaining to the care, handling, and treatment of warm blooded

Staff Report Page 59

(p)

(q)

(r)
(s)

animals held for research, teaching, or other activities supported by this award of
assistance.
Will comply with the Lead-Based Paint Poisoning Prevention Act (42 U.S.C. §§ 4801 et
seq.) which prohibits the use of lead-based paint in construction or rehabilitation of
residence structures.
Will cause to be performed the required financial and compliance audits in accordance
with the Single Audit Act Amendments of 1996 and 2 CFR Part 200, Subpart F, “Audit
Requirements”, as adopted and implemented by U.S. DOT at 2 CFR Part 1201.
Will comply with all applicable requirements of all other Federal laws, executive orders,
regulations, and policies governing the program under which it is applying for assistance.
Will comply with the requirements of Section 106(g) of the Trafficking Victims
Protection Act (TVPA) of 2000, as amended (22 U.S.C. § 7104) which prohibits grant
award recipients or a sub-recipient from:
(1)
Engaging in severe forms of trafficking in persons during the period of time that
the award is in effect;
(2)
Procuring a commercial sex act during the period of time that the award is in
effect; or
(3)
Using forced labor in the performance of the award or subawards under the
award.

1.2. Standard Assurances: Additional Assurances for Construction Projects.
This certification appears on the Office of Management and Budget’s standard form 424D
“Assurances—Construction Programs” and applies specifically to federally assisted projects for
construction. This certification has been modified in places to include analogous certifications
required by U.S. DOT statutes or regulations.
As the duly authorized representative of the applicant, you certify that the applicant:
(a)

(b)
(c)

Will not dispose of, modify the use of, or change the terms of the real property title or
other interest in the site and facilities without permission and instructions from the
awarding agency; will record the Federal awarding agency directives; and will include a
covenant in the title of real property acquired in whole or in part with Federal assistance
funds to assure nondiscrimination during the useful life of the project.
Will comply with the requirements of the assistance awarding agency with regard to the
drafting, review, and approval of construction plans and specifications.
Will provide and maintain competent and adequate engineering supervision at the
construction site to ensure that the complete work confirms with the approved plans and
specifications, and will furnish progressive reports and such other information as may be
required by the assistance awarding agency or State.

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1.3. Procurement.
The Uniform Administrative Requirements, 2 CFR § 200.324, allow a recipient to self-certify
that its procurement system complies with Federal requirements, in lieu of submitting to certain
pre-procurement reviews.
The applicant certifies that its procurement system complies with:
(a)

(b)
(c)

U.S. DOT regulations, “Uniform Administrative Requirements, Cost Principles, and
Audit Requirements for Federal Awards,” 2 CFR Part 1201, which incorporates by
reference U.S. OMB regulatory guidance, “Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards,” 2 CFR Part 200, particularly 2
CFR §§ 200.317–200.326 “Procurement Standards;
Federal laws, regulations, and requirements applicable to FTA procurements; and
The latest edition of FTA Circular 4220.1 and other applicable Federal guidance.

1.4. Suspension and Debarment.
Pursuant to Executive Order 12549, as implemented at 2 CFR Parts 180 and 1200, prior to
entering into a covered transaction with an applicant, FTA must determine whether the applicant
is excluded from participating in covered non-procurement transactions. For this purpose, FTA
is authorized to collect a certification from each applicant regarding the applicant’s exclusion
status. 2 CFR § 180.300. Additionally, each applicant must disclose any information required by
2 CFR § 180.335 about the applicant and the applicant’s principals prior to entering into an
award agreement with FTA. This certification serves both purposes.
The applicant certifies, to the best of its knowledge and belief, that the applicant and each of its
principals:
(a)

(b)

Is not presently debarred, suspended, proposed for debarment, declared ineligible, or
voluntarily or involuntarily excluded from covered transactions by any Federal
department or agency;
Has not, within the preceding three years, been convicted of or had a civil judgment
rendered against him or her for commission of fraud or a criminal offense in connection
with obtaining, attempting to obtain, or performing a public or private agreement or
transaction; violation of Federal or State antitrust statutes, including those proscribing
price fixing between competitors, allocation of customers between competitors, and bid
rigging; commission of embezzlement, theft, forgery, bribery, falsification or destruction
of records, making false statements, tax evasion, receiving stolen property, making false
claims, or obstruction of justice; or commission of any other offense indicating a lack of
business integrity or business honesty;

Staff Report Page 61

(c)

Is not presently indicted for or otherwise criminally or civilly charged by a governmental
entity (Federal, State, or local) with commission of any offense described in paragraph
(b) of this certification;
Has not, within the preceding three years, had one or more public transactions (Federal,
State, or local) terminated for cause or default.

(d)

1.5. Coronavirus Response and Relief Supplemental Appropriations Act, 2021, and
CARES Act Funding.
The applicant certifies that, to the maximum extent possible, and consistent with the
Consolidated Appropriations Act, 2021 (Public Law 116–260):
(a)

Funds made available under title IV of division M of the Consolidated Appropriations
Act, 2021 (Public Law 116–260), and in title XII of division B of the CARES Act (Public
Law 116–136; 134 Stat. 599) shall be directed to payroll and operations of public transit
(including payroll and expenses of private providers of public transportation); or
The applicant certifies that the applicant has not furloughed any employees.

(b)

CATEGORY 2. PUBLIC TRANSPORTATION AGENCY SAFETY PLANS
This certification is required of each applicant under the Urbanized Area Formula Grants
Program (49 U.S.C. § 5307), each rail operator that is subject to FTA’s state safety oversight
programs, and each State that is required to draft and certify a public transportation agency
safety plan on behalf of a small public transportation provider pursuant to 49 CFR § 673.11(d).
This certification is required by 49 CFR § 673.13.
This certification does not apply to any applicant that receives financial assistance from FTA
exclusively under the Formula Grants for the Enhanced Mobility of Seniors Program (49 U.S.C.
§ 5310), the Formula Grants for Rural Areas Program (49 U.S.C. § 5311), or combination of
these two programs.
If the applicant is an operator, the applicant certifies that it has established a public transportation
agency safety plan meeting the requirements of 49 CFR Part 673.
If the applicant is a State, the applicant certifies that:
(a)

(b)

It has drafted a public transportation agency safety plan for each small public
transportation provider within the State, unless the small public transportation
provider provided notification to the State that it was opting-out of the State-drafted
plan and drafting its own public transportation agency safety plan; and
Each small public transportation provider within the state has a public transportation
agency safety plan that has been approved by the provider’s Accountable Executive

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(as that term is defined at 49 CFR § 673.5) and Board of Directors or Equivalent
Authority (as that term is defined at 49 CFR § 673.5).
CATEGORY 3. TAX LIABILITY AND FELONY CONVICTIONS.
If the applicant is a business association (regardless of for-profit, not for-profit, or tax exempt
status), it must make this certification. Federal appropriations acts since at least 2014 have
prohibited FTA from using funds to enter into an agreement with any corporation that has
unpaid Federal tax liabilities or recent felony convictions without first considering the
corporation for debarment. E.g., Consolidated Appropriations Act, 2021, Pub. L. 116-260, div.
E, title VII, §§ 744–745. U.S. DOT Order 4200.6 defines a “corporation” as “any private
corporation, partnership, trust, joint-stock company, sole proprietorship, or other business
association”, and applies the restriction to all tiers of subawards. As prescribed by U.S. DOT
Order 4200.6, FTA requires each business association applicant to certify as to its tax and
felony status.
If the applicant is a private corporation, partnership, trust, joint-stock company, sole
proprietorship, or other business association, the applicant certifies that:
(a)

(b)

It has no unpaid Federal tax liability that has been assessed, for which all judicial and
administrative remedies have been exhausted or have lapsed, and that is not being paid in
a timely manner pursuant to an agreement with the authority responsible for collecting
the tax liability; and
It has not been convicted of a felony criminal violation under any Federal law within the
preceding 24 months.
CATEGORY 4. LOBBYING.

If the applicant will apply for a grant or cooperative agreement exceeding $100,000, or a loan,
line of credit, loan guarantee, or loan insurance exceeding $150,000, it must make the following
certification and, if applicable, make a disclosure regarding the applicant’s lobbying activities.
This certification is required by 49 CFR § 20.110 and app. A to that part.
This certification does not apply to an applicant that is an Indian Tribe, Indian organization, or
an Indian tribal organization exempt from the requirements of 49 CFR Part 20.
4.1. Certification for Contracts, Grants, Loans, and Cooperative Agreements.
The undersigned certifies, to the best of his or her knowledge and belief, that:
(a)

No Federal appropriated funds have been paid or will be paid, by or on behalf of the
undersigned, to any person for influencing or attempting to influence an officer or
employee of an agency, a Member of Congress, an officer or employee of Congress, or

Staff Report Page 63

(b)

(c)

an employee of a Member of Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal loan, the entering
into of any cooperative agreement, and the extension, continuation, renewal, amendment,
or modification of any Federal contract, grant, loan, or cooperative agreement.
If any funds other than Federal appropriated funds have been paid or will be paid to any
person for influencing or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an employee of a Member
of Congress in connection with this Federal contract, grant, loan, or cooperative
agreement, the undersigned shall complete and submit Standard Form-LLL, “Disclosure
Form to Report Lobbying,” in accordance with its instructions.
The undersigned shall require that the language of this certification be included in the
award documents for all subawards at all tiers (including subcontracts, subgrants, and
contracts under grants, loans, and cooperative agreements) and that all subrecipients shall
certify and disclose accordingly.

This certification is a material representation of fact upon which reliance was placed when this
transaction was made or entered into. Submission of this certification is a prerequisite for making
or entering into this transaction imposed by section 1352, title 31, U.S. Code. Any person who
fails to file the required certification shall be subject to a civil penalty of not less than $10,000
and not more than $100,000 for each such failure.
4.2. Statement for Loan Guarantees and Loan Insurance.
The undersigned states, to the best of his or her knowledge and belief, that:
If any funds have been paid or will be paid to any person for influencing or attempting to
influence an officer or employee of any agency, a Member of Congress, an officer or employee
of Congress, or an employee of a Member of Congress in connection with this commitment
providing for the United States to insure or guarantee a loan, the undersigned shall complete and
submit Standard Form-LLL, “Disclosure Form to Report Lobbying,” in accordance with its
instructions.
Submission of this statement is a prerequisite for making or entering into this transaction
imposed by section 1352, title 31, U.S. Code. Any person who fails to file the required statement
shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each
such failure.
CATEGORY 5. PRIVATE SECTOR PROTECTIONS.
If the applicant will apply for funds that it will use to acquire or operate public transportation
facilities or equipment, the applicant must make the following certification regarding protections
for the private sector.

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5.1. Charter Service Agreement.
To enforce the provisions of 49 U.S.C. § 5323(d), FTA’s charter service regulation requires each
applicant seeking assistance from FTA for the purpose of acquiring or operating any public
transportation equipment or facilities to make the following Charter Service Agreement. 49 CFR
§ 604.4.
The applicant agrees that it, and each of its subrecipients, and third party contractors at any level
who use FTA-funded vehicles, may provide charter service using equipment or facilities
acquired with Federal assistance authorized under the Federal Transit Laws only in compliance
with the regulations set out in 49 CFR Part 604, the terms and conditions of which are
incorporated herein by reference.
5.2. School Bus Agreement.
To enforce the provisions of 49 U.S.C. § 5323(f), FTA’s school bus regulation requires each
applicant seeking assistance from FTA for the purpose of acquiring or operating any public
transportation equipment or facilities to make the following agreement regarding the provision
of school bus services. 49 CFR § 605.15.
(a)

(b)

If the applicant is not authorized by the FTA Administrator under 49 CFR § 605.11 to
engage in school bus operations, the applicant agrees and certifies as follows:
(1)
The applicant and any operator of project equipment agrees that it will not engage
in school bus operations in competition with private school bus operators.
(2)
The applicant agrees that it will not engage in any practice which constitutes a
means of avoiding the requirements of this agreement, part 605 of the Federal
Mass Transit Regulations, or section 164(b) of the Federal-Aid Highway Act of
1973 (49 U.S.C. 1602a(b)).
If the applicant is authorized or obtains authorization from the FTA Administrator to
engage in school bus operations under 49 CFR § 605.11, the applicant agrees as follows:
(1)
The applicant agrees that neither it nor any operator of project equipment will
engage in school bus operations in competition with private school bus operators
except as provided herein.
(2)
The applicant, or any operator of project equipment, agrees to promptly notify the
FTA Administrator of any changes in its operations which might jeopardize the
continuation of an exemption under § 605.11.
(3)
The applicant agrees that it will not engage in any practice which constitutes a
means of avoiding the requirements of this agreement, part 605 of the Federal
Transit Administration regulations or section 164(b) of the Federal-Aid Highway
Act of 1973 (49 U.S.C. 1602a(b)).
(4)
The applicant agrees that the project facilities and equipment shall be used for the
provision of mass transportation services within its urban area and that any other

Staff Report Page 65

use of project facilities and equipment will be incidental to and shall not interfere
with the use of such facilities and equipment in mass transportation service to the
public.
CATEGORY 6. TRANSIT ASSET MANAGEMENT PLAN.
If the applicant owns, operates, or manages capital assets used to provide public transportation,
the following certification is required by 49 U.S.C. § 5326(a).
The applicant certifies that it is in compliance with 49 CFR Part 625.
CATEGORY 7. ROLLING STOCK BUY AMERICA REVIEWS AND BUS TESTING.
7.1. Rolling Stock Buy America Reviews.
If the applicant will apply for an award to acquire rolling stock for use in revenue service, it
must make this certification. This certification is required by 49 CFR § 663.7.
The applicant certifies that it will conduct or cause to be conducted the pre-award and postdelivery audits prescribed by 49 CFR Part 663 and will maintain on file the certifications
required by Subparts B, C, and D of 49 CFR Part 663.
7.2. Bus Testing.
If the applicant will apply for funds for the purchase or lease of any new bus model, or any bus
model with a major change in configuration or components, the applicant must make this
certification. This certification is required by 49 CFR § 665.7.
The applicant certifies that the bus was tested at the Bus Testing Facility and that the bus
received a passing test score as required by 49 CFR Part 665. The applicant has received or will
receive the appropriate full Bus Testing Report and any applicable partial testing reports before
final acceptance of the first vehicle.
CATEGORY 8. URBANIZED AREA FORMULA GRANTS PROGRAM.
If the applicant will apply for an award under the Urbanized Area Formula Grants Program
(49 U.S.C. § 5307), or any other program or award that is subject to the requirements of
49 U.S.C. § 5307, including the Formula Grants for the Enhanced Mobility of Seniors Program
(49 U.S.C. § 5310); “flex funds” from infrastructure programs administered by the Federal
Highways Administration (see 49 U.S.C. § 5334(i)); projects that will receive an award
authorized by the Transportation Infrastructure Finance and Innovation Act (“TIFIA”)
(23 U.S.C. §§ 601–609) or State Infrastructure Bank Program (23 U.S.C. § 610) (see 49 U.S.C.
§ 5323(o)); formula awards or competitive awards to urbanized areas under the Grants for

Staff Report Page 66

Buses and Bus Facilities Program (49 U.S.C. § 5339(a) and (b)); or low or no emission awards
to any area under the Grants for Buses and Bus Facilities Program (49 U.S.C. § 5339(c)), the
applicant must make the following certification. This certification is required by 49 U.S.C.
§ 5307(c)(1).
The applicant certifies that it:
(a)

(b)
(c)
(d)

(e)
(f)
(g)
(h)
(i)
(j)

Has or will have the legal, financial, and technical capacity to carry out the program of
projects (developed pursuant 49 U.S.C. § 5307(b)), including safety and security aspects
of the program;
Has or will have satisfactory continuing control over the use of equipment and facilities;
Will maintain equipment and facilities in accordance with the applicant’s transit asset
management plan;
Will ensure that, during non-peak hours for transportation using or involving a facility or
equipment of a project financed under this section, a fare that is not more than 50 percent
of the peak hour fare will be charged for any—
(1)
Senior;
(2)
Individual who, because of illness, injury, age, congenital malfunction, or any
other incapacity or temporary or permanent disability (including an individual
who is a wheelchair user or has semi-ambulatory capability), cannot use a public
transportation service or a public transportation facility effectively without special
facilities, planning, or design; and
(3)
Individual presenting a Medicare card issued to that individual under title II or
XVIII of the Social Security Act (42 U.S.C. §§ 401 et seq., and 1395 et seq.);
In carrying out a procurement under 49 U.S.C. § 5307, will comply with 49 U.S.C.
§§ 5323 (general provisions) and 5325 (contract requirements);
Has complied with 49 U.S.C. § 5307(b) (program of projects requirements);
Has available and will provide the required amounts as provided by 49 U.S.C. § 5307(d)
(cost sharing);
Will comply with 49 U.S.C. §§ 5303 (metropolitan transportation planning) and 5304
(statewide and nonmetropolitan transportation planning);
Has a locally developed process to solicit and consider public comment before raising a
fare or carrying out a major reduction of transportation;
Either—
(1)
Will expend for each fiscal year for public transportation security projects,
including increased lighting in or adjacent to a public transportation system
(including bus stops, subway stations, parking lots, and garages), increased
camera surveillance of an area in or adjacent to that system, providing an
emergency telephone line to contact law enforcement or security personnel in an
area in or adjacent to that system, and any other project intended to increase the
security and safety of an existing or planned public transportation system, at least

Staff Report Page 67

(k)

(l)

1 percent of the amount the recipient receives for each fiscal year under 49 U.S.C.
§ 5336; or
(2)
Has decided that the expenditure for security projects is not necessary;
In the case of an applicant for an urbanized area with a population of not fewer than
200,000 individuals, as determined by the Bureau of the Census, will submit an annual
report listing projects carried out in the preceding fiscal year under 49 U.S.C. § 5307 for
associated transit improvements as defined in 49 U.S.C. § 5302; and
Will comply with 49 U.S.C. § 5329(d) (public transportation agency safety plan).
CATEGORY 9. FORMULA GRANTS FOR RURAL AREAS.

If the applicant will apply for funds made available to it under the Formula Grants for Rural
Areas Program (49 U.S.C. § 5311), it must make this certification. Paragraph (a) of this
certification helps FTA make the determinations required by 49 U.S.C. § 5310(b)(2)(C).
Paragraph (b) of this certification is required by 49 U.S.C. § 5311(f)(2). Paragraph (c) of this
certification, which applies to funds apportioned for the Appalachian Development Public
Transportation Assistance Program, is necessary to enforce the conditions of 49 U.S.C.
§ 5311(c)(2)(D).
(a)

(b)

(c)

The applicant certifies that its State program for public transportation service projects,
including agreements with private providers for public transportation service—
(1)
Provides a fair distribution of amounts in the State, including Indian reservations;
and
(2)
Provides the maximum feasible coordination of public transportation service
assisted under 49 U.S.C. § 5311 with transportation service assisted by other
Federal sources; and
If the applicant will in any fiscal year expend less than 15% of the total amount made
available to it under 49 U.S.C. § 5311 to carry out a program to develop and support
intercity bus transportation, the applicant certifies that it has consulted with affected
intercity bus service providers, and the intercity bus service needs of the State are being
met adequately.
If the applicant will use for a highway project amounts that cannot be used for operating
expenses authorized under 49 U.S.C. § 5311(c)(2) (Appalachian Development Public
Transportation Assistance Program), the applicant certifies that—
(1)
It has approved the use in writing only after providing appropriate notice and an
opportunity for comment and appeal to affected public transportation providers;
and
(2)
It has determined that otherwise eligible local transit needs are being addressed.

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CATEGORY 10. FIXED GUIDEWAY CAPITAL INVESTMENT GRANTS AND THE
EXPEDITED PROJECT DELIVERY FOR CAPITAL INVESTMENT GRANTS
PILOT PROGRAM.
If the applicant will apply for an award under any subsection of the Fixed Guideway Capital
Investment Program (49 U.S.C. § 5309), including an award made pursuant to the FAST Act’s
Expedited Project Delivery for Capital Investment Grants Pilot Program (Pub. L. 114-94, div. A,
title III, § 3005(b)), the applicant must make the following certification. This certification is
required by 49 U.S.C. § 5309(c)(2) and Pub. L. 114-94, div. A, title III, § 3005(b)(3)(B).
The applicant certifies that it:
(a)
(b)
(c)
(d)

Has or will have the legal, financial, and technical capacity to carry out its Award,
including the safety and security aspects of that Award,
Has or will have satisfactory continuing control over the use of equipment and facilities
acquired or improved under its Award.
Will maintain equipment and facilities acquired or improved under its Award in
accordance with its transit asset management plan; and
Will comply with 49 U.S.C. §§ 5303 (metropolitan transportation planning) and 5304
(statewide and nonmetropolitan transportation planning).

CATEGORY 11. GRANTS FOR BUSES AND BUS FACILITIES AND LOW OR NO
EMISSION VEHICLE DEPLOYMENT GRANT PROGRAMS.
If the applicant is in an urbanized area and will apply for an award under subsection (a)
(formula grants) or subsection (b) (competitive grants) of the Grants for Buses and Bus
Facilities Program (49 U.S.C. § 5339), the applicant must make the certification in Category 8
for Urbanized Area Formula Grants (49 U.S.C. § 5307). This certification is required by
49 U.S.C. § 5339(a)(3) and (b)(6), respectively.
If the applicant is in a rural area and will apply for an award under subsection (a) (formula
grants) or subsection (b) (competitive grants) of the Grants for Buses and Bus Facilities
Program (49 U.S.C. § 5339), the applicant must make the certification in Category 9 for
Formula Grants for Rural Areas (49 U.S.C. § 5311). This certification is required by 49 U.S.C.
§ 5339(a)(3) and (b)(6), respectively.
If the applicant, regardless of whether it is in an urbanized or rural area, will apply for an
award under subsection (c) (low or no emission vehicle grants) of the Grants for Buses and Bus
Facilities Program (49 U.S.C. § 5339), the applicant must make the certification in Category 8
for Urbanized Area Formula Grants (49 U.S.C. § 5307). This certification is required by
49 U.S.C. § 5339(c)(3).

Staff Report Page 69

Making this certification will incorporate by reference the applicable certifications in
Category 8 or Category 9.
CATEGORY 12. ENHANCED MOBILITY OF SENIORS AND INDIVIDUALS WITH
DISABILITIES PROGRAMS.
If the applicant will apply for an award under the Formula Grants for the Enhanced Mobility of
Seniors and Individuals with Disabilities Program (49 U.S.C. § 5310), it must make the
certification in Category 8 for Urbanized Area Formula Grants (49 U.S.C. § 5307). This
certification is required by 49 U.S.C. § 5310(e)(1). Making this certification will incorporate by
reference the certification in Category 8, except that FTA has determined that (d), (f), (i), (j), and
(k) of Category 8 do not apply to awards made under 49 U.S.C. § 5310 and will not be enforced.
In addition to the certification in Category 8, the applicant must make the following certification
that is specific to the Formula Grants for the Enhanced Mobility of Seniors and Individuals with
Disabilities Program. This certification is required by 49 U.S.C. § 5310(e)(2).
The applicant certifies that:
(a)
(b)

(c)

(d)

The projects selected by the applicant are included in a locally developed, coordinated
public transit-human services transportation plan;
The plan described in clause (a) was developed and approved through a process that
included participation by seniors, individuals with disabilities, representatives of public,
private, and nonprofit transportation and human services providers, and other members of
the public;
To the maximum extent feasible, the services funded under 49 U.S.C. § 5310 will be
coordinated with transportation services assisted by other Federal departments and
agencies, including any transportation activities carried out by a recipient of a grant from
the Department of Health and Human Services; and
If the applicant will allocate funds received under 49 U.S.C. § 5310 to subrecipients, it
will do so on a fair and equitable basis.
CATEGORY 13. STATE OF GOOD REPAIR GRANTS.

If the applicant will apply for an award under FTA’s State of Good Repair Grants Program
(49 U.S.C. § 5337), it must make the following certification. Because FTA generally does not
review the transit asset management plans of public transportation providers, this certification is
necessary to enforce the provisions of 49 U.S.C. § 5337(a)(4).
The applicant certifies that the projects it will carry out using assistance authorized by the State
of Good Repair Grants Program, 49 U.S.C. § 5337, are aligned with the applicant’s most recent

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transit asset management plan and are identified in the investment and prioritization section of
such plan, consistent with the requirements of 49 CFR Part 625.
CATEGORY 14. INFRASTRUCTURE FINANCE PROGRAMS.
If the applicant will apply for an award for a project that will include assistance under the
Transportation Infrastructure Finance and Innovation Act (“TIFIA”) Program (23 U.S.C.
§§ 601–609) or the State Infrastructure Banks (“SIB”) Program (23 U.S.C. § 610), it must make
the certifications in Category 8 for the Urbanized Area Formula Grants Program, Category 10
for the Fixed Guideway Capital Investment Grants program, and Category 13 for the State of
Good Repair Grants program. These certifications are required by 49 U.S.C. § 5323(o).
Making this certification will incorporate the certifications in Categories 8, 10, and 13 by
reference.
CATEGORY 15. ALCOHOL AND CONTROLLED SUBSTANCES TESTING.
If the applicant will apply for an award under FTA’s Urbanized Area Formula Grants Program
(49 U.S.C. § 5307), Fixed Guideway Capital Investment Program (49 U.S.C. § 5309), Formula
Grants for Rural Areas Program (49 U.S.C. § 5311), or Grants for Buses and Bus Facilities
Program (49 U.S.C. § 5339) programs, the applicant must make the following certification. The
applicant must make this certification on its own behalf and on behalf of its subrecipients and
contractors. This certification is required by 49 CFR § 655.83.
The applicant certifies that it, its subrecipients, and its contractors are compliant with FTA’s
regulation for the Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations,
49 CFR Part 655.
CATEGORY 16. RAIL SAFETY TRAINING AND OVERSIGHT.
If the applicant is a State with at least one rail fixed guideway system, or is a State Safety
Oversight Agency, or operates a rail fixed guideway system, it must make the following
certification. The elements of this certification are required by 49 CFR §§ 659.43, 672.31, and
674.39.
The applicant certifies that the rail fixed guideway public transportation system and the State
Safety Oversight Agency for the State are:
(a)
(b)
(c)

Compliant with the requirements of 49 CFR Part 659, “Rail Fixed Guideway Systems;
State Safety Oversight”;
Compliant with the requirements of 49 CFR Part 672, “Public Transportation Safety
Certification Training Program”; and
Compliant with the requirements of 49 CFR Part 674, “Sate Safety Oversight”.

Staff Report Page 71

CATEGORY 17. DEMAND RESPONSIVE SERVICE.
If the applicant operates demand responsive service and will apply for an award to purchase a
non-rail vehicle that is not accessible within the meaning of 49 CFR Part 37, it must make the
following certification. This certification is required by 49 CFR § 37.77.
The applicant certifies that the service it provides to individuals with disabilities is equivalent to
that provided to other persons. A demand responsive system, when viewed in its entirety, is
deemed to provide equivalent service if the service available to individuals with disabilities,
including individuals who use wheelchairs, is provided in the most integrated setting appropriate
to the needs of the individual and is equivalent to the service provided other individuals with
respect to the following service characteristics:
(a)
(b)
(c)
(d)
(e)
(f)
(g)

Response time;
Fares;
Geographic area of service;
Hours and days of service;
Restrictions or priorities based on trip purpose;
Availability of information and reservation capability; and
Any constraints on capacity or service availability.
CATEGORY 18. INTEREST AND FINANCING COSTS.

If the applicant will pay for interest or other financing costs of a project using assistance
awarded under the Urbanized Area Formula Grants Program (49 U.S.C. § 5307), the Fixed
Guideway Capital Investment Grants Program (49 U.S.C. § 5309), or any program that must
comply with the requirements of 49 U.S.C. § 5307, including the Formula Grants for the
Enhanced Mobility of Seniors Program (49 U.S.C. § 5310), “flex funds” from infrastructure
programs administered by the Federal Highways Administration (see 49 U.S.C. § 5334(i)), or
awards to urbanized areas under the Grants for Buses and Bus Facilities Program (49 U.S.C.
§ 5339), the applicant must make the following certification. This certification is required by
49 U.S.C. §§ 5307(e)(3) and 5309(k)(2)(D).
The applicant certifies that:
(a)

(b)

Its application includes the cost of interest earned and payable on bonds issued by the
applicant only to the extent proceeds of the bonds were or will be expended in carrying
out the project identified in its application; and
The applicant has shown or will show reasonable diligence in seeking the most favorable
financing terms available to the project at the time of borrowing.

Staff Report Page 72

CATEGORY 19. CONSTRUCTION HIRING PREFERENCES.
If the applicant will ask FTA to approve the use of geographic, economic, or any other hiring
preference not otherwise authorized by law on any contract or construction project to be assisted
with an award from FTA, it must make the following certification. This certification is required
by the Consolidated Appropriations Act, 2021, Pub. L. 116-260, div. L, title I, § 199(b).
The applicant certifies the following:
(a)

(b)

(c)

That except with respect to apprentices or trainees, a pool of readily available but
unemployed individuals possessing the knowledge, skill, and ability to perform the work
that the contract requires resides in the jurisdiction;
That the grant recipient will include appropriate provisions in its bid document ensuring
that the contractor does not displace any of its existing employees in order to satisfy such
hiring preference; and
That any increase in the cost of labor, training, or delays resulting from the use of such
hiring preference does not delay or displace any transportation project in the applicable
Statewide Transportation Improvement Program or Transportation Improvement
Program.

CATEGORY 20. CYBERSECURITY CERTIFICATION FOR RAIL ROLLING STOCK
AND OPERATIONS.
If the applicant operates a rail fixed guideway public transportation system, it must make this
certification. This certification is required by 49 U.S.C. § 5323(v), a new subsection added by the
National Defense Authorization Act for Fiscal Year 2020, Pub. L. 116-92, § 7613 (Dec. 20,
2019). For information about standards or practices that may apply to a rail fixed guideway
public transportation system, visit https://www.nist.gov/cyberframework and
https://www.cisa.gov/.
The applicant certifies that it has established a process to develop, maintain, and execute a
written plan for identifying and reducing cybersecurity risks that complies with the requirements
of 49 U.S.C. § 5323(v)(2).
CATEGORY 21. PUBLIC TRANSPORTATION ON INDIAN RESERVATIONS
FORMULA AND DISCRETIONARY PROGRAM (TRIBAL TRANSIT
PROGRAMS).
Before FTA may provide Federal assistance for an Award financed under either the Public
Transportation on Indian Reservations Formula or Discretionary Program authorized under
49 U.S.C. § 5311(c)(1), as amended by the FAST Act, (Tribal Transit Programs), the applicant
must select the Certifications in Category 21, except as FTA determines otherwise in writing.

Staff Report Page 73

Tribal Transit Program applicants may certify to this Category and Category 1 (Certifications
and Assurances Required of Every Applicant) and need not make any other certification, to meet
Tribal Transit Program certification requirements. If an applicant will apply for any program in
addition to the Tribal Transit Program, additional certifications may be required.
FTA has established terms and conditions for Tribal Transit Program grants financed with
Federal assistance appropriated or made available under 49 U.S.C. § 5311(c)(1). The applicant
certifies that:
(a)
(b)
(c)

(d)

(e)

It has or will have the legal, financial, and technical capacity to carry out its Award,
including the safety and security aspects of that Award.
It has or will have satisfactory continuing control over the use of its equipment and
facilities acquired or improved under its Award.
It will maintain its equipment and facilities acquired or improved under its Award, in
accordance with its transit asset management plan and consistent with FTA regulations,
“Transit Asset Management,” 49 CFR Part 625. Its Award will achieve maximum
feasible coordination with transportation service financed by other federal sources.
With respect to its procurement system:
(1)
It will have a procurement system that complies with U.S. DOT regulations,
“Uniform Administrative Requirements, Cost Principles, and Audit Requirements
for Federal Awards,” 2 CFR Part 1201, which incorporates by reference
U.S. OMB regulatory guidance, “Uniform Administrative Requirements, Cost
Principles, and Audit Requirements for Federal Awards,” 2 CFR Part 200, for
Awards made on or after December 26, 2014,
(2)
It will have a procurement system that complies with U.S. DOT regulations,
“Uniform Administrative Requirements for Grants and Cooperative Agreements
to State and Local Governments,” 49 CFR Part 18, specifically former 49 CFR
§ 18.36, for Awards made before December 26, 2014, or
(3)
It will inform FTA promptly if its procurement system does not comply with
either of those U.S. DOT regulations.
It will comply with the Certifications, Assurances, and Agreements in:
(1)
Category 05.1 and 05.2 (Charter Service Agreement and School Bus Agreement),
(2)
Category 06 (Transit Asset Management Plan),
(3)
Category 07.1 and 07.2 (Rolling Stock Buy America Reviews and Bus Testing),
(4)
Category 09 (Formula Grants for Rural Areas),
(5)
Category 15 (Alcohol and Controlled Substances Testing), and
(6)
Category 17 (Demand Responsive Service).

Staff Report Page 74

FEDERAL FISCAL YEAR 2021 CERTIFICATIONS AND ASSURANCES FOR FTA
ASSISTANCE PROGRAMS
(Signature pages alternate to providing Certifications and Assurances in TrAMS.)
Name of Applicant:_____________________________________________________
The Applicant certifies to the applicable provisions of categories 01–21.

Category
01

Certifications and Assurances Required of Every Applicant

02

Public Transportation Agency Safety Plans

03

Tax Liability and Felony Convictions

04

Lobbying

05

Private Sector Protections

06

Transit Asset Management Plan

07

Rolling Stock Buy America Reviews and Bus Testing

08

Urbanized Area Formula Grants Program

09

Formula Grants for Rural Areas

10

Fixed Guideway Capital Investment Grants and the Expedited
Project Delivery for Capital Investment Grants Pilot Program

11

Grants for Buses and Bus Facilities and Low or No Emission
Vehicle Deployment Grant Programs

Certification

Staff Report Page 75

12

Enhanced Mobility of Seniors and Individuals with Disabilities
Programs

13

State of Good Repair Grants

14

Infrastructure Finance Programs

15

Alcohol and Controlled Substances Testing

16

Rail Safety Training and Oversight

17

Demand Responsive Service

18

Interest and Financing Costs

19

Construction Hiring Preferences

20

Cybersecurity Certification for Rail Rolling Stock and
Operations

21

Tribal Transit Programs

FEDERAL FISCAL YEAR 2021 FTA CERTIFICATIONS AND ASSURANCES SIGNATURE
PAGE
(Required of all Applicants for federal assistance to be awarded by FTA in FY 2021)
AFFIRMATION OF APPLICANT
Name of the Applicant:
BY SIGNING BELOW, on behalf of the Applicant, I declare that it has duly authorized me to make these
Certifications and Assurances and bind its compliance. Thus, it agrees to comply with all federal laws, regulations,
and requirements, follow applicable federal guidance, and comply with the Certifications and Assurances as
indicated on the foregoing page applicable to each application its Authorized Representative makes to the Federal
Transit Administration (FTA) in federal fiscal year 2021, irrespective of whether the individual that acted on his or
her Applicant’s behalf continues to represent it.
FTA intends that the Certifications and Assurances the Applicant selects on the other side of this document
should apply to each Award for which it now seeks, or may later seek federal assistance to be awarded during
federal fiscal year 2021.
The Applicant affirms the truthfulness and accuracy of the Certifications and Assurances it has selected in the
statements submitted with this document and any other submission made to FTA, and acknowledges that the
Program Fraud Civil Remedies Act of 1986, 31 U.S.C. § 3801 et seq., and implementing U.S. DOT regulations,
“Program Fraud Civil Remedies,” 49 CFR part 31, apply to any certification, assurance or submission made to

Staff Report Page 76

FTA. The criminal provisions of 18 U.S.C. § 1001 apply to any certification, assurance, or submission made in
connection with a federal public transportation program authorized by 49 U.S.C. chapter 53 or any other statute
In signing this document, I declare under penalties of perjury that the foregoing Certifications and Assurances, and
any other statements made by me on behalf of the Applicant are true and accurate.
Signature
Name

Date:
Authorized Representative of Applicant
AFFIRMATION OF APPLICANT’S ATTORNEY

For (Name of Applicant):
As the undersigned Attorney for the above-named Applicant, I hereby affirm to the Applicant that it has authority
under state, local, or tribal government law, as applicable, to make and comply with the Certifications and
Assurances as indicated on the foregoing pages. I further affirm that, in my opinion, the Certifications and
Assurances have been legally made and constitute legal and binding obligations on it.
I further affirm that, to the best of my knowledge, there is no legislation or litigation pending or imminent that
might adversely affect the validity of these Certifications and Assurances, or of the performance of its FTA
assisted Award.
Signature
Name

Date:
Attorney for Applicant

Each Applicant for federal assistance to be awarded by FTA must provide an Affirmation of Applicant’s Attorney
pertaining to the Applicant’s legal capacity. The Applicant may enter its electronic signature in lieu of the
Attorney’s signature within TrAMS, provided the Applicant has on file and uploaded to TrAMS this hard-copy
Affirmation, signed by the attorney and dated this federal fiscal year.

Staff Report Page 77

HIGH VALLEY TRANSIT DISTRICT

Administrative Policies and Procedures
Adopted March ___, 2021

Prepared By
The Administrative Staff of High Valley
Transit District

Staff Report Page 78

High Valley Transit District
ADMINISTRATIVE POLICIES AND PROCEDURES
TABLE OF CONTENTS
SECTION 1.0 Definitions & Acronyms…………………………………………………………………………..

2

SECTION 2.0 Powers of the District……………………………………………………………………………… 5
SECTION 3.0 Guiding Fiscal Policies……………………………………………………………………………… 10
SECTION 4.0 Budgeting Guidelines………………………………………………………………………………. 14
SECTION 5.0 Accounting & Internal Controls……………………………………………………………….. 16
SECTION 6.0 Investments…………………………………………………………………………………………….. 20
SECTION 7.0 Credit Card Policy…………………………………………………………………………………….. 21
SECTION 8.0 Vehicle Policy…………………………………………………………………………………………… 23
SECTION 9.0 Meetings………………………………………………………………………………………………….. 28
SECTION 10.0 Risk Management…………………………………………………………………………………….. 33
SECTION 11.0 Conduct & Ethics………………………………………………………………………………………. 36
SECTION 12.0 Public Records Policy………………………………………………………………………………… 39
SECTION 13.0 Technology Policy…………………………………………………………………………………….. 40
SECTION 14.0 Procurement Policy………………………………………………………………………………….. 43
SECTION 15.0 Personnel Policy……………………………………………………………………………………….. 106
SECTION 16.0 Annexations……………………………………………………………………………………………… 193
SECTION 17.0 State & Federal Grants……………………………………………………………………………… 194

Staff Report Page 79

HIGH VALLEY TRANSIT DISTRICT
Administrative Policies

SECTION 1.0 DEFINITIONS & ACRONYMS
1.1

BOARD: The High Valley Transit District Board of Trustees, which are organized, governed and appointed
consistent with Summit County Code Title 2, Chapter 7.

1.2

BOARD ACTION: An official vote or action of the voting members of the Board where a quorum is present.

1.3

BOND: A written obligation to repay borrowed money, whether denominated a bond, note, warrant,
certificate of indebtedness, or otherwise; and a lease agreement, installment purchase agreement, or
other agreement that:
a.
b.

includes an obligation by the district to pay money; and
the District's Board, in its discretion, treats as a bond for purposes of Utah Code Title 11, Chapter
14, Local Government Bonding Act, or Utah Code Title 11, Chapter 27, Utah Refunding Bond Act

1.4

CASH OPERATING EXPENSES: The budgeted total operating expenses less depreciation.

1.5

COMPTROLLER: The member of senior management as set forth in Summit County Ordinance No. 917.

1.6

COUNTY: Summit County, Utah.

1.7

COUNTY COUNCIL: The legislative body of Summit County.

1.8

DEPARTMENT DIRECTOR: The senior management positions reporting directly to the General Manager,
including:
a.
b.
c.

General Counsel
Treasurer
Comptroller

1.9

DISTRICT: The High Valley Transit District.

1.10

DISTRICT MANAGEMENT: The General Manager and Department Directors.

1.11

FACILITY OR FACILITIES: Any structure, building, system, land, water right, water, or other real or
personal property required to provide a service that the District is authorized to provide, including any
related or appurtenant easement or right-of-way, improvement, utility, landscaping, sidewalk, road, curb,
gutter, equipment, or furnishing.

1.12

GENERAL MANAGER: The chief executive officer of the District who is appointed by the Board.

1.13

GENERAL COUNSEL: The member of senior management as set forth in Summit County Ordinance No.
917.

1.14

OFFICERS: The chair, vice-chair and secretary of the District.

Staff Report Page 80

1.15

PUBLIC TRANSIT: Regular, continuing, shared-ride, surface transportation services that are open to the
general public or open to a segment of the general public defined by age, disability, or low income.
a.

"Public transit" does not include transportation services provided by:
(i)
(ii)
(iii)
(iv)
(v)
(vi)

chartered bus;
sightseeing bus;
taxi;
school bus service;
courtesy shuttle service for patrons of one or more specific establishments; or
intra-terminal or intra-facility shuttle services.

1.16

SERVICE MILES: Revenue service (miles, hours and trips) or the time when a vehicle is available to the
general public and there is an expectation of carrying passengers. These passengers either: (a) directly pay
fares; (b) are subsidized by public policy; or (c) provide payment through some contractual arrangement.
Vehicles operated in fare free service are considered in revenue service. Revenue service includes
layover/recovery time but excludes deadhead, vehicle maintenance and testing, school bus service and
charter service.

1.17

TRANSIT FACILITY: A transit vehicle, transit station, depot, passenger loading or unloading zone, parking
lot, or other facility:
a.
b.

leased by or operated by or on behalf of the District; and
related to the public transit services provided by the District, including:
(i)
(ii)
(iii)

railway or other right-of-way;
railway line; and
a reasonable area immediately adjacent to a designated stop on a route traveled by a
transit vehicle.

1.18

TRANSIT VEHICLE: A passenger bus, coach, railcar, van, or other vehicle operated as public transportation
by the District.

1.19

TREASURER: The member of senior management as set forth in Summit County Ordinance No. 917.

1.20

UNIT: A unit of regularly scheduled passenger routes, as measured in Service Miles, proposed to be
served by the District in each municipality or unincorporated area within any county in the following
calendar year.

1.21

ACRONYMS:
ADA
AOG
CAP
CDL
CFR
DBE
EEO
FAST ACT
FFATA

Americans with Disabilities Act
Association of Governments
Cost Allocation Plan
Commercial Driver’s License
Code of Federal Regulations
Disadvantaged Business Enterprise
Equal Employment Opportunity
Fixing America’s Surface Transportation Act
Federal Funding Accountability and Transparency FFY Federal Fiscal Year

Staff Report Page 81

FHWA
FMCSA

Federal Highway Administration
Federal Motor Carrier Safety Administration

FMCSR

Federal Motor Carrier Safety Regulations

FMVSS
FTA
FY
GIS
GPS
ITS
JARC
LEP
LOI
MAP-21

Federal Motor Vehicle Safety Standards
Federal Transit Administration
Fiscal Year
Geographic Information System
Global Positioning System
Intelligent Transportation System
Job Access Reverse Commute
Limited English Proficiency
Letter of Intent
Moving Ahead for Progress in the 21st Century

MAG

Mountainlands Association of Governments

MPO
NTD
OMB
PCA
POP
PTT
RFP
RPO
RTAP
SAFETEA-LU
SMP

Metropolitan Planning Organization
National Transit Database
Office of Management and Budget
Personal Care Assistant
Program of Projects
Public Transit Team (UDOT)
Request for Proposals
Rural Planning Organization
Rural Transit Assistance Program
Safe, Accountable, Flexible, Efficient Transportation Equity Act – A Legacy for Users
State Management Plan

SMR
STIP

State Management Review
Statewide Transportation Improvement Program

TIP
TrAMS
TASP
UDOT
ULB
USC
USDOT

Transportation Improvement Plan
Transit Award Management System
Transit Agency Safety Plan
Utah Department of Transportation
Useful Life Benchmark
United States Code
U.S. Department of Transportation

UTA

Utah Transit Authority

Staff Report Page 82

SECTION 2.0 POWERS OF THE DISTRICT
2.1

The District is a body corporate and politic with perpetual succession; a quasi-municipal corporation; and
a political subdivision of the state, created in 2004 and organized pursuant to Summit County Code Title 2,
Chapter 7, as amended by Summit County Ordinance No. 917.

2.2

The District may sue and be sued.

2.3

Generally, the District may by Board Action:
2.3.1

Acquire, by any lawful means, or lease any real property, personal property, or a groundwater
right necessary or convenient to the full exercise of the District's powers.

2.3.2

Acquire, by any lawful means, any interest in real property, personal property, or a groundwater
right necessary or convenient to the full exercise of the District's powers.

2.3.3

Transfer an interest in or dispose of any property or interest consistent with state law.

2.3.4

Acquire or construct works, facilities, and improvements necessary or convenient to the full
exercise of the District's powers, and operate, control, maintain, and use those works, facilities,
and improvements.

2.3.5

Borrow money and incur indebtedness for any lawful District purpose.

2.3.6

Issue bonds, including refunding bonds:

2.3.7

a.

for any lawful District purpose; and

b.

as provided in and subject to Utah law.

Levy and collect property taxes:
a.

for any lawful District purpose or expenditure, including to cover a deficit resulting from
tax delinquencies in a preceding year; and

b.

as provided in and subject to Utah law.

2.3.8

As provided in Utah Code, Title 78B, Chapter 6, Part 5, Eminent Domain, acquire by eminent
domain property necessary to the exercise of the District's powers.

2.3.9

Invest money as provided in Utah Code, Title 51, Chapter 7, State Money Management Act.

2.3.10

If applicable, charge and collect a fee to pay for the cost of connecting a customer's property to
District facilities in order for the District to provide service to the property.

2.3.11

Enter into a contract that the Board considers necessary, convenient, or desirable to carry out
the District's purposes, including a contract:
a.

with the United States or any department or agency of the United States;

b.

to indemnify and save harmless; or

Staff Report Page 83

c.

to do any act to exercise District powers.

2.3.12

Purchase supplies, equipment, and materials.

2.3.13

Encumber district property upon terms and conditions that the Board considers appropriate.

2.3.14

Exercise other powers and perform other functions that are provided by law.

2.3.15

Construct and maintain works and establish and maintain facilities, including works or facilities:
a.

across or along any public street or highway if the District:
i)

promptly restores the street or highway, as much as practicable, to its former
state of usefulness; and

(ii)

does not use the street or highway in a manner that completely or
unnecessarily impairs the usefulness of it;

b.

in, upon, or over any vacant public lands that are or become the property of the state,
including school and institutional trust lands, as defined in Utah Code §53C-1-103, if the
director of the School and Institutional Trust Lands Administration consents; or

c.

across any stream of water or watercourse, subject to Utah Code §73-3-29.

2.3.16

Perform any act or exercise any power reasonably necessary for the efficient operation of the
District in carrying out its purposes.

2.3.17

Upon the terms and for the consideration, whether monetary or nonmonetary consideration or
no consideration, that the Board considers to be in the best interests of the District and the
public, agree:

2.3.18

a.

with another political subdivision of the state; or

b.

with a public or private owner of property on which the District has a right-of-way or
adjacent to which the District owns fee title to property; and

c.

to allow the use of property:
(i)

owned by the District; or

(ii)

on which the District has a right-of-way.

If the District receives, as determined by the Board, adequate monetary or nonmonetary
consideration in return it may:
a.

provide services or nonmonetary assistance to a nonprofit entity;

b.

waive fees required to be paid by a nonprofit entity; or

c.

provide monetary assistance to a nonprofit entity, whether from the District's own
funds or from funds the District receives from the state or any other source.

Staff Report Page 84

2.3.19

Impose fees or other charges for commodities, services, or facilities provided by the District, to
pay some or all of the District's costs of providing the commodities, services, and facilities,
including the costs of:
a.

maintaining and operating the District;

b.

acquiring, purchasing, constructing, improving, or enlarging District facilities;

c.

issuing bonds and paying debt service on District bonds; and

d.

providing a reserve established by the Board.

2.3.20

Take any other action the Board considers appropriate and adopt regulations to assure the
collection of all fees and charges that the District imposes.

2.3.21

Acquire, lease, or construct and operate electrical generation, transmission, and distribution
facilities, if:
a.

the purpose of the facilities is to harness energy that results inherently from the
district's operation of a project or facilities that the District is authorized to operate or
from the District providing a service that the district is authorized to provide;

b.

the generation of electricity from the facilities is incidental to the primary operations of
the District; and

c.

operation of the facilities will not hinder or interfere with the primary operations of the
District.

2.3.22

Use electricity generated by the facilities; or (subject to Utah law) sell electricity generated by the
facilities to an electric utility or municipality with an existing system for distributing electricity.

2.3.23

Make and pass ordinances, resolutions, and orders that are:

2.3.24

a.

not repugnant to the United States Constitution, the Utah Constitution, or the
provisions of this part; and

b.

necessary for:
(i)

the government and management of the affairs of the District;

(ii)

the execution of District powers; and

(iii)

carrying into effect the provisions of Utah laws.

Provide by resolution, under terms and conditions the Board considers fit, for the payment of
demands against the District without prior specific approval by the Board, if the payment is:
a.

for a purpose for which the expenditure has been previously approved by the Board;

b.

in an amount no greater than the amount authorized; and

c.

approved by the General Manager or other officer or deputy as the Board prescribes.

Staff Report Page 85

2.4

2.3.25

Hold public hearings and subpoena witnesses; and appoint district officers to conduct a hearing
and require the Officers to make findings and conclusions and report them to the Board.

2.3.26

Appoint a custodian for the funds and securities under its control; and if a custodian is
appointed, pay the fees for the custodian's services from the interest earnings of the investment
fund for which the custodian is appointed.

2.3.27

Administer oaths and affirmations in a District investigation or proceeding.

The District shall by Board Action:
2.4.1

Appoint and fix the salary of the General Manager.

2.4.2

Determine facilities the District should acquire or construct.

2.4.3

Supervise and regulate each transit facility that the District owns and operates including:

2.4.4

a.

fixing rates, fares, rentals, and charges and any classifications of rates, fares, rentals and
charges; and

b.

making and enforcing rules, regulations, contracts, practices, and schedules for or in
connection with a transit facility that the District owns or controls.

Control the investment of all funds assigned to the District for investment, including funds:
a.

held as part of a District's retirement system; and

b.

invested in accordance with the participating employees' designation or direction pursuant
to an employee deferred compensation plan established and operated in compliance with
Section 457 of the Internal Revenue Code.

2.4.5

Invest all funds according to the procedures and requirements of Utah Code Title 51, Chapter 7,
State Money Management Act.

2.4.6

Manage financial accounting by:
a.

causing an annual audit of all District books and accounts to be made by an independent
certified public accountant;

b.

as soon as practicable after the close of each fiscal year, submitting to the chief
administrative officer and legislative body of each county and municipality with territory
within the District a financial report showing:
(i) the result of District operations during the preceding fiscal year; and
(ii) the District's financial status on the final day of the fiscal year; and

c.
2.4.7

supplying copies of the report to the general public upon request in a quantity that the
Board considers appropriate.

Report at least annually to the Transportation Commission the District's short-term and longrange public transit plans, including the transit portions of applicable regional transportation
plans adopted by a metropolitan planning organization established under 23 U.S.C. §134.

Staff Report Page 86

2.5

2.6

2.4.8

Direct the internal auditor appointed under Utah Code §17B-2a-810 to conduct audits that the
Board determines to be the most critical to the success of the organization.

2.4.9

Hear audit reports for audits conducted.

The General Manager shall:
2.5.1

To govern the day-to-day operations of the District.

2.5.2

To act as the chief financial officer including:
a.

Preparation of an annual budget to be presented to the Board for approval with
anticipated revenues and proposed expenditures;

b.

Managing the day-to-day expenditures, finances, and budget reconciliation of the
District; and

c.

Managing all purchases in conformance with Utah purchasing and procurement laws.

2.5.3

To provide recommendations to the Board as to the manner and method of administering and
providing transit services, including the employment of appropriate personnel, contracts for
services, the purchase or lease of land, the purchase lease or construction of improvements,
facilities, systems, equipment and supplies.

2.5.4

To provide recommendations to the Board as to the operation of the District, including the
collection of revenues, disbursement of funds for expenses, custody and management of funds,
and such other usual and necessary legal authority required for the District.

2.5.5

To receive input and recommendations from the Board as to the day-to-day operations of the
District and any such other recommendations as the Board may see fit.

2.5.6

To ensure that the District and its Board of Trustees are insured against liability and errors and
omissions.

2.5.7

At a minimum, the Manager and Board chair, shall report annually or as otherwise requested by
the Council, to the Summit County Council on the long- and short-term goals, budget, and
activities as well as general business and operation of the District.

2.5.8

To ensure that the District complies with all other laws of the state of Utah regulating local
districts and otherwise as may be applicable.

Publication of Board Action.
Following the Board’s adoption of an ordinance, resolution or action, the Board may provide for
publication in a newspaper of general circulation within the jurisdictional boundaries of the District and in
accordance with Utah Code §17B-1-313, a notice of action. For a period of thirty (30) calendar days after
the date of publication of the notice of action, any person in interest may contest the regularity, formality,
or legality of the ordinance, resolution or action by filing a complaint in district court. After the expiration
of the thirty-day contest period, no one may contest the regularity, formality, or legality of the ordinance,
resolution or action for any cause.

Staff Report Page 87

SECTION 3.0 GUIDING FISCAL POLICIES
3.1

OVERVIEW AND PURPOSE
These guiding principles shall govern financial planning, budgeting, and all other financial activities for the
District. The District is subject to the Fiscal Procedures for Local Districts Act, Utah Code §§17B, Chapter
1, Parts 6 and 7. The purpose of this section is to provide for a uniform accounting, budgeting and
financial reporting procedure in compliance with Utah law in order to enable the District to make financial
plans for both current and capital expenditures, to ensure that staff administers their respective functions
in accordance with adopted budges, and to provide the public with information about the financial
policies and administration of the District.

3.2

BUDGETING PRINCIPLES
The District shall apply sound budgeting principles as outlined in these policies under:
A.

3.3

Section 4 - Budgeting Guidelines

FINANCIAL CONTROLS
The District shall apply sound financial controls to protect its assets and to ensure District funds are
expended in a responsible manner to the benefit of the District. The related policies are outlined in this
manual and include:
A.
B.
C.
D.
E.
F.

3.4

Section 5 - Cash Receipts & Accounts Receivable
Section 6 – Investments
Section7 – Credit Card Policy
Section 8 – Vehicle Use Policy
Section 10 – Risk Management
Section 13 – Technology Policy

FINANCIAL RESERVES
The District shall maintain sufficient financial reserves to comply with bond covenants; to preserve its
financial stability; and to ensure stable, fair, and adequate rates and fees.
A.

The District shall set a target to maintain at least 120 days of its anticipated cash needs for
operating expenses in its operating cash and reserve accounts. This is in addition to the other
reserve funds outlined below.
In the event the balance in these operating cash and reserve accounts exceed one year of
anticipated needs for cash operating expenses at the end of any calendar year, the Board shall
evaluate the benefits of using a portion of these reserves for capital facility repair and
replacement, equipment, the prepayment of debt, and/or the need for rate adjustments.

B.

By February 15 of each year, the District shall deposit 5.0% of that year’s cash operating expense
budget, excluding debt service payments, into the Capital Facilities Repair and Replacement Fund
account.
The reserves in this account may only be used to pay for the replacement of obsolete equipment
or facilities whose useful life has expired and other capital improvements necessary to keep the
Transit Facilities in good operational condition.

Staff Report Page 88

Expenditures from this fund must be authorized by the Board through the budget process.

3.5

3.6

C.

The District shall maintain all Debt Service Reserve and Bond Fund accounts required for each
bond issue pursuant to the General Indenture and the indenture specific to each bond issue.
Funds from these accounts shall not be drawn upon until all other available District cash and
reserves have been exhausted.

D.

District Management with the approval of the Board may establish additional reserve funds as it
deems necessary.

ACCOUNTING
A.

The District shall operate as a governmental enterprise fund, accounting for all financial
transactions using an economic resources measurement on a full accrual basis.

B.

The District shall comply with Generally Accepted Accounting Principles (GAAP), Governmental
Accounting Standards Board (GASB) pronouncements, and Utah statutory requirements for
governmental enterprise funds, including the Fiscal Procedures for Local Districts, UCA Title 17B,
Chapter 1, Part 6.

C.

All non-exempt District employees shall prepare a time sheet on a biweekly basis that shall be
approved by each employee’s direct supervisor. Exempt employees, except the General
Manager, shall report use of vacation and sick leave on a biweekly basis that shall be approved
by the General Manager.

D.

The following budget funds are authorized:
1.

General Fund

2.

Debt Service Fund

3.

Capital Projects Fund

4.

Capital Facilities Repair and Replacement Fund

FINANCIAL REPORTING
A.

The Comptroller shall prepare monthly summary financial reports for District Management,
showing the financial position and operations of the District for that month and for year-to-date.
This report shall be provided to the Board monthly.

B.

District Management shall meet as needed to review detail budget-to-actual reports, and more
often near year-end as deemed necessary.

C.

Within 180 days after the close of each fiscal year, the Comptroller shall present to the Board an
annual audited financial report prepared in conformity with generally accepted accounting
principles. This requirement shall be satisfied by presentation of the audit report furnished by
the independent auditor.

Staff Report Page 89

3.7

INDEPENDENT AUDITOR/AUDIT COMMITTEE
A.

3.8

3.9

3.10

An audit committee, which shall consist of two members of the Board who are appointed by the
Chair to terms of two years, shall meet, at a minimum, quarterly.
1.

Meetings of the audit committee are not subject to the Utah Open and Public Meetings
Act.

2.

The audit committee shall be empowered to employ independent auditor(s) to conduct
performance and financial audits of the District.

3.

The audit committee shall cause an independent financial audit of the District to be
conducted annually. The annual financial audit report, inclusive of its findings, shall be
presented to the Board. Within thirty (30) days after it is presented to the Board, the
Board shall send a copy of the annual financial audit report to each member jurisdiction.
Any member jurisdiction may request a meeting with the Board to discuss the annual
financial audit report.

B.

The independent auditor(s) have the responsibility of reporting whether the District's financial
statements are prepared in conformity with GAAP and GASB.

C.

Copies of the annual financial report or the audit report furnished by the independent auditor
shall be filed with the State Auditor, bond holders, rating agencies, bond trustees, bond insurers,
the appropriate state offices as required by state loans, the District’s bank, and shall be filed as a
public document in the office of the District.

D.

The District shall select its auditor pursuant to its Procurement Policy. The District shall not retain
the same auditor for more than six (6) consecutive years, unless approved by the Board.

LONG-TERM FINANCIAL PLANNING
A.

The District shall develop a five-year financial plan that is updated annually. This plan shall guide
the financial planning and budget processes.

B.

The District shall develop and recommend to the Board a capital facilities plan, and update it no
less often than once every five years. The plan shall be updated to include the most current cost
estimates and demand for services.

BOND COMPLIANCE
A.

The District shall comply with all bond and related indenture requirements and covenants.

B.

The District shall comply with all arbitrage tracking, record retention, and rebate calculations
pursuant to Internal Revenue Service (IRS) requirements.

PAYMENT AND BANK TRANSFER APPROVALS
A.

The Comptroller shall prepare a voucher for each payment that shall be approved by the
Treasurer before any check is distributed, except in emergencies. All checks must be signed by
both the Comptroller and General Manager.

B.

All electronic payments and transfers shall be electronically pre-approved by both the
Comptroller and General Manager, except that payroll transfers may be processed prior to

Staff Report Page 90

approval where those authorized to approve these payment they are not available. In those
cases, the approval shall be obtained as soon as is reasonable.
C.

A summary timesheet shall be approved by both the Comptroller and General Manager prior to
processing payroll. A payroll summary report shall be provided to the Comptroller and General
Manager for review and post-approval.

D.

If either or both the Comptroller and General Manager are not available to approve payments,
transfers or payroll in a timely manner, the Treasurer and Chair of the Board may approve
payments on their behalf.

E.

The District shall provide a monthly check register to the Board at the first Board meeting held
after that month’s checks are issued.

Staff Report Page 91

SECTION 4.0 BUDGETING GUIDELINES
4.1

BUDGET OFFICER
The General Manager shall be designated as the Budget Officer of the District.

4.2

4.3

4.4

BUDGET GUIDELINES
A.

All annual budgets and capital plans shall comply with all District fiscal policies.

B.

No budget shall be approved that results in a negative net position for the District.

C.

No budget shall be approved that causes cash flow difficulties for the District that impairs its
ability to pay all debt service payments, operating expenses and budgeted capital equipment and
projects; and to meet all its reserve requirements.

D.

All budgets shall go through the following internal process:
1.

Department Directors shall submit requests to the Budget Officer.

2.

The Budget Officer shall compile budget requests.

3.

The Budget Officer shall review budget requests.

4.

The Budget Officer shall finalize budget requests for presentation to the Board.

BUDGET ADOPTION
A.

At the first regularly scheduled Board meeting in September, the Comptroller shall provide for
the ensuing fiscal year an outline of key budget issues and revenue projections, and discuss
salary and benefit adjustments. At the first regularly scheduled Board meeting in October, the
General Manager shall provide the recommended tentative operating, capital, and debt service
budgets. The Board may schedule additional meetings in October as deemed appropriate to
discuss the budget. The Board shall adopt a tentative budget no later than at its first regularly
scheduled meeting in November.

B.

The Board will hold a public hearing at least 30 days after the tentative budget is adopted, and
prior to the beginning of the ensuing fiscal year. The Board may make any changes considered
advisable in the tentative budget, pursuant to statute; except that debt service budgets may not
be amended.

C.

The Board shall adopt the operating, capital, and debt service budgets for the ensuing fiscal year
following the public hearing, and prior to the beginning of the ensuing fiscal year.

D.

The budget shall be adopted by the Board at the budget line item level – which is typically a
department or specific group of similar departments, capital projects or capital equipment.

BUDGET AMENDMENTS
A.

The budget may be reopened by the Board at the request of the General Manager at any time
during the fiscal year by properly noticing the meeting in accordance with state law. Board
approval is required for any budget amendments that change a budget line item. The Board may,

Staff Report Page 92

in any regular meeting or special meeting called for that purpose, review the operating, capital,
and debt service budget for the purpose of determining if the total should be amended. State
law prohibits the amendment of debt service budgets below debt service requirements.
B.

When a detail budget account is exceeded within a budget line item, the overrun may be covered
by a transfer from another budget account within the same budget line item with the approval of
the Budget Officer.

C.

Funds designated for a particular department's use within a budget line item may only be utilized
by a different department as approved by the General Manager.

D.

The budget may contain a District contingency to pay for any unanticipated expenses or to cover
budget line item overruns. The use of an existing budgeted contingency may be used upon
approval of the Board.

Staff Report Page 93

SECTION 5.0 ACCOUNTING & INTERNAL CONTROLS
5.1

SUMMARY
The purpose is to establish a policy of financial controls over the District in order to provide adequate
safeguards over cash.

5.2

RECORD KEEPING REQUIREMENTS. The District shall maintain financial records in conformance with the
Utah State Auditor’s Office “Uniform Accounting Manual for Special Districts” and Utah Code §17B-1-603,
Uniform Accounting System.
A. Purchases. All Purchases are to be made according to the Purchasing Policies and Procedures
adopted by the Board.
B.

Pre-numbered Checks. Expenditures shall not be made using cash. Pre-numbered checks shall be
used and all checks, including those voided, will be accounted for.

C.

Check Signatures. Dual signature by authorized individuals is required for all District checks.
Authorized individuals include the Board Chair, Treasurer, Comptroller, General Manager, and
Board’s designee (Utah Code §17B-1-635). Disbursements in excess of $5,000 require that one of the
two signatures be that of either the Board Chair.

D. State Purchasing Cards. All receipts for purchases made with a state purchasing card shall be turned
in to the Comptroller to document the transaction. Cardholders are responsible for the proper coding
of purchases to fund and account number by department. Personal purchases are expressly
prohibited.
E.

Authorization of Payables. Individual invoices are to be signed by the Comptroller and General
Manager.

F.

Board review of expenditures. A list of all expenditures paid shall be prepared and submitted for
approval by Board motion at each regularly scheduled business meeting. Individual invoices shall be
made available for Board inspection at the request of any Board member.

G. Cash Receipts.
1.

The Comptroller shall ensure the separation of responsibilities between authorized staff
receiving payments and cash receipting.

2.

All receipts shall be deposited in a District bank account approved by the Comptroller and
General Manager; except that bond trustee accounts must also be approved by the Board.

3.

The District strives to deposit all receipts and update the Cash Receipts and General Ledger
systems daily. In no instance shall such deposit occur later than three business days after
collection.

4.

The Comptroller or designee shall review receipts, deposits and billing adjustments on a weekly
basis.

5.

Un-deposited payments shall be kept in a safe with access limited to authorized employees.

Staff Report Page 94

6.

Electronic receipts initiated by a bank shall be updated to the Cash Receipts and General Ledger
systems by the same authorized staff member doing so for cash receipts that day.

H. Bank Statements. Bank statements shall be reconciled monthly and balanced to records of cash
receipts and disbursements by the Comptroller. Each month the Treasurer shall review all bank
account reconciliations.
I.

Receivables. Records shall be maintained of all receivables.

J.

Collections/Deposits. Board members are expected to have a good working understanding of District
revenues. The Comptroller or his/her designee will ensure that all money due the District has been
collected and deposited on a timely basis by staff. Deposits shall be made within a day of receipt
when possible or within three business days of their receipt if revenues are collected over a weekend
(Utah Code §17B-1-633).

K.

Assets. Records shall be maintained of all assets owned by the District and managed with “Asset
Keeper” or comparable software according to the provisions of GASB rules.

L.

Debt Service. Records shall be kept of all bonds or other debts owed by the District (Utah Code §17B1-632). The General Manager will ensure that principal and interest payments on bonds are made in a
timely manner and understand that a delinquency in payment will constitute a “material event”
which will be recorded with “Nationally Recognized Municipal Securities Information Repositories.”
Delinquent payments may adversely affect the transferability and liquidity of the Bonds and their
market price, and future District bond ratings.

M. Interfund Loans. Subject to restrictions imposed by bond covenants, statute, or other controlling
regulations, Utah Code provides for loans by one fund to another (Utah Code §17B-1-626). Interfund
loans must be authorized by the Board, who shall prescribe interest rates, repayment terms, and any
other conditions.
N. Financial Records. The District will maintain a financial records management program for the District
in accordance with the Records Retention section of the Uniform Accounting Manual for Local
Districts.
Annual Financial
Reports
Budgets
Bank Statements
General Ledger
Timesheets
A/R & A/P
Deposit Slips
Check Register
Receipt Books
Fixed Asset Lists

Public

Permanent

Public
Public
Public
Public
Public
Public
Public
Public
Public

Permanent
4 Years
10 Years
3 Years
4 Years
4 Years
7 Years
3 Years
10 Years

Staff Report Page 95

5.3

PHYSICAL CONTROLS
A. Protected Access to Automated Systems. It is the policy of the District that those employees
responsible for the processing of payments, transfers, payroll or other accounting functions have
password protected access to the applicable automated functions necessary for the task assigned.
B. Computer Backup and Recovery. It is the policy of the District that measures are taken to provide for
daily backup of the computer network and that procedures are in place and periodically reviewed to
prevent the loss or unauthorized use of resources.
C.

Physical Restrictions. Physical restrictions shall be used as a protective measure for safeguarding
District assets and data. It is the policy of the District to implement and adapt physical controls based
on continual risk assessment. Door locks, fences, cash registers, locked files, fireproof files, and
controlled access to keys, equipment and materials and supplies are recommended strategies.

D. Surveillance. Surveillance cameras placed appropriately shall be used as a protective measure for
monitoring cash handling and employee conduct, and as a means to deter and/or document
vandalism of District facilities.
E.

5.4

Independent Checks. It is the policy of the District to provide independent checks on personnel
performance. These checks are to be carried out by managers or employees who are not assigned to
the task, or did not do the work, to ensure the reliability and efficiency of operations. Independent
checks are intended to:
1.

Promote orderly, economical, efficient and effective operations and to produce quality products
and services consistent with the District’s mission;

2.

To safeguard resources against loss due to waste, abuse, mismanagement, errors and fraud; and

3.

To ensure adherence to laws, regulations, contracts and management directives.

REPORTING
A. Quarterly Financial Report. In accordance with Utah Code, a quarterly financial report shall be
prepared and presented to the Board showing the financial position and operations of the District for
that quarter and the year to date status (Utah Code §17B-1-638).
B. Deposit and Investment Report. In accordance with Utah Code, the Comptroller or his/her designee
shall file a semi-annual financial report with the State Money Management Council (Utah Code §51-715).
C.

Budget Certification. The Comptroller shall certify a copy of the final budget for each fund and the
General Manager shall file such certified budget to the State Auditor within 30 days after adoption
(Utah Code §17B-1-614).

D. Independent Audit. Utah Code requires an annual independent external audit of the District to be
performed (Utah Code §§17B-1-639; 17B-1-640). The independent audit shall be submitted to the
State Auditor’s Office within 180 days after the close of each fiscal year (Utah Code §51-2a-202).
Copies of the audit report shall be filed as a public document in the District office.
E.

Continuing Disclosure. In accordance with the provisions of paragraph (b) (5) (i.) (A) of Rule 15c2-12
promulgated by the Securities and Exchange Commission under the Securities Exchange Act of 1934,
as amended (the “Rule’), the District will file or cause to have filed Financial Statements and

Staff Report Page 96

Continuing Disclosure Memorandum by July 15th of each year. If the filing is delinquent, a “material
event” will have occurred.

Staff Report Page 97

SECTION 6.0 INVESTMENTS
6.1

INTRODUCTION
The District shall invest its cash assets in such a manner as to comply with the requirements of the State
Money Management Act (the “Act).

6.2

SCOPE
District funds are typically invested with the Utah Public Treasurers Investment Fund (PTIF), although
other investment options may be selected as allowed by the Act, as approved by the Board.

6.3

OBJECTIVES
The objectives of this investment policy include the following:

6.4

A.

To provide for the safety of principal, preservation of capital and the mitigation of risk.

B.

To provide for the liquidity necessary to match the District’s cash requirements.

C.

To increase interest income through higher yielding investments.

POLICY
The following shall be the investment policies of the District:
A.

All investment activities shall be conducted with the same degree of judgment and care which an
ordinary reasonable person exercises in the management of their own affairs.

B.

Professionals retained by the District as defined in the Act, so long as they are acting in
accordance with the Act and this investment policy and exercise due diligence, shall be relieved
of personal responsibility for credit or market price changes, provided that deviations are
reported to the Board in a timely fashion and appropriate action, if necessary, is taken to control
adverse developments.

C.

District professionals involved in investments shall refrain from personal business activity in
conflict with proper execution of this investment policy.

D.

The Comptroller shall manage investment activities authorized by the Act in consultation with
the General Manager and approval by the Board. The Comptroller shall maintain a system of
internal controls so that District funds are protected at all times from loss, theft and fraud.

E.

The Comptroller shall name a financial institution with a Utah office that shall be the custodian
for all investments made by the District, except for the PTIF investments which shall be held by
financial institutions designated by the State Treasurer. In addition, the District shall purchase
investments only from those certified dealers and registered agents that have registered with the
State Money Management Council.

F.

To the extent possible, the District shall attempt to match investments with anticipated cash
requirements, although the PTIF is preferred for periods up to two years.

G.

The Comptroller shall report the status of investments on a semi-annual basis to the Board.

Staff Report Page 98

SECTION 7.0 CREDIT CARD POLICY
7.1

OVERVIEW
The District may allow the use of a District guaranteed credit card through a Board approved credit card
program for eligible employees. District credit cards shall be used for official business only, and shall not
be used for the personal convenience of an employee.

7.2

CREDIT CARD TERMS
A.

7.3

The General Manager may assign District credit cards for the following purposes:
1.

Travel costs

2.

Business meetings

3.

On-line purchases

4.

Parts, supplies, and building materials and other items needed for operations,
maintenance and repairs; and/or

5.

Emergency expenditures

B.

Credit accounts with local preferred vendors may also be established with approval of the
Comptroller and General Manager to purchase parts, supplies, building materials, and other
items needed for operations, maintenance, repairs, and emergency expenditures.

C.

All credit card purchases are subject to all requirements of the District’s Procurement Policy and
Procedures, and to all applicable state and federal procurement laws that govern the District.

D.

District employees violating this policy must fully reimburse the District for any misuse of credit
cards or accounts, and are subject to disciplinary and/or legal action.

E.

All credit card users will be required to sign a card-holder agreement and are subject to a credit
check before being issued a card.

CREDIT LIMITS
The General Manager may authorize credit limits up to $10,000 per employee, except that the total
District credit limit must be approved by the Board. Temporary credit line increases for travel or
unusual purchases may be allowed with the approval of the Comptroller. These temporary credit limit
increases will last no longer than the end of the billing cycle. Requests for a credit limit change must
be made through a Credit Limit Change Request.

7.4

THEFT OR FRAUD
Employees shall maintain control over their District credit card at all times. In the event of theft or fraud,
the employee will immediately notify the credit card issuer to open a theft or fraud case. The employee
will also immediately notify the Comptroller. Replacement cards will be issued as quickly as possible if
the theft or fraud was found to be out of the control of the employee.

Staff Report Page 99

7.5

FRAUD PREVENTION
Due to the nature of the District credit card program, numerous fraud prevention practices have been
instituted. There may be certain types of merchants banned from District cards and daily spending
limits may be imposed at certain merchants that the credit card issuer sees as potentially fraudulent.
This may result in a credit card being declined at a point of purchase even though there is adequate
available credit. If you have any questions regarding why a transaction was declined, please contact
the Comptroller directly.

7.6

CREDIT CARD RECONCILIATION
All users of a District credit card are required to retain all applicable documentation for each purchase
including receipts, order verifications, invoices, etc. All receipts must be forwarded to the cardholder’s
approver at the end of the statement cycle.

7.7

STATEMENT CYCLE
Credit card statement cycles close on the last day of the month. Credit limits are reset at this point.

Staff Report Page 100

SECTION 8.0 VEHICLE POLICY
8.1

OVERVIEW
The District maintains a fleet of vehicles necessary to carry out the normal activities of the District. These
vehicles are District property and every care should be taken to protect the District’s investment. The
vehicles shall be overseen by a Fleet Manager who is appointed by the General Manager.

8.2

ELIGIBILITY
A.

The General Manager may assign vehicles to employees under the following circumstances:
1.

To drive transit buses on District approved Public Transit routes during normal business
hours.

2.

To enable employees to respond timely to both routine and after-hour emergencies,
calls for assistance, and to maintain the District's water system.

3.

When employees are in geographically strategic positions and trained to respond to
emergency situations in the event of a natural disaster.

4.

When employees are required to attend meetings during work, after or near the end of
work, and/or in locations far from their normal work location.

B.

The General Manager shall have discretion to assign a District vehicle to an employee to use for
commuting to and from work based upon locale, terrain, weather, job assignment, the need to
have different types and sizes of District equipment, towing capability, and passenger
accommodation.

C.

Use of a District vehicle will not be part of the compensation package for an employment
position unless approved by the Board. Any such compensation is subject to IRS income tax rules
and regulations.

D.

All use of District vehicles shall be in compliance with local, state, and federal law.

E.

Any District employee taking a District vehicle home outside of the boundaries of the District will
reimburse the District at the rate of $50.00 per month. No District vehicle may be taken home
outside a 35-mile radius of the District. If an employee is not willing to pay the commuter rate,
the vehicle shall be left at a secure District facility.
1.

As determined by the Board, District employees who are required to respond after
hours to emergency calls shall be exempt from the commuter rate.

F.

Except as otherwise provided herein, under no circumstances shall a District owned vehicle be
authorized for take home use for an employee who resides farther than thirty five (35) miles
from the District boundaries.

G.

The distance of an employee’s residence from the District boundaries shall be established by
evidence generated by any commonly available internet or computer software program that
estimates distances using driving directions. An employee who disagrees with the determination
of the District regarding that distance calculation may appeal that determination to the General

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Manager. The employee shall provide documentation supporting any disagreement with the
distance determination by the District.
8.3

EMERGENCY RESPONSE VEHICLES
A.

8.4

8.5

The General Manager may allow employees to take home vehicles when doing so would allow
the employees to respond to an emergency in a more expeditious manner. Vehicles provided to
employees shall meet the following criteria:
1.

Be all-wheel or four-wheel drive vehicles;

2.

Have a clear logo on both vehicle front doors that contains the words “High Valley
Transit”;

3.

Have a license plate displaying the letters “EX”;

4.

Have clearly visible operating emergency lights; and

5.

Have tools and other emergency equipment loaded in the vehicle.

B.

Any vehicle taken home by an employee that does not meet these criteria is subject to the
IRS Commuter Tax, even if the vehicle is used by the employee to respond to an
emergency.

C.

All vehicles shall have GPS tracking equipment installed and in working order. District
Management shall use this equipment for emergency response and any other uses they
deem necessary. Any tampering of the GPS tracking equipment is expressly prohibited and
may subject the employee to disciplinary action, up to and including termination of
employment.

PERSONAL USE
A.

District vehicles may be used only for District business and other de minimus personal use.

B.

Authorized staff shall prepare reports periodically that show miles driven, gallons of fuel
purchased, and miles per gallon for each District vehicle.

C.

Travel to and from secondary employment in a District vehicle is prohibited.

GAS CARDS/FUEL USAGE
A.

As a government entity, Gas Cards allow the District to purchase fuel on credit without paying
any state or federal fuel taxes.

B.

Each District vehicle and piece of heavy equipment shall be assigned a separate, unique Gas Card
account number that shall be stored in the vehicle and used exclusively for that vehicle.

C.

Gas Cards shall be used to purchase all District fuel, except when a vehicle or piece of heavy
equipment will run out of fuel before reaching a station that accepts Gas Cards. Employees shall
take every reasonable effort to ensure Gas Cards are used whenever possible. In the case of
small equipment and gas cans that require fuel, it is acceptable to use the District Credit Card.

D.

Gas Cards shall not be used for personal use, and employees violating this policy are subject to

Staff Report Page 102

disciplinary action up to and including termination of employment.
E.

8.6

8.7

Idling of vehicles must be controlled. Newer vehicles do not require the engine to idle (warmup) before driving. In the winter, employees should start the vehicle, clear the windows and
then drive. Employees shall not leave the vehicle idling when unoccupied.

ACCIDENTS AND VEHICLE MISUSE
A.

If an accident occurs in a District vehicle while an employee is engaged in District business, or for
authorized commuting or de minimus personal use, and the employee caused or contributed to
the accident, or the employee improperly and/or unlawfully uses a District vehicle, the District
shall follow the disciplinary procedures as outlined in the District’s Personnel Policies.

B.

All accidents or vehicle misuse shall be documented on a Vehicle Incident Report. Additionally,
employees involved in an accident shall be required to participate in controlled substance
testing as described in the District’s Personnel Policies.

USE OF PERSONAL VEHICLES FOR DISTRICT BUSINESS
A.

Employees are required to use District vehicles when conducting District business. If a District
vehicle is not available or it is impractical to use a District vehicle, the District will reimburse
employees for the use of their personal vehicles for District business at the then approved IRS
rate. Before a reimbursement is released an employee must provide to the Comptroller proof of
insurance coverage for the employee’s vehicle.

B.

If an accident occurs while an employee is engaged in District business using a personal vehicle,
the District will reimburse employees for the amount of their vehicle insurance deductible up to
$2,500 if:
1.

8.8

The accident is:
a. Reported to law enforcement within two (2) hours of the occurrence;
b. Law enforcement completes an investigation of the accident;
c. An investigation report is prepared;
d. Within ten (10) working days, the employee provides the Human Resources
Department with a copy of the accident report and proof of insurance coverage for
the employee’s vehicle; and
e. The employee did not cause or contribute to the accident by acts or omissions that
were intentional, reckless, grossly negligent, or in violation of the provisions of the
District’s Vehicle Policy.

C.

If the vehicle damage was caused, or contributed to, by acts or omissions of a third party who
was not an employee of the District, the personal insurance coverage of the employee or third
party shall be the primary insurance to which all parties shall look for compensation.

D.

Additional payment by the District shall be considered only after the employee and/or his or her
vehicle insurance provider has exhausted all legal remedies and collection efforts against each
third party.

MAINTENANCE AND UPKEEP
A.

It shall be the duty and responsibility of the District to see that District vehicles are properly
serviced, maintained and cleaned. However, where a District vehicle is permanently assigned to
an employee, it is the responsibility of that employee to ensure proper service, maintenance, and

Staff Report Page 103

cleaning of the vehicle. This includes, but is not limited to, having the appropriate service
performed on the vehicle at all designated intervals as set forth by the General Manager. A
sticker will be affixed to the vehicle in a conspicuous place indicating time of usage and service
due for the vehicle.

8.9

8.10

B.

If and employee who has been permanently assigned District vehicle fails to have the vehicle
properly serviced or maintained as prescribed by the General Manager within thirty (30) working
days or five hundred (500) miles of the required service or maintenance time, the that employee
may lose the use of the District vehicle.

C.

If a vehicle is assigned to an individual, that individual has the responsibility to keep the vehicle
clean, both inside and outside. When an individual uses a vehicle from the fleet, that individual
has the responsibility to remove all items from the interior of the vehicle upon returning it to the
fleet; such failure may result in loss of use of the vehicle to the user, as well as possible
disciplinary action.

SAFETY
A.

Each employee who operates a District vehicle shall obey all applicable traffic laws and shall
operate the vehicle in a courteous manner that appropriately represents High Valley Transit.

B.

Each employee who drives a District vehicle shall possess a valid driver license that is appropriate
for the type of vehicle that will be used and that is valid at the time the vehicle is used. Should
an employee fail to produce a valid driver’s license when requested to do so by the General
Manger, that employee’s driving privileges to operate a District vehicle shall be forfeited until the
license becomes valid.

C.

Each occupant of a District vehicle and personal use vehicle used for Official Use shall wear a seat
belt at all times the vehicle is in use.

D.

Cell phone use, by the operator, while a District vehicle is operating on a public roadway is
prohibited.

FTA REQUIREMENTS FOR BUSES
A.

In accordance with FTA and the PTT, the District shall adhere to the following additional vehicle
use policies for all buses:

1. Bus modifications (e.g., adding a hitch): All bus modifications require approval from the PTT
Director. Typically, special modifications to the bus need to be included in the final
specification list prior to construction of the vehicle.

2. Service Animal: If the animal is a service animal, then it is allowed. All other pets are not
allowed.

3. Government Transportation: Transportation of government officials to government business
is allowed. While charter service is not allowed, the District may provide up to 80 hours of
service for government officials to government-related events.

Staff Report Page 104

4. Fees: Fees cannot be charged for service, but donations can be requested or a donation box
can be located in the vehicle.

5. Maintaining Continuing Control: The District must retain continuing control over the use of
the property and be available for its originally authorized purpose.

6. Natural disasters: The vehicle may be used for other purposes during natural disasters.
7. Attendants: Attendants are allowed as needed.
8. School bus service: Utilization of vehicles for school bus service is not allowed by the PTT.
9. Charter service: Charter service is not allowed by the PTT.
10. CDL: A CDL is required for vehicles carrying more than 15 passengers, including the driver, or

vehicles with a GVWR over 26,000 pounds. Bus drivers must also have passenger
endorsements for their licenses. Transit, intercity, and motor coach operators must have a
passenger vehicle (P) endorsement. Endorsements require a passing score on knowledge and
skills tests administered by the state licensing agency or partner institution.

Staff Report Page 105

SECTION 9.0 MEETINGS
9.1

9.2

MEETINGS OF THE BOARD
A.

Regular Meeting. A regularly scheduled meeting of the Board for which notice of the date, time,
and place has been given in the Annual Meeting Schedule.

B.

Special Meeting. Any meeting of the Board that replaces or is held in addition to regular
meetings.

C.

Annual Meeting. The meeting at which Officers of the District are elected. The Bi-Annual Meeting
shall be held on the date and hour of its regularly scheduled meeting in January.

D.

Emergency Meeting. A special meeting held as a result of unforeseen circumstances, to consider
matters of an urgent or emergency nature.

PLACE OF MEETINGS
Except as may otherwise be determined, meetings of the Board shall be held at the principal place of
business of the District.

9.3

9.4

PUBLIC NOTICE OF MEETINGS
A.

Annual Meeting Schedule. An annual schedule of the regular meetings of the Board shall be
posted at all times in a conspicuous place at the District's principal office. The annual schedule of
regular meetings shall be sent to the Utah Public Notice Website (www.utah.gov/pmn/index) and
other organizations and individuals requesting such schedule.

B.

Regular Meeting. Notice of the date, time, place and agenda for each regular meeting shall be
posted at the District's principal office and sent not less than five days before the beginning of
each meeting to the Utah Public Notice Website (www.utah.gov/pmn/index) and other
organizations and individuals requesting such notice.

C.

Special Meeting. Where possible, the notice described in Section 9.3.B shall be given. However,
when unforeseen circumstances require calling a special meeting, including an emergency
meeting, the notice requirements of Section 9.3.B may be disregarded and the best practicable
notice given. No special meeting shall be held until a reasonable attempt has been made to
notify all Board members, and a majority of Board members contacted and polled agree to hold
the special meeting.

NOTICE TO BOARD MEMBERS AND SUMMIT COUNTY
A.

Notice of all regular and, when possible, special meetings of the Board shall be sent by the
General Manager to all members of the Board by any of the following methods; ordinary mail,
email, access via Drop Box, or hand delivered, at least five days in advance of each meeting. Such
notice shall include the date, time, and place of the meeting as well as a copy of the previous
meeting's minutes and the agenda for the present meeting.

B.

A copy of the agenda and notice for each Board meeting shall be provided via electronic mail to
the Summit County Manager no less than twenty-four (24) hours prior to the scheduled meeting.

Staff Report Page 106

9.5

9.6

CONDUCT OF MEETINGS
A.

All meetings of the Board shall be conducted according to Robert's Rules of Order when
requested by a Board member.

B.

Any Board member shall have the right to place any matter on the agenda if a reasonable notice
of seven days is given. The meeting shall follow the agenda unless otherwise agreed.

QUORUM
A quorum of Board members (50% plus 1) is required to conduct District business. If a quorum is present,
a majority of Board members present must vote in favor of any motion in order for that motion to pass.

9.7

PRESUMPTION OF ASSENT
A Board member who is present at a meeting of the Board at which Board Action on any matter is taken
shall be presumed to have assented to the action taken unless his/her dissent shall be entered into the
minutes of the meeting or unless he/she shall file his/her written dissent to such actions with the
Secretary before the adjournment of the meeting. A written dissent shall not apply to a Board member
who voted in favor of such action.

9.8

NO PROXY
No Board member may appoint another individual, by proxy or otherwise, to assume his/her
responsibilities as a Board member.

9.9

OPEN AND CLOSED MEETINGS; ACTIONS TAKEN

A.

Open Meeting. All meetings of the Board, except closed meetings, shall be open to the public.

B.

Closed Meeting. Except as otherwise directed by the Board, closed meetings shall be open only
to Board members, and appropriate District staff. A closed meeting may be held upon the
affirmative vote of two-thirds of the members of the Board present at an open meeting for which
notice is given, provided a quorum is present. A closed meeting may be held for any of the
following purposes:
1.

Discussion of the character, professional competence, or physical or mental health of an
individual.

2.

Strategy sessions to discuss pending or reasonably imminent litigation.

3.

Strategy sessions to discuss the purchase, exchange, or lease of real property when
public discussion of the transaction would disclose the appraisal or estimated value of
the property under consideration or prevent the District from completing the
transaction on the best possible terms.

4.

Strategy sessions to discuss the sale of real property when: (a) public discussion of the
transaction would disclose the appraisal or estimated value of the property under
consideration or prevent the District from completing the transaction on the best
possible terms; (b) the District previously gave public notice that the property would be
offered for sale; and (c) the terms of the sale are publicly disclosed before the District
approves the sale.

Staff Report Page 107

C.
9.10

5.

Discussion regarding deployment of security personnel, devices or systems.

6.

Investigative proceedings regarding allegations of criminal misconduct.

Actions Taken. No ordinance, resolution, rule, regulation, contract, or appointment shall be
approved at a closed meeting.

MINUTES OF MEETINGS TO BE KEPT
A.

Open Meeting. Written minutes shall be kept of all open meetings. Such minutes shall include:
1.

The date, time, and place of the meeting.

2.

The names of members present and absent.

3.

The substance of all matters proposed, discussed, or decided, and a record, by individual
member, of votes taken.

4.

The names of all citizens who appeared and the substance in brief of their testimony.

5.

Any other information that any member requests be entered in the minutes.

B.

Minutes shall not be “final” or “official” until they have been formally approved by the Board.

C.

Closed Meeting. Unless the closed meeting is called for purposes specified in Section 9.9.B.1 or
9.9.B.5, in which case the presiding officer shall sign a sworn statement affirming the purpose of
the meeting, a recording shall be kept of the closed portion of the meeting. If minutes are kept,
they shall include:
1.

The date, time, and place of the meeting.

2.

The names of members present and absent.

3.

The names of all others present except where the disclosure would infringe on the
confidentiality necessary to fulfill the original purpose of the closed meeting.

4.

The content of the meeting.

Recordings and written minutes of the closed meeting are protected records under Utah Code
Title 63G, Chapter 2, Governmental Records Access and Management Act, and any person who
violates the provisions of Utah Code §63G-2-801 is subject to the criminal penalties contained in
that section. Recordings and written minutes of closed meetings may be disclosed pursuant to a
Court order only as provided in Utah Code §52-4-304.
D.
9.11

A copy of the minutes of each Board meeting shall be provided via electronic mail to the Summit
County Manager within five (5) working days follow the approval of the minutes.

PUBLIC HEARING PROCEDURES
A.

Public hearings before the Board shall follow the following procedural steps:

Staff Report Page 108

B.

1.

Declaration that the public hearing is open.

2.

Verification that legal notification requirements have been met.

3.

Staff presentation.

4.

Questions by Board members.

5.

Chair opens the meeting to public comment.

6.

Call upon individuals who have filled out the sign-up sheet.

7.

Allow other individuals who desire to make public comment.

8.

Chair closes the meeting to public comment.

9.

Staff response.

10.

Questions by Board members.

11.

Board discussion.

12.

Board vote.

The following rules shall be observed during public hearings before the Board:
1.

Members of the public who desire to speak, shall each first sign up on the sign-up sheet
indicating the speaker’s name, address and affiliations to the agenda item(s) (or whom
he/she represents).

2.

The Chair shall determine who will speak after reviewing the signup sheet. Each speaker
shall be called by the Chair, and, at the discretion of the Board, speakers shall alternate
between one speaking in favor of the agenda item and another speaking against it
(continuing in this manner so long as possible).

3.

Speakers shall state their names, addresses and affiliations to the agenda items (or
whom they represent) before beginning their comments.

4.

Speakers shall address their comments to the Chair, and they shall not debate with
other meeting attendees or make personal attacks.

5.

A predetermined time limit shall be placed on speakers. A speaker cannot combine
his/her time with another (e.g., Speaker “X” cannot give his/her time to Speaker “Y” so
that Speaker “Y” has double the time), and redundant speakers/comments will not be
recognized by the Chair.

6.

To permit everyone the opportunity to hear the proceedings, attendees shall be as quiet
as possible.

7.

The hearing is designed for civil discussion. Therefore, attendees shall not jeer, cheer,
yell out comments, or clap.

Staff Report Page 109

C.

8.

Attendees shall not display any signs or distribute any handouts or flyers in the hearing
room.

9.

After the close of the public comment period, discussion shall be limited to Board
members and staff.

The Chair shall enforce the procedures and rules set forth above in subsections A and B. The
Chair, at its discretion and consistent with the District’s Administrative Policies and Procedures,
may take such additional actions as will promote an orderly and efficient public hearing.

Staff Report Page 110

SECTION 10.0 RISK MANAGEMENT
10.1

INSURANCE
The General Manager shall serve as the Risk Manager. The Risk Manager shall purchase outside insurance
from the most cost-effective qualified insurer. This includes insurance on all vehicles, equipment,
facilities, and other property as defined by FTA Circular 5010.1E, Grant Management Requirements. The
District shall secure a certificate of insurance covering each motor vehicle demonstrating that the District
has obtained all insurance required by state and federal law. The District shall carry at a minimum, the
following coverage:
A.

General Liability - $10,000,000

B.

Auto Bodily Injury - $10,000,000

C.

Auto Property Damage - $10,000,000

D.

Underinsured Motorist - $50,000

E.

Uninsured Motorist - $50,000

F.

Unemployment Insurance per state requirements

G.

Workers Compensation Insurance per state requirements

H.

Vehicle Comprehensive/Collision for Vehicles Valued in Excess of $5,000

I.

Property Coverage for Facilities Valued in Excess of $100,000 to insure against property damage
for theft, vandalism, fire, earthquake, flood and wind.
1.

10.2

In the event that flood insurance is required by the Flood Disaster Protection Act of
1973, 42 U.S.C. §4012a(a) for any building located in a special flood hazard area (100year flood zone), such insurance shall be obtained for an amount at least equal to the
federal investment (less estimated land cost) before the receipt of federal assistance to
acquire, construct, reconstruct, repair, or improve that building.

PROCEDURE FOR FILING AND PROCESSING OF CLAIMS
A.

The procedures for filing and settling claims shall be determined by the Risk Manager.

B.

All District employees and Board members shall promptly report all accidents, claims and injuries
to their direct supervisor as soon as possible following any incident that may involve liability to
the District or an insurance claim. The direct supervisor should notify the Risk Manager to
investigate the incident as soon as possible.

C.

The Risk Manager shall notify the appropriate insurer.

D.

All District employees and Board members shall cooperate and assist the Risk Manager as
requested.

E.

The General Manager shall advise the Board concerning claims which have been filed against the
District at the next meeting of the Board.

Staff Report Page 111

10.3

10.4

INDEMNIFICATION OF EMPLOYEES
A.

The District shall indemnify any person who was or is a party or is threatened to be made a party
to any threatened, pending, or completed action, suit, or proceeding, whether civil or criminal,
administrative or investigative, by reason of the fact that he or she is or was the General Manager,
an officer, employee, or agent of the District. The indemnification shall be for all expenses
(including attorney fees), judgments, fines, and amount paid in settlement, actually and
reasonably incurred by him or her in connection with the action, suit, or proceeding, including any
appeal of the action, suit or proceeding, if he or she acted within the scope of their employment
and in good faith or in a manner he or she reasonably believed to be in or not opposed to the best
interests of the district, and with respect to any criminal action or proceeding, if he or she had no
reasonable cause to believe the conduct was unlawful.

B.

Determination of any action, suit, or proceeding by judgment, order, settlement, conviction or on
a plea of nolo contendere or its equivalent, shall not, of itself, create a presumption that the party
did not meet the applicable standard of conduct. Indemnification under this section may be paid
by the district in advance of the final disposition of any action, suit, or proceeding, on a
preliminary determination that the General Manager, officer, employee, or agent met the
application standard of conduct.

C.

The District shall also indemnify the General Manager, an officer, employee, or agent who has
been successful on the merits or otherwise, in defense of any action, suit, or proceeding, or in
defense of any claim, issue, or matter in the action, suit, or proceeding related to their service or
employment with the District, against all expenses, including attorney fees, actually and
reasonably incurred, without the necessity of an independent determination that the General
Manager, an officer, employee, or agent met any appropriate standard of conduct.

D.

The indemnification provided for in this section shall continue as to any person who has ceased to
be the General Manager, an officer, employee, or agent, and shall inure to the benefit of the heirs,
executors, and administrators of that person.

SAFETY, HEALTH AND RISK MANAGEMENT POLICY STATEMENT
A.

The District shall create a risk management plan (“Safety Manual”). The purpose of the Safety
Manual is to protect the District against accidental losses which, in the aggregate, during any
financial period, would significantly affect personnel, property, the budget, or the ability of the
District to fulfill its responsibilities to its customers, employees, taxpayers and the public.

B.

The Safety Manual shall include: systematic risk identification; risk and hazard evaluation; safety,
training and loss control activities; claims processing; and program monitoring.

C.

District employees are to be aware of all department safety rules and procedures; properly use
all safety equipment and devices; and be safety conscious.

D.

District staff shall prepare a budget recommendation to the Board to fund selected methods and
procedures for reducing the identified risks and to implement safety training activities. At least
annually, the Risk Manager shall prepare a report to the Board summarizing the losses incurred
by the District, their causes, and risk and loss prevention activities implemented by the District.

Staff Report Page 112

10.5

BONDING
The District will bond the Comptroller, Treasurer and employees who have the responsibility for the
safekeeping and investment of public funds in keeping with Utah Code §51-7-15.
Budget
$1,000,000 to $5,000,000
$5,000,001 to $10,000,000
$10,000,001 to $25,000.000

Percent for Bond
6% but not less than
5% but not less than
4% but not less than

Minimum Bond
$70,000
$300,000
$500,000

Staff Report Page 113

SECTION 11.0 CONDUCT & ETHICS
11.1

STANDARDS OF CONDUCT
A.

Board Members
1.

The Board commits itself and its members to ethical, businesslike and lawful conduct,
including proper use of authority and appropriate decorum.

2.

Board members shall conduct all business in legal meetings in accordance with
procedures prescribed in the rules and regulations and will reach decisions only after full
consideration and debate on the issues in question. Once a decision is made, all Board
members will abide in good faith by the decision.

3.

Board members shall represent the interests of the whole organization. This
accountability supersedes:

4.

a.

any conflicting loyalty to other advocacy or interest groups;

b.

loyalty based upon membership on other boards or staffs; and

c.

conflict based upon the Board members’ use of the services provided by the
District.

Board members may not attempt to exercise individual authority over the organization.
The Board shall not be bound in any way by any statement or action on the part of any
individual Board member, except when such statement or action is identified as a
directive of the Board.
a.

Board members’ interaction with the General Manager or with staff must
recognize the lack of authority vested in individual Board members except when
explicitly authorized by the Board.

b.

Board members’ interaction with the public, press or other entities must
recognize the same limitation and the inability of any Board member to speak
for the Board except to repeat explicitly stated Board decisions. This limitation
does not restrict any Board member from engaging constituents directly
regarding their concerns and needs.

c.

Board members shall not publicly make or express individual negative judgments
about General Manager or staff performance. Any such judgments of General
Manager or staff performance shall be made in closed session and only by the
Board.

5.

Board members shall maintain confidentiality appropriate to issues of a sensitive nature
and information that otherwise may tend to compromise the integrity or legal standing
of the Board, especially those matters discussed in closed session.

6.

Board members shall refrain from any self-dealing or any conduct of private business or
personal services between any Board member and the District except as procedurally
controlled to assure openness, competitive opportunity and equal access to otherwise
“inside” information.

Staff Report Page 114

7.

Board members must not use their positions to obtain for themselves, or for their family
members, employment or the award of a contract with the District. Should a Board
member desire employment or the award of a contract, he or she must first resign.

8.

When the Board is to decide upon an issue about which a member has an unavoidable
conflict of interest, that member shall recuse him/herself from the deliberation and
abstain from the vote.

9.

In order to build and maintain productive and effective relationships, Board members
shall maintain a system of communication and interaction that builds upon mutual
respect and trust. Accordingly, Board members shall:
a.
b.
c.
d.
e.
f.
g.
h.
i.
j.
k.
l.
m.
n.
o.
p.
q.

Exercise honesty in all written and interpersonal communication.
Demonstrate respect for the opinions of others.
Focus on issues rather than on personalities.
Maintain focus on common goals.
Communicate in a timely manner to avoid surprises.
Respect majority decisions of the Board.
Withhold final judgment on issues until fully informed.
Seek first to understand rather than to be understood.
Criticize privately, praise publicly
Use closed sessions appropriately and judiciously.
Maintain appropriate confidentiality.
Openly share personal concerns.
Take the initiative to communicate and ask questions for clarification.
Share information and knowledge.
Give direction as the whole, not as individuals.
Make every reasonable effort to protect the integrity and promote the positive
image of the organization and one another.
Deal with outside entities or individuals, with members, staff and each other in
a manner reflecting fair play, ethics and straightforward communication.

Board members shall not:
r.
s.
t.
u.
v.
B.

Embarrass each other or the organization.
Intentionally mislead or misinform each other.
Maintain hidden agendas.
Undermine majority decisions of the board.
Assume responsibility for resolving operational problems or complaints.

Employees
The standards of conduct for District employees can be found in the District’s Personnel Policy.

11.2

BOARD MEMBER CONFLICTS OF INTEREST
Board members will annually disclose their involvement with other organizations, businesses or
associations which might produce a conflict of interest. Board members are expected to avoid conflicts of
interest involving any matter pending before the Board. A conflict of interest is deemed to exist when a
Board member is confronted with an issue in which the Board member has a personal or pecuniary interest
or an issue or circumstance that could render the Board member unable to devote complete loyalty and
singleness of purpose to the organization.

Staff Report Page 115

11.3

A.

If a Board member has a personal or private interest in a matter pending before the Board, the
Board member shall disclose such interest to the Board, shall not vote on the matter and shall not
attempt to influence the decisions of other members of the Board.

B.

The Board shall not enter into any contract with any of its Board members or with a firm in which
a Board member has a controlling financial interest. Accordingly, a Board member shall not:
Disclose or use confidential information acquired in the course of official duties as a
means to further the Board member’s personal financial interests or the interests of a
member of the Board member’s immediate family.

2.

Solicit or accept a gift of substantial value or economic benefit for personal use which
would tend to improperly influence a reasonable person, or which the Board member
knows or should know is primarily for the purpose of a reward for official action.

3.

Engage in a substantial financial transaction for private business purposes with any
employee of the District.

4.

Perform an official act that directly confers an economic benefit on a business in which
the Board member has a substantial financial interest or is engaged as a counsel,
consultant, representative or agent.

BOARD RELATIONSHIP TO DISTRICT STAFF
A.

11.4

1.

The Board’s sole connection to the District’s operational organization is the General Manager.
Only decisions of the Board acting as an entity are binding on the General Manager. Accordingly:
1.

Decisions or instructions of individual Board members, officers or committees are not
binding on the General Manager except when the Board has specifically authorized such
exercise of authority by individuals or committees.

2.

In the case of Board members or committees requesting information or assistance
without Board authorization, the General Manager may refuse such requests that
require, in the General Manager’s opinion, a material amount of staff time or resources
or that are disruptive

3.

Unless specifically authorized by a vote of the Board in an open meeting, individual
Board members are prohibited from giving instructions to or directly supervising District
employees.

ETHICS
A.

B.

The District is subject to the following sections of Utah State Code, Annotated:
1.

Utah Code Title 67, Chapter 16 (Utah Public Officers and Employees’ Ethics Act).

2.

Utah Code §76-8-105 (Receiving or Soliciting Bribe or Bribery by Public Servant).

Refer to Procurement Policy for definitions and further discussion of the District’s ethics
policies.

Staff Report Page 116

SECTION 12.0 PUBLIC RECORDS POLICY
12.1

GOVERNMENT RECORDS ACCESS AND MANAGEMENT ACT
The District is subject to, and complies with, the Government Records Access and Management Act
(“GRAMA”), Utah Code Title 63G, Chapter 2.

12.2

12.3

EXECUTIVE/CHIEF ADMINISTRATIVE OFFICER
A.

The General Manager shall serve as the District’s Chief Administrative Officer for purposes of
GRAMA.

B.

The General Manager shall appoint with the consent of the Board a GRAMA Officer.

FEES
The District shall charge and collect those costs and fees allowed by GRAMA for responding to a request
for a record, as determined by the Comptroller.

12.4

REQUESTS FOR RECORDS
Pursuant to Utah Code §63G-2-204 request for a record shall be directed to the District’s GRAMA Officer
at the District’s place of business. Prior to releasing any records, the GRAMA Officer shall consult with the
General Counsel to determine what records shall be released in accordance with state law.

12.5

RECORDS RETENTION
The District will retain records according to the retention schedule adopted by State Archives for local
governments.

Staff Report Page 117

SECTION 13.0 TECHNOLOGY POLICY
13.1

13.2

PERSONAL USE OF DISTRICT COMPUTERS & OFFICE ITEMS
A.

Employees may use District computers and information systems for de minimus personal use. Such
use shall not disrupt employees from work responsibilities.

B.

All data stored, and software developed, on District computer equipment is the property of the
District and may be viewed/reviewed by the General Manager or designee, at any time.

C.

Postage. No employee shall be allowed to take postage stamps from the District inventory
without fully compensating the District for the actual value of the postage. Related
reimbursements to the District shall be documented and deposited into petty cash.

D.

FAX and Copying Machines. Any employee desiring to use District FAX or copying machines for
items of a personal nature may do so after paying for such use at the employee rate which is in
effect at the time of use. Related reimbursements to the District shall be documented and
deposited into petty cash.

PERSONAL USE OF TELEPHONES (LAND LINES)
A.

13.3

Employees shall limit use of District telephones to conduct District business with the following
exceptions:
1.

Local personal calls shall be made sparingly and only when necessary.

2.

Long distance personal calls shall be limited to emergencies.

3.

All personal use of District telephones must not disrupt the carrying out of employee
responsibilities and shall be used judiciously.

4.

Employees may be required to reimburse the District for any additional costs resulting
from personal use of District telephones.

CELL PHONE USAGE
A.

The District may provide cell phones or allowances for the following District positions:
1.

General Manager, Comptroller, and General Counsel;

2.

Board members;

3.

The following permanent employees, as determined by the General Manager:
a.
b.
c.
d.

Information Technology (IT) employees who may need to be contacted to
coordinate IT issues and/or resolve IT issues in a timely manner;
Operations employees who may need to coordinate activities, communicate with
their supervisor or dispatch, or who may be required to respond to an emergency;
Other employees who may be required to respond to an emergency; and
Other employees as approved by the Board.

B.

Requests for cell phone allowances must be made using a Cell Phone Plan Form.

C.

District cell phone use should be limited to District business with the following exceptions:

Staff Report Page 118

13.4

13.5

1.

Local personal calls may be made on a de minimus use basis; and

2.

Long-distance personal calls shall be limited to emergencies.

D.

All personal use of District cell phones must not disrupt the carrying out of employee
responsibilities and shall be used judiciously.

E.

Employees may be required to reimburse the District for any additional costs resulting from
personal use of District cell phones.

F.

The District will replace a cell phone when, in the opinion of the technology manager,
replacement is appropriate but in no event more than once per year for each employee
authorized to receive a District cell phone. If an employee loses or damages a cell phone that
she/he has had for less than 12 months, the employee may be charged $50 for the
replacement phone. Replacement phone styles and models will be determined by the
technology manager. All District issued cell phones are required to be covered by a protective
device.

G.

Each District employee is responsible to know, understand, and comply with the laws of the State
of Utah regarding the use of cell phones while driving, including, specifically, the prohibition on
using a handheld wireless communication device while operating a moving vehicle as set forth in
Utah Code §41-6a-1716. The District expressly prohibits the use of cell phones while operating
District vehicles, driving while on District business, or operating heavy machinery.

CELL PHONES AND TEXTING
A.

In order to maintain a safe and productive workplace, the District has the following policies
surrounding texting and use of cell phones (work issued or personal) while working. Texting
includes the use of all types of messaging and other data services.

B.

Texting should not be excessive, disrupt your productivity, or cause a disruption to your
coworkers.

C.

Any use of a cell phone including texting while driving a company vehicle or using heavy
machinery is expressly prohibited. Any use of the internet, email, apps, etc. is also prohibited
while driving.

INTERNET CONNECTION ALLOWANCE
A.

B.

The General Manager may authorize reimbursements or allowances for personal Internet service
for employees who need to be able to work from home to:
1.

Respond to emergencies;

2.

Coordinate District activities;

3.

Provide access to information in order to respond to inquiries; or

4.

Allow employees to work from home when sick, or when weather or travel conditions
warrant.

Requests for Internet Allowance must be approved by the General Manager.

Staff Report Page 119

13.6

TABLETS
A.

Certain personnel may be issued District tablets (iPads), as approved by the General Manager, to
carry out job responsibilities. Every care must be taken by employees to protect these assets.
Tablets are not to be used for personal reasons. All applications installed on District issued
tablets must be installed by IT. All rules regarding electronic communication and Internet use
apply to tablets.

Staff Report Page 120

SECTION 14.0 PROCUREMENT POLICY
14.1

14.2

BACKGROUND
A.

Policy: This shall be known as the High Valley Transit Procurement Policy.

B.

Purpose: The purpose of this Procurement Policy is to identify the procedure for approval and
payment for all purchases or encumbrances by the District and to ensure that all such payments
and encumbrances are fair and reasonable and are not in conflict with applicable law. The
Procurement Policy is applicable to all Board Members and employees.

C.

Applicability of the Utah Procurement Code: The District is subject to the Utah Procurement Code
(Utah Code §§63G-6a-101 et. seq.) and, as such, purchases by the District shall be made in
accordance with applicable sections of the Utah Procurement Code, as now constituted or as it
may be amended and modified from time to time. For purposes of the application of the Utah
Procurement Code and this Procurement Policy, the District is a Procurement Unit with
independent procurement authority (Utah Code §63G-6a-106).
1.

Exception - State or Federal Law or Regulations: Whenever any purchase or
encumbrance is made with state or federal funds and applicable state or federal law or
regulations are in conflict with this Procurement Policy, to the extent that following the
provisions of this Procurement Policy might jeopardize the use of those funds or future
state or federal funds, such conflicting provisions of this Procurement Policy shall not
apply and the District shall follow the procedure required by the applicable state or
federal law or regulation.

2.

Exception – Federal or State Funding/Grants: When a procurement involves the
expenditure of federal or state assistance or contract funds, the District shall comply with
any mandatorily applicable federal or state law and regulations which are not reflected in
this Procurement Policy. This Procurement Policy shall not prevent the District from
complying with the terms and conditions of any grant, gift, or bequest that are otherwise
consistent with law (Utah Code §63G-6a-107.2).

DEFINITIONS
As used in this Procurement Policy, the following definitions shall be applicable:
A.

Board: For purposes of the Utah Procurement Code and this Procurement Policy, the District
Board of Trustees is the Rulemaking Authority for the District (Utah Code §63G-6a-103(77)).

B.

Statutory Definitions: The definitions of terms set forth in Utah Code §63G-6a-103, as
they may be amended from time-to-time are, to the extent applicable to this Policy and the
activities of the District, incorporated herein by this reference.

C.

Procurement Officer: The General Manager shall be the District's “Procurement Officer” and other
employees of the District may act as Procurement Officers as authorized and delegated by the
Board and/or the General Manager (Utah Code §63G-6a-103(57)). References in this Procurement
Policy to the Procurement Officer shall include any “designee” or “delegate” designated by the
General Manager or the Board.

Staff Report Page 121

D.

Additional Definitions:
1.

Act or Utah Procurement Code: means the Utah Procurement Code found in Title 63G,
Chapter 6a of the Utah Code.

2.

Actual Costs: means direct and indirect costs which have been incurred for services
rendered, supplies delivered, or construction built, as distinguished from allowable costs.

3.

Adequate Price Competition: requires a minimum of two competitive bids, proposals, or
quotes from responsive bidders or offerors.

4.

Bid Bond: is either cash or an insurance agreement, accompanied by a monetary
commitment, by which a third party (the Surety) accepts liability and guarantees that the
bidder will not withdraw the bid. The bidder will furnish bonds in the required amount,
and if the contract is awarded to the bonded bidder, the bidder must accept the contract
as bid or the cash will be forfeited or the surety will pay the specified bond amount to the
District.

5.

Bid Rigging: is an agreement among potential competitors to manipulate the competitive
bidding process, for example, by agreeing not to bid, to bid a specific price, to rotate
bidding, or to give kickbacks.

6.

Bid Security: means the deposit of cash or a certified check, cashier's check, bank draft,
money order, or bid bond submitted with a bid and serving to guarantee to the District
that the bidder, if awarded the contract, will execute such contract in accordance with
the bidding requirements and the contract documents.

7.

Brand Name or Equal Specification: means a specification which uses a brand name
specification to describe the standard of quality, performance, and other characteristics
being solicited, and which invites the submission of equivalent products.

8.

Brand Name Specification: means a specification identifying one or more products by
manufacturer name, product name, unique product identification number, product
description, SKU or catalogue number.

9.

Collusion: occurs when two or more persons act together to achieve a fraudulent or
unlawful act. Collusion inhibits free and open competition in violation of law.

10.

Cost Analysis: means an evaluation of cost data for the purpose of arriving at estimates
of costs to be incurred, prices to be paid, costs to be reimbursed, or costs actually
incurred.

11.

Cost Data: means factual information concerning the cost of labor, materials, overhead,
and other cost elements which are expected to be incurred or which have actually been
incurred by the contractor in performing the contract.

12.

Cronyism: is an anticompetitive practice that may violate federal and state antitrust and
procurement laws. Cronyism in government contracting is a form of favoritism where
contracts are awarded on the basis of friendship, association or political connections
instead of fair and open competition.

13.

Favored Vendor: applies to a situation wherein the Procurement Officer, an evaluation
committee member, a contract administrator, or a District employee unfairly, by means

Staff Report Page 122

of deceit or in violation of law, favors one vendor over another in the process of awarding
a contract. Examples of ways in which District contracts may improperly be steered to a
“favored vendor” include, but are not limited to:
a.
b.
c.
d.
e.
f.
g.
h.

Collusion or manipulation of the procurement to steer a contract award to a
particular vendor;
Illegal bribes or kickbacks paid by a vendor in exchange for a contract award;
Unjustified sole source contract awards to a vendor;
Bid rigging schemes;
Writing specifications that are overly restrictive or written in a way that gives an
unfair advantage to a particular vendor;
Improperly splitting purchases to avoid use of a standard competitive
procurement process;
Leaking bid or proposal information to a particular vendor to the exclusion of
other vendors; or
Not following established policies and procedures when approving change
orders.

14.

Immaterial Error: means an irregularity or abnormality that is a matter of form that does
not affect substance or an inconsequential variation from a requirement of a solicitation
that has no, little or a trivial effect on the procurement process and that is not prejudicial
to other vendors, and includes (a) a missing signature, missing acknowledgement of an
addendum or missing copy of a professional license, bond or insurance certificate, (b) a
typographical error, (c) an error resulting from an inaccuracy or omission in the
solicitation, or (d) any other error that the Procurement Officer reasonably considers to
be immaterial.

15.

Mandatory Requirement: means a condition set out in the specifications/statement of
work that must be met without exception.

16.

New Technology: means any invention, discovery, improvement, or innovation that was
not available to the District on the effective date of the contract, whether or not
patentable, including, but not limited to, new processes, emerging technology, machines,
and improvements to or new applications of existing processes, machines, manufactures
and software. Also included are new computer programs, and improvements to, or new
applications of, existing computer programs, whether or not copyrightable and any new
process, machine, including software, and improvements to, or new applications of,
existing processes, machines, manufactures and software.

17.

Participating Addendum: means an agreement issued in conjunction with a State
Cooperative Contract awarded by the Division of Purchasing and General Services (a
“Cooperative Contract”) that authorizes a public entity such as the District to use the
Cooperative Contract.

18.

Payment Bond: is a bond that guarantees payment for labor and materials expended on
the contract.

19.

Price Analysis: means the evaluation of price data without analysis of the separate cost
components and profit.

20.

Price Data: means factual information concerning prices for procurement items.

Staff Report Page 123

14.3

21.

Record: shall have the meaning specified in Utah Code §63G-2-103.

22.

Retention Schedule: refers to the record retention schedule applicable to the District as
approved by the State Records Committee, or the model retention schedule maintained
by the State Archivist if the District does not have its own approved retention schedule.

23.

Surety Bond: (performance bond) means a promise to pay the District a certain amount
if the principal (contractor) fails to meet some obligation, such as fulfilling the terms of a
contract. The surety bond protects the District against losses resulting from the principal's
failure to meet the obligation. In the event that any obligation is not met, the District
may recover its losses via the bond.

24.

Utah Resident Bidder: means a bidder qualified under this Procurement Policy.

GENERAL PROVISIONS
A.

Procurement Officer: The Procurement Officer may (i) manage and supervise the procurement to
ensure to the extent practicable that taxpayers receive the best value, (ii) prepare and issue standard
specifications for procurement items, (iii) review contracts, coordinate contract compliance, conduct
contract audits, and approve change orders, (iv) correct, amend, or cancel a procurement at any
stage of the procurement process if the procurement is out of compliance with this Procurement
Policy, and (v) after consultation with the General Counsel, correct, amend or cancel a contract at
any time during the term of the contract if the contract is out of compliance with this Procurement
Policy and the Procurement Officer determines that correcting, amending, or canceling the contract
is in the best interest of the District.
Except as otherwise specifically authorized by the Board, no officer or employee of the District shall
purchase for and on behalf of the District any material or supplies, goods, wares, merchandise, or
services of any kind or character, except through the Procurement Officer or his/her designee, and
no voucher, check or other method of payment shall be honored if this procedure is not followed;
provided, however, that this Subsection shall not apply to emergency purchases as specifically
provided in this Procurement Policy.

B.

Approval of Contracts: The General Manager shall sign all contracts of the District. Approval of
contracts shall be as provided hereunder.
Category
Surplus Property
Surplus Property
Small Purchases
Small Purchases-Architectural
and Engineering Services
Small Purchases-Construction
Intermediate Purchases
Major Purchases
Sole Source Contracts
Emergency Procurement
State and Federal Grants

Limitation
$10,000.00 or Less
Greater than $10,000.00
$100,000.00 or Less
$250,000.00 or Less

Authorization
Procurement Officer
Board
Procurement Officer
Procurement Officer

$400,000.00 or Less
$100,000.00 - $500,000.00
Greater than $500,000.00
Any amount
Any amount
Any amount

Procurement Officer
General Manager
Board
General Manager
General Manager
Board

Staff Report Page 124

Notwithstanding the foregoing, however, the Procurement Officer, and/or any other person
designated by the Board to act as the “budget officer” and/or the “financial officer” of the District
under the provisions of Utah Code §§ 17B-1-601 et. seq., may issue payroll checks that are prepared
in accordance with a schedule approved by the Board and pay routine expenditures such as utility
bills, withholding deposits for federal, state and FICA, the District’s share of FICA, withholdings for
health and life insurance, postage and bond payments when due, and make transfers from one fund
to another as part of routine bookkeeping procedures. Notwithstanding anything contained in this
Procurement Policy to the contrary, however, the Board will review all District expenditures on a
quarterly or more frequent basis (Utah Code §17B-1-642).
C.

Availability of Funds: No purchase shall be made and no encumbrance shall be incurred unless
funds sufficient to cover the purchase or encumbrance are available and the purchase is approved
by the appropriate District officials as herein provided.

D.

Delivery of Goods: No officer or employee of the District shall request any merchant, dealer or other
vendor to deliver goods to the District other than in compliance with the requirements of this
Procurement Policy and pursuant to any required approval from the Board or the Procurement
Officer, except in the case of an emergency purchase as provided in this Procurement Policy.

E.

Cooperative Purchasing and Purchasing Preferences:
1.

Cooperative Purchasing: Nothing contained herein shall be construed to limit the ability
of the District to purchase a procurement item from another procurement unit or join
with other units of government in centralized or cooperative purchasing plans or systems,
with proper authorization, including participating in state or federal public cooperative
procurement contracts, as provided in Part 21 of the Utah Procurement Code, entitled
“Interaction Between Procurement Units”.
a.

Cooperative purchasing will be conducted in accordance with the requirements
set forth in Utah Code §§63G-6a-2104 and 2105.

b.

A state cooperative contract may not be used for:
i.

An anti-competitive practice such as:
(1)
(2)
(3)
(4)
(5)

2.

Bid rigging;
Steering a contract to a preferred state cooperative
contractor;
Utilizing auction techniques where price quotations are
improperly disclosed and contractors bid against each other’s
price;
Disclosing pricing or other confidential information prior to the
date and time of the opening; or
Any other practice prohibited by the Procurement Code.

Preference for State Products and Resident Contractors: Utah Code §63G-6a1002 provides for a reciprocal preference for the providers of procurement items
produced, manufactured, mined, grown, or performed in Utah and §63G-6a-1003
provides a reciprocal preference for resident Utah contractors. In the event more than
one equally low preferred bidder or contractor qualifies for the reciprocal preference, the
Procurement Officer shall consider the preferred bidders or contractors to be tied and

Staff Report Page 125

will award the bid utilizing the following ranked preferences: (a) bidder who is the
provider of state products; (b) bidder who is closest to the point of delivery; (c) bidder
who received the previous award; or (d) bidder who will provide the earliest delivery date.
(Utah Code §63G-6a-608)
F.

G.

Purchase Records:
1.

Invoices and Receipts: Invoices prepared by the vendor, cash register receipts and/or
other written documentation to substantiate District expenditures will be maintained as
part of the District’s financial records in accordance with customary procedures for public
entities such as the District. Whenever possible, original invoices will be used as
supporting documentation for District purchases.

2.

Penalty for Double Payment: An intentional effort on the part of a supplier to obtain a
double payment may serve as the basis for a “debarment” under which that supplier will
be precluded from providing materials, goods and/or services to the District for a
prescribed time not to exceed 3 years (Utah Code §63G-6a-904). Similarly, any intentional
effort on the part of a District employee to receive a double reimbursement may result in
sanctions, including termination.

3.

Use of Forms: All departments are required to file with the Procurement Officer detailed
requisitions for their requirements of supplies, contractual services, materials and
equipment.

Surplus Personal Property and Salvage:
1.

Disposal of Surplus Personal Property: Surplus personal property having a value of
$10,000.00 or less may be disposed of in a commercially reasonable manner as the
Procurement Officer sees fit, with all proceeds of the disposal to be the property of the
District. Depending on the nature of the surplus personal property, donation, disposal or
destruction may be considered commercially reasonable. Surplus personal property with
a value in excess of $10,000.00 may not be disposed of until the Board has declared the
property to be surplus, after which it may be disposed of for the benefit of the District in
a commercially reasonable manner as directed by the Board. This requirement shall not
apply when the surplus property, such as a vehicle or equipment, is being “traded in” on
the purchase of substitute property, provided that the acquisition of the substitute
property is in conformance with the requirements of this Procurement Policy.

2.

Salvage: Metal and other items of some residual value may be salvaged by employees of
the District while working on District facilities and improvements. Such salvaged items
continue to be the property of the District and are to be disposed of accordingly. As a
consequence, all receipts from salvaging such items shall be the property of the District
and shall be safeguarded and accounted for as such.

H.

Inspection: The Procurement Officer shall cause to be inspected, or supervise the inspection of,
all deliveries of supplies, materials and equipment to determine their conformance with the
specifications set forth in any applicable contract. The Procurement Officer is to be notified by the
responsible department head forthwith of any item not received within thirty (30) days after a
reasonable delivery time has elapsed.

I.

Technology Modification:
Any contract may be subject to a modification for technological
upgrades if a provision to that effect was included in the solicitation or the contract. Any
modification to a contract for upgraded technology should be substantially within the scope of the

Staff Report Page 126

original procurement or contract. Then, if both parties agree to the modification, the contract may
be modified for a technological upgrade without going through a new procurement process. A
technological upgrade or modification may extend the contract term beyond the original term of
the contract only as provided in the Procurement Code and this Procurement Policy.
14.4

CONTRACTUAL TERMS
A.

Multi-Year Contracts: The District may enter into multi-year contracts in accordance with Utah
Code §63G-6a-1204. In particular, a contract for supplies or services may be entered into for any
period of time, up to five years, deemed to be in the best interest of the District; provided that the
term of the contract and conditions of renewal or extension, if any, are included in the solicitation
and funds are available for the first fiscal period at the time of contracting. Prior to the utilization
of a multi-year contract, it should be determined in writing that estimated requirements cover the
period of the contract and are reasonably firm and continuing and that a multi-year contract will
serve the best interest of the District by encouraging effective competition or otherwise promoting
economies in District procurement.
1.

In Excess of Five Years: Notwithstanding the foregoing, or anything to the contrary in this
Procurement Policy, a contract may be entered into for a period in excess of five years, or
for an indeterminate period that is terminable at-will by the District, with or without
cause, based upon a written determination by the Procurement Officer, as provided in
Utah Code §63G-6a-1204(7), that:
a.

A longer period is necessary in order to obtain the procurement item,

b.

A longer period is customary for industry standards, or

c.

A longer period is in the best interest of the District.

The Procurement Officer’s written determination shall be included in the file for the
subject procurement.

B.

2.

Availability of Funds: As allowed by law or the underlying contract, when funds are not
appropriated or otherwise made available to support continuation of performance in a
subsequent fiscal period, a multi-year contract may be canceled and the contractor shall
be reimbursed for the reasonable value of any nonrecurring costs incurred but not
amortized in the price of the supplies or services delivered under the contract. The cost
of cancellation may be paid from any appropriation available for that purpose.

3.

Indefinite Term: Based upon a written determination by the Procurement Officer, with
the concurrence of the contracting parties, a contract may be entered into as, or may be
modified to become, an indefinite term contract terminable at will by the District.

Type of Contract:
1.

Generally: Subject to the limitations of this Section, any type of contract which will
promote the best interest of the District may be used; provided that, if a contract other
than a firm fixed price contract is used, the Procurement Officer must make a written
determination as required by Utah Code §63G-6a-1205(3) that the proposed contractor’s
accounting system will permit the timely development of all necessary cost data in the
form required by the specific contract type contemplated; the proposed contractor's
accounting system is adequate to allocate costs in accordance with generally accepted
accounting principles; and the use of a specified type of contract, other than a firm fixed

Staff Report Page 127

price contract, is in the best interest of the District taking into consideration the criteria
specified in Utah Code §63G-6a-1205(3)(c). The various contract types that may be used
are identified in Utah Code §63G-6a-1205(4).

C.
14.5

2.

Cost-Plus-a-Percentage-of-Cost: As provided in Utah Code §63G-6a-1205(5), the District
may not enter into a cost-plus-a-percentage-of-cost contract unless the contract form is
approved by the Procurement Officer; it is standard practice in the industry to obtain the
subject procurement item through a cost-plus contract; and any percentage and the
method of calculating costs stated in the contract are in accordance with industry
standards.

3.

Cost Reimbursement: As provided in Utah Code §63G-6a-1205(6), a cost reimbursement
contract may be used only when a determination is made in writing that such contract is
likely to be less costly to the District than any other contract type or that it is impracticable
to obtain the supplies, services, or construction required except under such a contract,
and the proposed contractor has an adequate accounting system to timely develop cost
data in the form necessary for the District to timely and accurately make payments under
the contract and to allocate costs in accordance with generally accepted accounting
principles.

Installment Payments: The District may make installment payments in accordance with Utah Code
§63G-6a-1208.

SMALL PURCHASES
A.

General: Small purchases shall be conducted in accordance with the requirements set forth in
Utah Code §63G-6a-506. This Subsection provides additional requirements and procedures and is
to be used in conjunction with the Utah Procurement Code.
1.

Definition: A "Small Purchase" is a procurement conducted by the District without using
a standard procurement process.

2.

Thresholds: Small Purchase thresholds are as follows:
a.

The "Individual Procurement Threshold” is a maximum amount of $10,000 for a
procurement item. For individual procurement item(s) costing up to $10,000, the
District may select the best source by direct award and without seeking
competitive bids or quotes.

b.

The “Single Procurement Aggregate Threshold” is a maximum amount of
$25,000 for multiple procurement item(s) purchased from one source at one
time.

c.

The annual cumulative threshold from the same source is a maximum amount
of $100,000.

3.

Vendor Prequalification: Should the District elect to pre-qualify vendors for a small
purchase, the District will follow the process described in Utah Code §63G-6a-410 to
prequalify potential vendors and Utah Code §63G-6a-507 to develop an approved vendor
list, or Part 15 of the Utah Procurement Code for the selection of architectural and
engineering services.

4.

Rotation System: Whenever practicable, the District will use a rotation system or other

Staff Report Page 128

system designed to allow for competition when using the small purchases process.
B.

C.

Small Purchases Threshold for Architectural and Engineering Services:
1.

Threshold: The small purchase threshold for architectural or engineering services is a
maximum amount of $250,000 per budget year.

2.

Procedure: Architectural or engineering services may be procured, up to a maximum of
$250,000, by direct negotiation after reviewing the qualifications, experience and
background of a minimum of three architectural or engineering firms. As part of the
selection process, the District shall consider the specific individuals assigned by the firm
to the project, the time commitments of each to the project, the project schedule and the
approach to the project that each firm will take (Utah Code §17B-1-108(3)).

3.

Specifications: The District will include minimum specifications when using the small
purchase threshold for architectural and engineering services.

Small Purchases Threshold for Construction Projects:
1.

Threshold: The small construction project threshold is a maximum of $400,000 for direct
construction costs, including design and allowable furniture or equipment costs.

2.

Procedure: The District will follow the process described in Utah Code §63G-6a-410 to
prequalify potential vendors and in Utah Code §63G-6a-507 to develop an Approved
Vendor List, or other applicable selection methods described in the Utah Procurement
Code for construction services.

3.

Specifications: Minimum specifications will apply when using the small purchases
threshold for construction projects.

4.

Up to $50,000: The District may procure small construction projects up to a maximum of
$50,000 by direct award without seeking competitive bids or quotes after documenting
that all building code approvals, licensing requirements, permitting and other
construction related requirements will be met. The awarded contractor must certify that
the contractor is capable of meeting the minimum specifications of the project.

5.

From $50,000 to $400,000: The District may procure small construction projects costing
more than $50,000 up to a maximum of $250,000 by obtaining a minimum of two
competitive quotes that include minimum specifications, and will award the work to the
contractor with the lowest quote that meets the specifications after documenting that all
applicable building code approvals, licensing requirements, permitting and other
construction related requirements will be met.

6.

Over $250,000: Between $250,000 and $400,000, the District may invite at least three
contractors from the approved vendor list to submit quotes or bids that include minimum
specifications, and may award the work to the contractor with lowest quote or bid that
meets the specifications after documenting that all applicable building code approvals,
licensing requirements, permitting and other construction related requirements will be
met. If an approved vendor list is not established under Utah Code §63G-6a-507, the
District will procure construction projects costing more than $250,000 using an invitation
to bid or other approved source selection method outlined in the Utah Procurement Code
and may do the same for construction projects that cost less than $250,000, in the
District’s discretion.

Staff Report Page 129

D.

E.

Quotes for Small Purchases between $10,000 and $100,000:
1.

From $10,000 to $100,000: For such procurement item(s) costing more than $10,000, up
to a maximum of $100,000, the District will obtain at least two price quotations, either
through direct inquiry to vendors or other documented research, that include minimum
specifications and may purchase the procurement item from the responsible vendor
offering the lowest quote or best value that meets the specifications.

2.

Above $100,000: For procurement item(s) costing more than $100,000, the District will
conduct an invitation for bids or other procurement process outlined in the Utah
Procurement Code.

3.

Public Record: The names of the vendors offering quotations or bids and the date and
amount of each quotation or bid will be recorded and maintained as a governmental
record (Utah Code §63G-6a-2002).

Small Purchases of Services of Professionals, Providers, and Consultants:
1.

Up to $250,000: The small purchase threshold for professional service providers and
consultants is a maximum amount of $250,000 per budget year.

2.

Procedure: After reviewing the qualifications of a minimum of two professional service
providers or consultants, the District may obtain professional services or consulting
services:

3.

a.

Up to a maximum cost of $100,000 by direct negotiation; or

b.

Over $100,000 up to a maximum of $250,000 by obtaining a minimum of two
quotes.

Cost Not Primary: The District need not select the professional service provider
presenting the lowest cost quotation, but may instead base the selection on other
documented factors such as experience, knowledge and reputation.

F.

Optional Competitive Bidding: Notwithstanding the foregoing, the District may require any
acquisition of supplies, materials or equipment to be competitively bid if, in the determination of
the Board or the Procurement Officer, such action would be in the best interest of the District.

G.

Petty Cash: A limited amount of “petty cash” may be maintained at the District office to be used
for small purchases that are needed before regular purchasing procedures can be implemented.
All petty cash slips or other proof of the amount of the petty cash expenditure must be signed by
the employee responsible for the purchase and approved by either the Procurement Officer or the
person responsible for accounts payable of the District. Whenever feasible, the items purchased
are to be listed on the petty cash reimbursement check.

H.

Open Charge Accounts: The District, for convenience, may maintain one or more open charge
accounts with vendors who regularly provide supplies and materials. Purchases on the account
must be approved by the Procurement Officer or an authorized designee prior to the purchase.
Receipts are to be maintained for all credit card purchases and vendor statements are to be
reconciled against those receipts prior to making credit card payments. Unless there is a dispute
arising from the reconciliation or otherwise, or sufficient funds are not immediately available, all

Staff Report Page 130

credit card charges are to be timely paid so as to avoid finance charges. No open charge account
is to be utilized to circumvent the competitive requirements of this Procurement Policy.
14.6

VENDOR PREQUALIFICATION
A.

Prequalification of Potential Vendors. General procurement provisions, including prequalification
of potential vendors, approved vendor lists, and small purchases, will be conducted in accordance
with the requirements set forth in Utah Code §§63G-6a-410, 506 and 507. This Subsection provides
additional procedures and is to be used in conjunction with the Utah Procurement Code.

B.

Approved Vendor Lists.
1.

Thresholds: The District may establish approved vendor lists in accordance with the
requirements of Utah Code §§63G-6a-410 and 507.
a.

Contracts or purchases from an approved vendor list may not exceed the
following thresholds:
i.
ii.
iii.

b.
14.7

Construction Projects: $400,000 per contract, for direct construction
costs, including design and allowable furniture or equipment costs,
awarded using an invitation for bids or a request for proposals;
Professional and General Services, including architectural and
engineering services: $250,000; and
Information Technology: $500,000.

Thresholds for other approved vendor lists may be established by the
Procurement Officer.

SPECIFICATIONS
A.

Content: The District will include in solicitation documents specifications for the procurement
item(s) being sought.
1.

2.

Economy and Competition: Specifications will be drafted with the objective of clearly
describing the District’s requirements and encouraging competition (Utah Code §63G-6a111).
a.

Specifications will emphasize the functional or performance criteria necessary to
meet the needs of the District.

b.

All specifications prepared for the solicitation of bids or proposals will seek to
promote over-all economy and best uses for the purposes intended and
encourage competition in satisfying the District's needs, and not be unduly
restrictive.

c.

The requirements of this subsection regarding the purposes and nonrestrictiveness of specifications shall apply to all specifications including, but not
limited to, those prepared for the District by architects, engineers, designers, and
draftsmen.

Conflicts Generally Prohibited: Except as specifically provided in this Subsection, persons
with a conflict of interest, or who anticipate responding to the proposal for which the
specifications are written, may not participate in writing specifications. A person may be

Staff Report Page 131

retained to assist in writing specifications, scopes of work, requirements, qualifications,
or other components of a solicitation. A person assisting in writing specifications shall not,
at any time during the procurement process, be employed in any capacity by, nor have
an ownership interest in, an individual, public or private corporation, governmental
entity, partnership, or unincorporated association bidding on or submitting a proposal in
response to the solicitation provided, however, that this restriction shall not apply to a
design build construction project or other procurements as determined in writing by the
Procurement Officer.
a.

A non-employee of the District (such as a consulting engineer) who has prepared
specifications for use by the District may participate in a District procurement
using those specifications only if the person declares, in a writing delivered to
the District Director, an intent to do so and the District Director makes a written
determination, which is placed in the bid or contract file, indicating that it is in
the best interest of the District to allow the identified non-employee to
participate in the procurement, including an identification of specific benefits
that are expected to be received by the District and a determination that
participation by the non-employee will not be prejudicial to the fair and equal
conduct of the procurement process.

b.

Violations may result in:
i.
ii.
iii.
iv.

3.

Brand Name or Equal Specifications:
a.

Brand name or equal specifications may be used when:
i.
ii.

4.

The bidder or offeror being declared ineligible to be awarded the
contract (Utah Code §63G-1-120; §63G-6a-904 and §63G-6a-2404);
The solicitation being canceled (Utah Code §63G-6a-902; §63G-6a-119);
Voiding of an awarded contract (Utah Code §63G-6a-2405); or
Any other action determined to be appropriate by the Board.

An "or equivalent" reference is included in the specification; and,
As many other brand names as practicable are also included in the
specification.

b.

Brand name or equal specifications should include a description of the particular
design and functional or performance characteristics which are required.
Specifications unique to the brands shall be described in sufficient detail to
enable a vendor to respond with an equivalent product.

c.

When a manufacturer's specification is used in a solicitation, the solicitation will
state the minimum acceptable requirements of an equivalent. When practicable,
the District will name at least two manufacturer's specifications.

Brand Name Sole Source Requirements:
a.

If only one brand can meet the requirement, the District will conduct the
procurement in accordance with Utah Code §63G-6a-802 of the Act and solicit
from as many providers of the brand as is practicable,

b.

If there is only one provider that can meet the requirement, the District will
conduct the procurement in accordance with Utah Code §63G-6a-802.

Staff Report Page 132

c.

14.8

Notwithstanding the foregoing, or anything to the contrary in this Policy, when
the equipment or other procurement items designated by brand name for a
construction project are projected to cost no more than ten percent (10%) of the
total cost of the construction project, a designated brand may be identified in
the specifications and the District will not be required to consider arguably
equivalent products.

COMPETITIVE PROCUREMENT
Request for Information: Before issuing an invitation for bids or a request for proposals, the
District may issue a request for information to determine whether to issue an invitation for bids or
request for proposals and generate interest in a potential procurement by the District as provided
in Utah Code §63G-6a-409.

A.

5.

6.

1.

A Request for Information is not a procurement process and may not be used to (i)
solicit cost, pricing, or rate information, (ii) negotiate fees, (iii) make a purchase, or (iv)
enter into a contract.

2.

The District is still required to use a standard procurement process or meet the
statutory requirements for an exemption to make an actual procurement.

3.

A response to a Request for Information is not an offer and may not be accepted to
form a binding contract.

4.

The purpose of a Request for Information is to:
a.

Obtain a wide range of information, including (a) the availability of a
procurement item, deliver schedules, industry standards and practices, product
specifications, training, new technologies, capabilities of potential providers of
a procurement item and alternate solutions from potential bidders or offerors
before issuing an Invitation to Bid or Request for Proposals;

b.

Determine whether to issue an Invitation to Bid or a Request for Proposals; and

c.

Generate interest in a potential Invitation to Bid or a Request for Proposals.

A Request for Information may be useful in order to:
a.

Prepare to issue an Invitation to Bid or a Request for Proposals for an
unfamiliar or complex procurement;

b.

Determine the market availability of a procurement item; or

c.

Determine best practices, industry standards, performance standards, product
specifications, and innovations relating to a procurement item.

A Request for Information may seek a wide range of information, including:
a.

Availability of a procurement item;

b.

Delivery schedules;

Staff Report Page 133

7.

c.

Industry standards and practices;

d.

Product specifications;

e.

Training;

f.

New technologies;

g.

Capabilities of potential providers of a procurement item; and

h.

Alternate solutions.

Information submitted to or by a governmental entity in response to a request for
information is protected under Utah Code §63G-2-305.

B.

Competitive Bids and Proposals - Over $100,000.00: Except as otherwise allowed by law and this
Procurement Policy, contracts for services, supplies, materials, or equipment where the amount
to be paid annually by the District is more than $100,000.00 shall be awarded only after
competitive sealed bids or proposals have been requested and received. Sealed written bids or
proposals are to be obtained for all such purchases in excess of $100,000.00 from at least three
suppliers (provided that there are at least three available suppliers willing to submit a bid or
proposal). Documentation regarding the sealed written bids or proposals is to be maintained by
the District and the purchase is to be documented as required by the District’s applicable rules and
regulations.

C.

Bidding Procedure: Competitive Sealed Bidding shall be conducted in accordance with the
requirements set forth in Utah Code §§63G-6a-602 through 63G-6a-608 and as provided in this
Procurement Policy.
1.

Invitation for Bids: Except as otherwise provided in this Procurement Policy, contracts
will generally be awarded by competitive sealed bidding. When a contract is to be
awarded by competitive sealed bidding, an invitation for bids will be issued.
a.

The invitation for bids shall include the information required by Utah Code §63G6a-603 and may include a "Bid Form" or forms which provide lines for bidder
information such as the following:
i.
ii.
iii.
iv.

b.

The bidder's bid price;
The bidder's acknowledged receipt of addenda issued by the District;
Identification by the bidder of other applicable submissions; and
The bidder's signature

Bidders may be required to submit descriptive literature and/or product samples
to assist in the evaluation of whether a procurement item meets the
specifications and other requirements set forth in the invitation for bids.
i.

Product samples must be furnished free of charge unless otherwise
stated in the invitation for bids and, if not destroyed by testing, will
upon written request within any deadline stated in the invitation for
bids, be returned at the bidder's expense. Samples must be labeled or
otherwise identified as specified in the invitation for bids.

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c.

Bid, payment and performance bonds or other security may be required for
procurement items as set forth in the invitation for bids. Bid, payment and
performance bond amounts shall be as prescribed by applicable law or be based
upon the estimated level of risk associated with the procurement item and may
not be increased above the estimated level of risk with the intent to reduce the
number of qualified bidders.

d.

Bids must be based upon a definite calculated price.
i.

ii.
iii.

2.

3.

"Indefinite quantity contract" means a fixed price contract for an
indefinite amount of procurement items to be supplied as ordered by
the District and does not require a minimum purchase amount, or
provide a maximum purchase limit;
"Definite quantity contract" means a fixed price contract that provides
for the supply of a specified amount of goods over a specified period,
with deliveries scheduled according to a specified schedule; and
Bids may not be based on using or referencing another bidder's price,
including a percentage discount, a formula, any other amount related
to another bidder's price, or conditions related to another bid.

Addenda to Invitation for Bids: Prior to the submission of bids, the District may issue
addenda which may modify any aspect of the invitation for bids.
a.

Addenda will be distributed within a reasonable time to allow prospective
bidders to consider the addenda in preparing bids.

b.

After the due date and time for submitting bids, at the discretion of the
Procurement Officer, addenda to the invitation for bids may be limited to bidders
that have submitted bids, provided the addenda do not make a substantial
change to the invitation for bids that, in the opinion of the Procurement Officer,
likely would have impacted the number of bidders responding to the invitation
for bids.

Pre-Bid Conferences/Site Visits:
a.

Pre-bid conferences and/or site visits may be conducted to explain the
procurement requirements. If there is to be a pre-bid conference or a site visit,
the time and place of the pre-bid conference/site visit should be stated in the
invitation for bids.

b.

A pre-bid conference or a site visit may be mandatory, but only if the invitation
for bids states that the conference/site visit is mandatory and provides the
location, date and time of the conference/site visit and also states that failure to
attend a mandatory conference/site visit shall result in the disqualification of any
bidder that does not attend.

c.

Attendance at a pre-bid conference may be conducted via any of the following
as determined by the Procurement Officer:
i.
ii.
iii.
iv.

Attendance in person;
Teleconference participation;
Webinar participation; or
Other approved electronic media.

Staff Report Page 135

d.

A site visit may generally only be attended in person provided, however, at the
discretion of the Procurement Officer, an audio or video recording of a site visit
may be used.

e.

Attendance and participation at all pre-bid conferences and site visits must be
by an authorized representative of the vendor submitting a bid and as may be
further specified in the invitation for bids.

f.

The District will maintain an attendance log including the name of each attendee,
the firm the attendee is representing, the attendee's contact information, and
any documents distributed to the attendees; and the District may maintain
minutes of the pre-bid conference/site visit.

g.

The District may, as appropriate, publish as an addendum to the solicitation:
i.
ii.
iii.

The attendance log;
Minutes of the pre-bid conference and any documents distributed to
the attendees at the pre-bid conference or site visit; or
Any oral modification made to any of the solicitation documents, which
shall be reduced to writing.

4.

Public Notice: Public notice of the invitation for bids is to be given at least seven days
prior to the date set forth therein for the opening of bids, in accordance with Utah Code
§63G-6a-112. The notice shall be published using one of the following methods: in a
newspaper of general circulation in the area, on the main website of the District, or on a
state website that is owned, managed by, or provided under contract with, the Utah
Division of Purchasing and General Services for posting a public procurement notice.
(Utah Code §63G-6a-112)

5.

Bids and Modifications to a Bid Received After the Due Date and Time:
a.

Bids and modifications to a bid submitted electronically or by physical delivery,
after the established due date and time, will not be accepted for any reason,
except as set forth in Section 14.8.C.5.d.

b.

When submitting a bid or modification electronically, bidders must allow
sufficient time to complete the online forms and upload documents. The
solicitation will end at the closing time posted in the electronic system, if
applicable. If a bidder is in the process of uploading a bid when the closing time
arrives, the bid or modification of the bid will not be accepted.

c.

When submitting a bid or modification to a bid by physical delivery (U.S. mail,
courier service, hand-delivery, or other physical means) bidders are solely
responsible for meeting the deadline. Delays caused by a delivery service or
other physical means will not be considered as an acceptable reason for a bid or
modification to a bid being late.
i.

d.

All bids or modifications to bids received by physical delivery will be
date and time stamped
.
To the extent that an error on the part of the District or an employee of the
District results in a bid or modification to a bid not being received by the

Staff Report Page 136

established due date and time, the bid or modification to a bid will be accepted
as being on time.
6.

Opening and Recording of Bids: Bids will be opened publicly in the presence of one or
more witnesses at the time and place designated in the invitation for bids. The amount
of each bid and any other relevant information specified herein, together with the name
of each bidder, shall be recorded. The record and each bid shall be open to public
inspection.

7.

Bid Correction, Withdrawal or Clarification:

8.

a.

The Procurement Officer may authorize in writing the correction or withdrawal
of an inadvertently erroneous bid up to five (5) business days of receipt of the
bid, but no later than one (1) business day after the submission deadline. A
decision to permit the correction or withdrawal of a bid must be in writing and
signed by the Procurement Officer.

b.

The Procurement Officer may allow a vendor to correct an immaterial error in a
responsive solicitation response. The Procurement Officer may not allow a
vendor to (i) correct a deficiency, inaccuracy or mistake in a responsive
solicitation response that is not an immaterial error, (ii) correct an incomplete
submission of documents that the solicitation required to be submitted with
the solicitation response, (iii) correct a failure to submit a timely solicitation
response, substitute or alter a required form or other document specified in
the solicitation, (iv) remedy a cause for a vendor being considered to be not
responsible or a solicitation response not responsive, or (v) correct a defect or
inadequacy resulting in a determination that a vendor’s solicitation response
does not meet the mandatory minimum requirements, evaluation criteria, or
applicable score thresholds established in the solicitation. Notwithstanding
anything to the contrary, a vendor may not change the total bid price after the
bid opening and before a contract is awarded. This does not apply to a change
in the contract price during contract administration.

c.

The Procurement Officer may make a written request to a vendor to clarify
information contained in a responsive solicitation response. A vendor’s
response may only explain, illustrate, or interpret the contents of the vendor’s
original solicitation response and may not be used to (i) address criteria or
specifications not contained in the vendor’s original solicitation response, (ii)
correct a deficiency, inaccuracy, or mistake in a solicitation response that is not
an immaterial error, (iii) correct an incomplete submission of documents that
the solicitation required to be submitted with the solicitation response, (iv)
correct a failure to submit a timely solicitation response, to substitute or alter a
required form or other document specified in the solicitation, to remedy a
cause for a vendor being considered to be not responsible or a solicitation
response not responsive, or (v) correct a defect or inadequacy resulting in a
determination that a vendor does not meet the mandatory minimum
requirements, evaluation criteria, or applicable score thresholds established in
the solicitation.

Re-solicitation of a Bid:
a.

Re-solicitation of a bid may occur if the Procurement Officer determines that:

Staff Report Page 137

i.
ii.
iii.
iv.
v.
b.
9.

10.

Re-solicitation may not be used to avoid awarding a contract to a qualified
vendor in an attempt to steer the award of a contract to a favored vendor.

Bid Award: Unless the District elects to cancel the procurement or re-solicit bids,
contracts are to be awarded with reasonable promptness by written notice to the lowest
responsive and responsible bidder whose bid meets the requirements and objective
criteria described in the invitation for bids.
a.

Bids shall be based on the lowest bid for the entire term of the contract,
excluding renewal periods and, unless an exception is authorized in writing by
the Procurement Officer, cost may not be divided or evaluated on any other basis
than the entire term of the contract, excluding renewal periods.

b.

In the event all bids for a construction project exceed available funds as certified
by the appropriate fiscal officer, and the low responsive and responsible bid does
not exceed such funds by more than 5%, the Procurement Officer or Board is
authorized, in situations where time or economic considerations preclude resolicitation of work of a reduced scope, to negotiate an adjustment of the scope
or bid price, including changes in the bid requirements, with the low responsive
and responsible bidder, in order to bring the bid within the amount of available
funds. The Procurement Officer may not adjust the bid requirements under this
provision where there is a substantial likelihood that, had the adjustment been
included in the invitation for bids, a person that did not submit a bid would have
submitted a responsive, responsible, and competitive bid.

Only One Bid Received:
a.

If only one responsive and responsible bid is received in response to an invitation
for bids, including multiple stage bidding, an award may be made to the single
bidder if the Procurement Officer determines that the price submitted is fair and
reasonable and other prospective bidders had a reasonable opportunity to
respond, or there is not adequate time for re-solicitation. Otherwise, the bid may
be rejected and:
i.
ii.
iii.

11.

A material change in the scope of work or specifications has occurred;
Procedures outlined in the Procurement Code were not followed;
Additional public notice is desired;
There was a lack of adequate competition; or
Any other reason exists that causes re-solicitation to be in the best
interest of the District.

A new invitation for bids solicited;
The procurement canceled; or
The procurement may be conducted as a sole source under Utah Code
§63G-6a-802.

Multiple or Alternate Bids:
a.

Multiple or alternate bids will not be accepted, unless otherwise specifically
required or allowed in the invitation for bids.

Staff Report Page 138

b.

12.

13.

If a bidder submits multiple or alternate bids that are not requested in the
invitation for bids, the Procurement Officer will only accept the bidder's primary
bid and will not accept any other bids constituting multiple or alternate bids.

Methods to Resolve Tie Bids:
a.

In accordance with Utah Code §63G-6a-608, in the event of tie bids, the contract
shall be awarded to the bidder that qualifies as a Utah resident bidder, provided
the bidder indicated on the invitation to bid form that it is a Utah resident bidder.

b.

If a Utah resident bidder is not identified, the preferred method for resolving tie
bids is for the Procurement Officer to toss a coin in the presence of a minimum
of three witnesses, with the firm first in alphabetical order being heads.

c.

Other methods to resolve a tie bid may be used as deemed appropriate by the
Procurement Officer.

Notice of Award:
a.

The District shall, on the day on which the award of a contract is announced,
make available to each bidder and to the public a notice that includes:
i.
ii.

14.

The name of the bidder to which the contract is awarded and the
price(s) of the procurement item(s); and
The names and the prices of each bidder to which the contract is not
awarded.

Multiple Stage Bidding Process: Multiple stage bidding shall be conducted in accordance
with the requirements set forth in Utah Code §63G-6a-609.
a.

The Procurement Officer may hold a pre-bid conference to discuss the multiple
stage bidding process or for any other permissible purpose.

D.

Unpriced Offers: When it is considered impractical to initially prepare a purchase description to
support an award based on price, an invitation for bids may be issued under Section 14.8.C
requesting the submission of unpriced offers to be followed by an invitation for bids limited to
those bidders whose offers have been qualified under the criteria set forth in the first solicitation.

E.

Competitive Sealed Proposals: Whenever the Procurement Officer or other designated employee
of the District determines that the use of competitive sealed bidding is either not practicable or
not advantageous to the District, a contract may be entered into using competitive sealed
proposals. A request for proposals (“RFP”) shall be subject to the Public Notice requirement of this
Procurement Policy and conducted in accordance with the requirements set forth in Utah Code
§§63G-6a-701 through 63G-6a-712 and as provided below.
1.

Content of the Request for Proposals:
a.

In addition to the requirements set forth under Utah Code §63G-6a-703, the
request for proposals solicitation shall include:
i.
ii.

A description of the format that offerors are to use when submitting a
proposal, including any required forms; and
Instructions for submitting price.

Staff Report Page 139

b.

The District is responsible for all content contained in the request for proposals
solicitation documents, including:
i.
ii.
iii.
iv.

2.

Multiple Stage RFP Process:
a.

A multiple stage request for proposals solicitation shall include:
i.
ii.

3.

Reviewing all schedules, dates, and timeframes;
Approving content of attachments;
Assuring that information contained in the solicitation documents is
public information; and
Understanding the scope of work and all evaluation criteria,
requirements, factors, and formulas to be used in determining the
scoring of proposals.

A description of the stages and the criteria and scoring that will be used
to evaluate proposals at each stage; and
The methodology used to determine which proposals shall be
disqualified from additional stages.

Exceptions to Terms and Conditions Published in the RFP:
a.

Offerors requesting exceptions and/or additions to the standard terms and
conditions published in the RFP must include the exceptions and/or additions
with the proposal response.

b.

Exceptions and/or additions submitted after the date and time for receipt of
proposals will not be considered unless there is only one offeror that responds
to the RFP, the exceptions and/or additions have been approved by the General
Counsel, and it is determined by the Procurement Officer that it is not beneficial
to the District to republish the solicitation.

c.

Offerors may not submit requests for exceptions and/or additions by reference
to a vendor's website or URL.

d.

The District may refuse to negotiate exceptions and/or additions:
i.
ii.
iii.
iv.
v.

e.

That are determined to be excessive;
That are inconsistent with similar contracts of the District;
To warranties, insurance or indemnification provisions that are
deemed, after consultation with the General Counsel, to be necessary
to protect the District;
Where the solicitation specifically prohibits exceptions and/or
additions; or
That are not in the best interest of the District.

If negotiations are permitted, the District may negotiate exceptions and/or
additions with offerors, beginning in order with the offeror submitting the
fewest exceptions and/or additions to the offeror submitting the greatest
number of exceptions and/or additions. Contracts may become effective as
negotiations are completed.

Staff Report Page 140

f.

4.

If, in the negotiation of exceptions and/or additions with a particular offeror, an
agreement is not reached, after a reasonable amount of time, as determined by
the Procurement Officer, the negotiations may be terminated, a contract will not
be awarded to that offeror, and the District may move to the next eligible
offeror.

Protected Records:
a.

The following are protected records, and may be redacted in accordance with
the Governmental Records Access and Management Act (GRAMA) Title 63G,
Chapter 2 of the Utah Code.
i.
ii.
iii.

b.

Any person requesting that a record be protected shall include with the proposal
or submitted document:
i.

ii.

5.

6.

Trade Secrets, as defined in Utah Code §13-24-2.
Commercial information or non-individual financial information subject
to the provisions of Utah Code §§63G-2-305(2) and (3).
Other Protected Records under GRAMA.

A written indication of which provisions of the proposal or submitted
document are claimed to be considered for business confidentiality or
to be protected (including trade secrets or other reasons for nondisclosure under GRAMA); and
A concise statement of the reasons supporting each claimed provision
of business confidentiality or other basis for protection. (Utah Code
§63G-2-309)

Notification:
a.

A person who complies with Section 14.8.E.4 will be notified by the District prior
to the public release of any information for which a claim of confidentiality has
been asserted.

b.

Except as provided by court order, the District may not be compelled to disclose
a record claimed to be protected under Section 14.8.E.4, but which the District
or State Records Committee determines should be disclosed until the period in
which to bring an appeal expires or the end of the appeal process, including
judicial appeal, is reached. This Subsection 14.8.E.5 does not apply where the
claimant, after notice, has waived the claim by not appealing or intervening
before the State Records Committee. To the extent allowed by law, the parties
to a dispute regarding the release of a record may agree in writing to an
alternative dispute resolution process.

c.

Any allowed disclosure of public records submitted in the request for proposals
process will be made only after the selection of the successful offeror(s) has been
made public.

Process for Submitting Proposals with Protected Business Confidential Information:
a.

If an offeror submits a proposal that contains information claimed to be business
confidential or protected information, the offeror must submit two separate
proposals:

Staff Report Page 141

i.
ii.

7.

One redacted version for public release, with all protected business
confidential information either blacked-out or removed, clearly marked
as "Redacted Version"; and
One non-redacted version for evaluation purposes clearly marked as
"Protected Business Confidential".

b.

Pricing may not be classified as business confidential and will be considered to
be public information.

c.

An entire proposal may not be designated as "PROTECTED", "CONFIDENTIAL" or
"PROPRIETARY" and shall be considered to be non-responsive unless the offeror
removes the designation.

Pre-proposal Conferences/Site Visits:
a.

Pre-proposal conferences/site visits may be conducted to explain the
procurement requirements. If there is to be a pre-proposal conference or site
visit, the time and place of the pre-proposal conference/site visit shall be stated
in the RFP.

b.

Pre-proposal conference/site visits may be mandatory, but only if the RFP states
that the pre-proposal conference/site visit is mandatory and provides the
location, date and time of the site visit and also states that failure to attend a
mandatory pre-proposal conference/site visit shall result in the disqualification
of any offeror that does not attend.

c.

Attendance at a pre-proposal conference may be conducted via any of the
following as determined by the Procurement Officer:
i.
ii.
iii.
iv.

Attendance in person;
Teleconference participation;
Webinar participation; or
Other approved electronic media

d.

A site visit may generally only be attended in person provided, however, at the
discretion of the Procurement Officer, an audio or video recording of a site visit
may be used.

e.

Attendance and participation at all pre-proposal conferences and site visits must
be by an authorized representative of the vendor submitting a proposal and as
may be further specified in the RFP.

f.

The District will maintain an attendance log including the name of each attendee,
the firm the attendee is representing, the attendee's contact information, and
any documents distributed to the attendees; and the District may maintain
minutes of the pre-proposal conference/site visit.

g.

The District may, as appropriate, publish as an addendum to the solicitation:
i.
ii.

The attendance log;
Minutes of the pre-proposal conference and any documents distributed
to the attendees at the pre-proposal conference or site visit; or

Staff Report Page 142

iii.
8.

Any oral modification made to any of the solicitation documents, which
shall be reduced to writing.

Addenda to Request for Proposals:
a.

Addenda to a Request for Proposals may be made for the purpose of making
changes to:
i.
ii.
iii.
iv.
v.
vi.

The scope of work;
The schedule;
The qualification requirements;
The criteria;
The weighting; or
Other requirements of the RFP.

b.

Addenda shall be published within a reasonable time prior to the deadline that
proposals are due, to allow prospective offerors to consider the addenda in
preparing proposals. Publication at least 5 calendar days prior to the deadline
that proposals are due shall be deemed a reasonable time. Minor addenda and
urgent circumstances may justify a shorter period of time.

c.

After the due date and time for submitting a response to a request for proposals,
at the discretion of the Procurement Officer, addenda to the request for
proposals may be limited to offerors that have submitted proposals, provided
the addenda does not make a substantial change to the RFP that, in the opinion
of the Procurement Officer, likely would have impacted the number of offerors
responding to the original publication of the RFP.

9.

Modification or Withdrawal of Proposal Prior to Deadline: A proposal may be modified
or withdrawn prior to the established due date and time for responding.

10.

Proposals and Modifications, Delivery and Time Requirements: To the extent that an
error on the part of the District or an employee of the District results in a proposal or
modification to a proposal not being received by the established due date and time, the
proposal or modification to a proposal shall be accepted as being on time. Otherwise, the
following shall apply:
a.

Proposals and modifications to a proposal submitted electronically or by physical
delivery, after the established due date and time, will not be accepted for any
reason.

b.

When submitting a proposal or modification to a proposal electronically, offerors
must allow sufficient time to complete the online forms and upload documents.
The solicitation will end at the closing time posted in the electronic system. If an
offeror is in the process of uploading a proposal when the closing time arrives,
the proposal or modification to a proposal will not be accepted.

c.

When submitting a proposal or modification to a proposal by physical delivery
(U.S. mail, courier service, hand-delivery, or other physical means) offerors are
solely responsible for meeting the deadline. Delays caused by a delivery service
or other physical means will not be considered as an acceptable reason for a
proposal or modification to a proposal being late.

Staff Report Page 143

i.
11.

12.

All proposals or modifications to proposals received by physical delivery
will be date and time stamped by the District.

Proposal Correction, Withdrawal or Clarification
a.

The Procurement Officer may authorize in writing the correction or withdrawal
of an unintentionally erroneous proposal up to five (5) business days of receipt
of the bid, but no later than one (1) business day after the submission deadline.
A decision to permit the correction or withdrawal of a proposal must be in
writing and signed by the Procurement Officer.

b.

The Procurement Officer may allow a vendor to correct an immaterial error in a
responsive solicitation response. The Procurement Officer may not allow a
vendor to (i) correct a deficiency, inaccuracy or mistake in a responsive
solicitation response that is not a immaterial error, (ii) correct an incomplete
submission of documents that the solicitation required to be submitted with
the solicitation response, (iii) correct a failure to submit a timely solicitation
response, substitute or alter a required form or other document specified in
the solicitation, (iv) remedy a cause for a vendor being considered to be not
responsible or a solicitation response not responsive, or (v) correct a defect or
inadequacy resulting in a determination that a vendor’s solicitation response
does not meet the mandatory minimum requirements, evaluation criteria, or
applicable score thresholds established in the solicitation. Notwithstanding
anything to the contrary, after the deadline for submitting a cost proposal and
before a contract is awarded, a vendor may not change the total amount of a
cost proposal. This does not apply to a change in the contract price during
contract administration.

c.

The Procurement Officer may make a written request to a vendor to clarify
information contained in a responsive solicitation response. A vendor’s
response may only explain, illustrate, or interpret the contents of the vendor’s
original solicitation response and may not be used to (i) address criteria or
specifications not contained in the vendor’s original solicitation response, (ii)
correct a deficiency, inaccuracy, or mistake in a solicitation response that is not
an immaterial error, (iii) correct an incomplete submission of documents that
the solicitation required to be submitted with the solicitation response, (iv)
correct a failure to submit a timely solicitation response, to substitute or alter a
required form or other document specified in the solicitation, to remedy a
cause for a vendor being considered to be not responsible or a solicitation
response not responsive, or (v) correct a defect or inadequacy resulting in a
determination that a vendor does not meet the mandatory minimum
requirements, evaluation criteria, or applicable score thresholds established in
the solicitation.

Evaluation of Proposals:
a.

The evaluation of proposals shall be conducted in accordance with Part 7 of the
Utah Procurement Code.

b.

An evaluation committee may ask questions of offerors to clarify proposals. A
record of questions and answers shall be maintained in the file.

Staff Report Page 144

c.

The Procurement Officer may authorize an evaluation committee to receive
assistance from an expert or consultant who is not a member of the evaluation
committee and does not participate in the evaluation scoring in order to better
understand a technical issue involved in the procurement.

d.

The evaluation of cost in an RFP shall be assigned to an individual who is not a
member of the evaluation committee and shall calculate scores for cost based
on the entire term of the contract, excluding renewal periods.
i.
ii.

13.

14.

Unless an exception is authorized in writing by the Procurement Officer,
cost should not be artificially divided or evaluated on any other basis
than the entire term of the contract, excluding renewal periods.
Whenever practicable, the evaluation of cost should include
maintenance and service agreements, system upgrades, apparatuses,
and other components associated with the procurement item.

Correction or Withdrawal of Proposal:
a.

In the event an offeror submits a proposal that on its face appears to be
impractical, unrealistic or otherwise in error, the Procurement Officer may
contact the offeror to either confirm the proposal, permit a correction of the
proposal, or permit the withdrawal of the proposal, in accordance with Utah
Code §63G-6a-114.

b.

Offerors may not correct errors, deficiencies, or incomplete responses in a
proposal that has been determined to be not responsible or not responsive, or
that does not meet the mandatory minimum requirements stated in the request
for proposals.

Interviews and Presentations:
a.

The evaluation committee may enter into discussions or conduct interviews
with, or attend presentations by the offerors for the purpose of clarifying
information contained in proposals. In a discussion, interview or presentation,
an offeror may not explain, illustrate, or interpret the contents of the offeror’s
original proposal, and may not (i) address criteria or specifications not
contained in the offeror’s original proposal, (ii) correct a deficiency, inaccuracy,
or mistake in a proposal that is not an immaterial error, (iii) correct an
incomplete submission of documents that the solicitation required to be
submitted with the proposal, (iv) correct a failure to submit a timely proposal,
(v) substitute or alter a required form or other document specified in the
solicitation, (vi) remedy a cause for an offeror being considered to be not
responsible or a proposal not responsive, or (vii) correct a defect or inadequacy
resulting in a determination that an offeror does not meet the mandatory
minimum requirements, evaluation criteria, or applicable score thresholds
established in the solicitation.

b.

Offerors invited to interviews or presentations shall be limited to those offerors
meeting minimum requirements specified in the RFP.

c.

Representations made by the offeror during interviews or presentations shall
become an addendum to the offeror's proposal and shall be documented.

Staff Report Page 145

Representations must be consistent with the offeror's original proposal and may
only be used for purposes of clarifying or filling in gaps in the offeror's proposal.
d.

15.

The Procurement Officer shall establish a date and time for the interviews or
presentations and shall notify eligible offerors of the procedures. Interviews and
presentations will be at the offeror's expense.

Best and Final Offers: Best and final offers (BAFO) shall be requested in accordance with
Utah Code §63G-6a-707.5 and this Procurement Policy.
a.

b.

The BAFO process is an optional step in the evaluation phase of the request for
proposals process in which offerors are requested or given an opportunity to
modify their proposals. At any time during the evaluation process, the
evaluation committee, with the approval of the Procurement Officer, may
request best and final offers from responsible offerors who have submitted
responsive proposals that meet the minimum qualifications, evaluation criteria,
or applicable score thresholds identified in the Request for Proposals, if any
one of the following applies:
i.

No single proposal addresses all the specifications stated in the
Request for Proposals.

ii.

All or a significant number of the proposals are ambiguous on a
material point and the evaluation committee requires further
clarification in order to conduct a fair evaluation of proposals.

iii.

The evaluation committee needs additional information from all
offerors to complete the evaluation of proposals.

iv.

The differences between proposals in one or more material aspects
are too slight to allow the evaluation committee to distinguish
between proposals.

v.

All cost proposals are too high or over budget.

vi.

Another reason exists supporting a request for best and final offers.

Proposal modifications submitted in response to a request for best and final
offers may only address the specific issues and/or sections of the RFP described
in the request for best and final offers.
i.

c.

An offeror may not use the best and final offers process to correct a
material error or other deficiencies in the offeror’s proposal not called
for in the request for best and final offers issued by the District.

When a request for best and final offers is issued to reduce cost proposals,
offerors shall submit itemized cost proposals which clearly indicate the tasks or
scope reductions that can be implemented to bring costs within the available
budget.
i.

The cost information of one offeror may not be disclosed to a
competing offeror during the best and final offers process and such cost

Staff Report Page 146

information shall not be shared with other offerors until after the
contract has been awarded.
ii.

d.

The best and final offers process may only be conducted during the evaluation
phase of the RFP process and may not be conducted as part of the contract
negotiation process.

e.

The District may not use the best and final offers process to allow offerors a
second opportunity to propose on the entire RFP.

f.

If a proposal modification is made orally during the interview or presentation
process, the modification must be confirmed in writing.

g.

A request for best and final offers shall:
i.
ii.
iii.

16.

he District shall ensure that auction tactics are not used in the
discussion process, including discussing and comparing the costs and
features of other proposals.

Comply with all public notice requirements provided in Utah
Code §63G-6a-112;
Include a deadline for submission that allows offerors a reasonable
opportunity to prepare and submit their responses; and
Indicate how proposal modifications in response to a request for best
and final offers will be evaluated.

h.

If an offeror does not submit a best and final offer, its immediate previous
proposal will be considered as its best and final offer.

i.

Unsolicited best and final offers will not be accepted.

Cost-benefit Analysis Exception: CM/GC:
a.

A cost-benefit analysis is not required if the contract is awarded based solely on
the qualifications of the construction manager/general contractor and the
management fee described in Utah Code §63G-6a-707(10(b), provided:
i.

A competitive process is maintained by the issuance of a request for
proposals that requires the offeror to provide, at a minimum:
(a)
(b)
(c)
(d)

ii.

A management plan;
References;
Statements of qualifications; and
A management fee which contains only the following:
(i)
Preconstruction phase services;
(ii)
Monthly supervision fees for the construction phase;
and
(iii)
Overhead and profit for the construction phase.

The awarded contract must be in the best interest of the District.

Staff Report Page 147

17.

Only One Proposal Received:
a.

If only one proposal is received in response to a request for proposals, the
evaluation committee may conduct a review to determine if:
i.
ii.
iii.

18.

The proposal meets the minimum requirements;
Pricing and terms are reasonable; and
The proposal is in the best interest of the District.

b.

If the evaluation committee determines that the proposal meets the minimum
requirements, pricing and terms are reasonable, and the proposal is in the best
interest of the District, the District may make an award.

c.

If an award is not made, the District may either cancel the procurement or
resolicit for the purpose of obtaining additional proposals.

Evaluation Committee Procedures for Scoring Criteria Other Than Cost:
a.

In order to prevent the evaluation committee from analyzing proposals that
cannot be considered for award, either the evaluation committee, or the
Procurement Officer prior to distributing copies of proposals to the evaluation
committee, may conduct an initial review of any applicable pass/fail minimum
requirements set forth in the RFP to determine whether the proposals are
responsive and responsible or are in violation of the Procurement Code or this
Policy. The evaluation committee should not evaluate proposals deemed nonresponsive or non-responsible or that have been disqualified for a violation of
the Utah Procurement Code or this Procurement Policy. Examples of pass/fail
minimum requirements include:
i.
ii.
iii.
iv.
v.
vi.
vii.
viii.
ix.
x.

b.

Timeliness of receipt of the proposal;
Qualification;
Certification;
Licensing;
Experience;
Compliance with state or federal regulation;
Services provided;
Product availability;
Equipment; and
Other pass/fail minimum requirements set forth in the RFP.

The evaluation and scoring of proposals in the RFP process shall be conducted in
accordance with the following procedures:
i.

Prior to the scoring of proposals, the Procurement Officer will meet
with the evaluation committee and any staff members who will have
access to the proposals to:
(a)
(b)

Discuss the evaluation and scoring process to ensure that each
committee member has a clear understanding of the scoring
process and how points will be assigned;
Discuss requirements regarding conflicts of interest, the
appearance of impropriety, and the importance of
confidentiality;

Staff Report Page 148

(c)
(d)

ii.

Discuss the scoring sheet and evaluation criteria set forth in
the RFP; and
Provide a copy of relevant portions of this Procurement Policy
to the evaluation committee and any staff members who will
have access to the proposals.

Once the proposals have been received and it is clear which offerors will
be involved in the RFP process, each member of the evaluation
committee may be asked to sign a written statement certifying that
he/she does not have a conflict of interest, as set forth in Utah Code
§63G-6a-707(5)(b) and in this Procurement Policy.

c.

Unless an exception is authorized by the Procurement Officer, in order to avoid
cost influencing the evaluation committee’s scoring of non-price criteria, in
accordance with Utah Code §63G-6a-707(7), costs may not be revealed to the
evaluation committee until after the committee has finalized its scoring on all
other technical non-price criteria stated in the RFP.

d.

After receipt of proposals, each committee member shall independently read
and score each proposal based on the technical non-price criteria set forth in the
RFP to assess the completeness, quality, and desirability of each proposal.
i.

Proposals must be evaluated solely on the criteria stated in the RFP.
(a)
(b)
(c)

Past performance ratings and references may be considered if
listed as evaluation criteria in the RFP.
Personal opinions based on prior experience with a
procurement item or the offeror are not to be considered in
scoring proposals, except as provided in the RFP.
Personal favoritism for a vendor or bias against a vendor
cannot be considered in scoring proposals, but a committee
member may properly have a bias based upon the review of a
proposal in comparison to the criteria stated in the RFP.

ii.

Evaluators are encouraged to request technical support from the
Procurement Officer when conducting their independent assessments
and scoring.

iii.

After the proposals have been evaluated and scored by the individual
committee members, the entire committee shall meet to discuss the
proposals; if applicable, to conduct interviews; to resolve any factual
disagreements; and to arrive at the final scoring. All committee
members must be present in person or by electronic means to take any
official action.
(a)

If a committee member does not attend an evaluation
committee meeting (including electronic attendance), the
member may be removed from the evaluation committee and
the remainder of the committee may take official action,
provided there are at least three evaluation committee
members remaining.

Staff Report Page 149

e.

iv.

If there are mandatory minimum requirements, those offerors not
meeting the requirements will be eliminated from further
consideration.

v.

During committee discussions, each member may change his/her initial
scoring. If additional information or clarification is needed from an
offeror, the committee may, with approval by the Procurement Officer,
request information or clarification from an offeror. Such request will
only be approved if it can be done in a manner that is fair to all offerors.

vi.

At any time during the evaluation process, the evaluation committee
may, with the approval of the Procurement Officer, request best and
final offers from responsible and responsive offerors and evaluate
those offers in accordance with Utah Code §63G-6a-707.5 and
applicable portions of this Procurement Policy.

vii.

Each evaluation committee member shall turn in a completed scoring
sheet, signed and dated by the evaluation committee member.

The evaluation committee may tally the final scores for criteria other than cost
to arrive at a consensus score by either of the following methods:
i.
ii.

f.

The evaluation committee shall submit its final recommended scores for all
criteria other than cost to the Procurement Officer.

g.

In accordance with Utah Code §63G-6a-707, the District shall do the following:
i.
ii.
iii.

Review the evaluation committee’s final recommended scores for each
proposal for all criteria other than cost;
Score cost based on the applicable scoring formula; and
Calculate the total combined score for each responsive and responsible
proposal.

h.

The evaluation committee and/or the Procurement Officer shall prepare the cost
justification statement and any applicable cost-benefit analysis in accordance
with Utah Code §§63G-6a-707 and 708.

i.

The District may replace any member on the evaluation committee or
reconstitute the committee in any way the District deems appropriate to cure an
impropriety. If the impropriety cannot be cured by replacing a committee
member, then a new evaluation committee may be appointed or the
procurement may be cancelled.
j.

19.

Total of all of the points given by individual committee members; or
An average of the individual scores.

Nothing in this Policy shall preclude the Procurement Officer from
serving on an evaluation committee.

Criteria for Scoring Criteria Other Than Cost:

Staff Report Page 150

a.

Scoring of evaluation criteria other than cost, for proposals apparently meeting
the mandatory minimum requirements stated in an RFP, shall be based on a one
through five point scoring system.

b.

Points shall be awarded to each applicable evaluation category as set forth in the
RFP which may include:
i.
ii.
iii.
iv.
v.
vi.
vii.
viii.
ix.

c.

Scoring Methodology:
i.
ii.
iii.
iv.
v.

20.

Technical specifications;
Qualifications and experience;
Programming;
Design;
Time, manner, or schedule of delivery;
Quality or suitability for a particular purpose;
Financial solvency;
Management and methodological plan; and
Other requirements specified in the RFP.

Five points (Excellent): The proposal addresses and exceeds all of the
requirements described in the RFP.
Four points (Very Good): The proposal addresses all of the
requirements described in the RFP and, in some respects, exceeds
them.
Three points (Good): The proposal addresses all of the requirements
described in the RFP in a satisfactory manner.
Two points (Fair): The proposal addresses the requirements described
in the RFP in an unsatisfactory manner.
One point (Poor): The proposal fails to address the requirements
described in the RFP or addresses the requirements inaccurately or
poorly.

Minimum Score Thresholds: The District may establish minimum score thresholds for
any RFP procurement to advance proposals from one stage in the RFP process to the next,
including contract award.
a.

If minimum score thresholds are established for a procurement, the RFP must
clearly describe the minimum score threshold that proposals must achieve in
order to advance to the next stage in the RFP process or to be awarded a
contract.

b.

Minimum score thresholds may be based on:
i.
ii.
iii.

c.

Minimum scores for each evaluation category;
The total of each minimum score in each evaluation category based on
total points available; or
A combination of (i) and (ii).

Minimum score thresholds may not be based on:
i.
ii.

A natural break in scores that was not defined and set forth in the RFP;
or
A predetermined number of offerors.

Staff Report Page 151

21.

Evaluation Committee Members Required to Exercise Independent Judgment:
a.

Evaluation committee members are expected to exercise independent judgment
in a manner that is not dependent on anyone else’s opinion or desires. As such,
committee members must not allow their scoring to inappropriately be
influenced by another person’s wishes that additional or fewer points be
awarded to a particular offeror.

b.

Evaluators may seek to increase their knowledge before scoring by asking
questions and seeking appropriate information from the Procurement Officer.
Otherwise, evaluators should not discuss proposals or the scoring of proposals
with other persons who are not on the evaluation committee.

c.

The exercise of independent judgment applies not only to possible inappropriate
influences from outside the evaluation committee, but also to inappropriate
influences from within the committee. It is acceptable for there to be discussion
and debate within the committee regarding how well a proposal meets the
evaluation criteria. However, open discussion and debate may not be allowed
to lead to coercion or intimidation on the part of one committee member in an
attempt to influence the scoring of another committee member.
i.

22.

23.

Evaluators may not act on their own or in concert with another
evaluation committee member to inappropriately steer an award to a
favored vendor or to disfavor a particular vendor.

d.

Evaluators are required to report to the Procurement Officer any attempt by
another committee member to improperly influence the scoring to favor or
disfavor a particular offeror.

e.

If an evaluator feels that his/her independence has been compromised, that
person must recuse himself/herself from the evaluation process.

Professional Services other than Architecture, Engineering and Surveying:
a.

A contract with a consultant providing professional or technical services, such as
accounting and legal services, may be awarded using the RFP procedure or as a
small purchase.

b.

Contracts with consultants providing professional or technical services, such as
accounting and legal services, may be extended from year-to-year in the
discretion of the Board and after consulting the General Counsel (Utah Code
§63G-1-802.7).

Publicizing Awards:
a.

The following shall be disclosed after receipt of a GRAMA request and payment
of any lawfully enacted and applicable fees:
i.

The contract(s) entered into as a result of the selection and the
successful proposal(s), except for those portions that are to be nondisclosed under Section 14.8.E.4;

Staff Report Page 152

ii.
iii.
iv.
v.
vi.
b.

The following may impair the District’s procurement proceedings or give an
unfair advantage to a person proposing to enter into a contract or agreement
with the District, and may not be disclosed by the District to the public, including
under a GRAMA request:
i.
ii.
iii.
iv.

24.

The unsuccessful proposals, except for those portions that are not to be
disclosed;
The rankings of the proposals;
The names of the members of any evaluation committee (reviewing
authority);
The final total or average scores used by the evaluation committee to
make the selection (in no event will the names of the individual scorers
be associated with their individual scores or rankings); and
The written justification statement supporting the selection, except for
those portions that are not to be disclosed.

The names of individual scorers/evaluators in relation to their individual
scores or rankings;
Any individual scorer's/evaluator's notes, drafts, or working
documents;
Non-public financial statements; and
Past performance and reference information, which is not provided by
the offeror and which is obtained as a result of the efforts of the District.
To the extent such past performance or reference information is
included in the written justification statement; it is subject to public
disclosure.

Timing of Rejection: As provided in Utah Code §63G-6a-120, the District may, at anytime
during the RFP process, reject a proposal based on a determination that the submitter of
the proposal is not responsible or the proposal is not responsive. As such, the evaluation
committee may make a determination that a proposal is nonresponsive or not
responsible at any time even if the proposal initially passed the pass/fail review.

F.

Annual Renewals of Purchase Contracts: Unless the District has an approved contract with a
longer term than one year or it is desirable to extend or continue purchases from the same source
as allowed under this Procurement Policy, the purchase of supplies, materials and equipment on
a monthly or other recurring basis is to be the subject of an annual bid, proposal or competitive
quotation procedure, as determined to be appropriate by the Procurement Officer.

G.

Conformity to Solicitation Requirements:
1.

Rejection:
a.

Any bid or offer that fails to conform to the essential requirements of the
solicitation shall be rejected.

b.

Any bid or offer that does not conform to the applicable specifications shall be
rejected unless the solicitation authorized the submission of alternate bids or
offers and the procurement item(s) offered as alternates meet the requirements
specified in the solicitation.

Staff Report Page 153

c.
2.

3.

H.

Any bid or offer that fails to conform to the delivery schedule or permissible
alternates stated in the solicitation shall be rejected.

Conditions or Exceptions: A bid or offer shall be rejected when the bidder or offeror
imposes conditions or takes exceptions that would modify requirements or terms and
conditions of the solicitation or limit the bidder or offeror's liability to the District, since
to allow the bidder or offeror to impose such conditions or take exceptions would be
prejudicial to other bidders or offerors. For example, bids or offers shall be rejected in
which the bidder or offeror:
a.

For commodities, protects against future changes in conditions, such as
increased costs, if total possible costs to the District cannot be determined;

b.

Fails to state a price and indicates that price will be the price in effect at time of
delivery or states a price but qualifies it as being subject to the price in effect at
the time of delivery;

c.

When not authorized by the solicitation, conditions or qualifies a bid by
stipulating that it is to be considered only if, before the date of award, the bidder
or offeror receives (or does not receive) an award under a separate solicitation;
or

d.

Limits any right of the District under any contract clause.

Deletion: A bidder or offeror may be requested to delete objectionable conditions from
a bid or offer, provided doing so is not prejudicial to other bidders or offerors, or the
conditions do not go to the substance, as distinguished from the form, of the bid or
proposal. A condition goes to the substance of a bid or offer where it affects price,
quantity, quality, or delivery of the offered procurement item(s).

Unreasonable or Unbalanced Pricing:
1.

Rejection:
a.

Any bid or offer may be rejected if the Procurement Officer determines in writing
that it is unreasonable as to price. Unreasonableness of price includes not only
the total price of the bid or offer, but also the prices for individual line items.

b.

Any bid or offer may be rejected if the prices for any line item or subline item are
materially unbalanced. Unbalanced pricing may increase performance risk and
could result in payment of unreasonably high prices. Unbalanced pricing exists
when, despite an acceptable total evaluated price, the price of one or more line
items is significantly overstated or understated as indicated by the application of
cost or price analysis techniques. The greatest risks associated with unbalanced
pricing occur when:
i.
ii.
iii.

Startup work, mobilization, procurement item sample production or
testing are separate line items;
Base quantities and optional quantities are separate line items; or
The evaluated price is the aggregate of estimated quantities to be
ordered under separate line items of an indefinite-delivery contract.

Staff Report Page 154

c.

All bids or offers with separately priced line items or subline items may be
analyzed to determine if the prices are unbalanced. If cost or price analysis
techniques indicate that an offer is unbalanced, the District shall:
i.
ii.

d.

I.

J.

14.9

Consider the risks to the District associated with the unbalanced pricing
in determining the competitive range and in making the source
selection decision; and
Consider whether award of the contract will result in paying
unreasonably high prices for contract performance.

A bid or offer may be rejected if the Procurement Officer determines that the
lack of balance poses an unacceptable risk to the District.

Rejection for Nonresponsibility or Nonresponsiveness:
1.

Nonresponsible Bidder or Offeror: Subject to Utah Code §63G-6a-120, the Procurement
Officer shall reject a bid or offer from a bidder or offeror that is determined to be
nonresponsible. A responsible bidder or offeror is defined in Utah Code §63G-6a-103(74).
The unreasonable failure of a bidder or offeror to promptly supply information in
connection with an inquiry with respect to responsibility may be grounds for a
determination of non-responsibility of that bidder or offeror. If a bid is rejected due to
nonresponsibility, such shall be documented in writing by the Procurement Officer.

2.

Nonresponsive Offer: In accordance with Utah Code §63G-6a-120, the Procurement
Officer may not accept a bid or proposal that is not responsive. Responsiveness is defined
in Utah Code §63G-6a-103(75).

3.

Bid Security Failure: When bid security is required and a bidder fails to furnish the
security in accordance with the requirements of the invitation for bids, the bid shall be
rejected. (Utah Code §63G-6a-1102)

4.

Documentation: The originals of all rejected bids, offers, or other submissions, and all
written findings with respect to such rejections, shall be made part of the procurement
file and be available for public inspection.

Rejection for Suspension/Debarment:
Bids, offers, or other submissions received from any vendor that is suspended, debarred, or
otherwise ineligible as of the due date for receipt of bids, proposals, or other submissions shall
be rejected.

CANCELLATION, REJECTION AND DEBARMENT
A.

General Provisions:
1.

Cancellation: An Invitation for Bids, a Request for Proposals, or other solicitation may be
canceled prior to the deadline for receipt of bids, proposals, or other submissions, when
it is in the best interest of the District as determined by the Procurement Officer. In the
event a solicitation is cancelled, the written justification for cancellation shall be made
part of the procurement file and shall be available for public inspection and the District
shall:
a.

Re-solicit new bids or proposals using the same or revised specifications; or

Staff Report Page 155

b.
2.

3.

B.

Withdraw the requisition for the procurement item(s).

Rejection of Bids and Proposals: The Procurement Officer may reject a bid or proposal
for:
a.

A violation of the Utah Procurement Code or this Procurement Policy by the
offeror;

b.

A violation of a requirement of the Invitation for Bids or Request for Proposals
by the offeror;

c.

Unlawful or unethical conduct by the offeror;

d.

A change in the offeror’s circumstance that, had the change been known at the
time the proposal was submitted, would have caused the proposal to not have
the highest score;

e.

A failure by the offeror to sign a contract within ninety (90) calendar days after
the contract award;

f.

The offeror not being responsible; or

g.

The bid or proposal not being responsive or not meeting the mandatory
minimum requirements, evaluation criteria, or applicable score thresholds
stated in the solicitation.

Documentation: The reason(s) for cancellation or rejection shall be in the form of a
written finding, which is made part of the contract file and is available for public
inspection. In all cases, a copy of the written finding shall be provided to the offeror whose
bid or proposal was rejected.

Re-solicitation:
1.

2.

No Response: In the event there is no response to an initial solicitation, the Procurement
Officer may:
a.

Contact the known supplier community to determine why there were no
responses to the solicitation;

b.

Research the potential vendor community; and,

c.

Based upon the information obtained under (a) and (b), modify the solicitation
documents.

Inadequate Supplemental Response: If the District has modified the solicitation
documents and, after the re-issuance of a solicitation, there is still no competition or there
is insufficient competition, the Procurement Officer may:
a.

Further modify the procurement documents; or,

b.

Cancel the requisition for the procurement item(s).

Staff Report Page 156

C.

Cancellation Before Award. When it is determined before award but after opening that the
specifications, scope of work or other requirements contained in the solicitation documents were
not met by any bidder or offeror, the solicitation shall be cancelled.
1.

14.10

Determination: Solicitations may be cancelled before award but after opening all bids or
offers when the Procurement Officer determines in writing that:
a.

Inadequate or ambiguous specifications were cited in the solicitation;

b.

The specifications in the solicitation have been or must be revised;

c.

The procurement item(s) being solicited are no longer required;

d.

The solicitation did not provide for consideration of all factors of cost to the
District, such as cost of transportation, warranties, service and maintenance;

e.

Bids or offers received indicate that the needs of the District might be satisfied
by a less expensive procurement item differing from that in the solicitation;

f.

Except as provided in Utah Code §63G-6a-607, all otherwise acceptable bids or
offers received are at unreasonable prices, or only one bid or offer is received
and the Procurement Officer cannot determine the reasonableness of the bid
price or cost proposal;

g.

The responses to the solicitation were not independently arrived at in open
competition, were collusive, or were submitted in bad faith; or

h.

No responsive bid or offer has been received from a responsible bidder or
offeror;

D.

Alternative to Cancellation. In the event administrative difficulties are encountered, before
award but after the deadline for submissions, that may delay the award beyond the bidders' or
offerors' acceptance periods, the bidders or offerors should be requested, before the expiration
of their bids or offers, to extend in writing the acceptance period (with the consent of sureties, if
any) in order to avoid the need for cancellation.

E.

Continuation of Need. If the solicitation has been cancelled for the reasons specified herein, the
Procurement Officer has made the determination required hereunder, and the District has an
existing contract, the District may permit an extension of the existing contract under Utah Code
§63G-6a-802.7.

EXCEPTIONS – PROCUREMENT WITHOUT COMPETITION
A.

Contracts Awarded Without Competition: The Procurement Officer or the Board, through
appropriate action, may determine that a specific contract for a supply, service or construction
item should be awarded without receipt or review of competitive bids or proposals if one of the
circumstances stated in 1 through 5 below exists. In the event that a contract is awarded without
competition for one of these reasons, a written determination of both the reason for purchasing
or contracting without competition as well as the basis for the selection of the particular contractor

Staff Report Page 157

and/or supplier will be recorded. With these written determinations, a record containing the
contractor’s or supplier’s name, the amount and type of the contract, the total dollar value of the
procurement item including, when applicable, the actual or estimated full life-cycle cost of
maintenance and of the service agreement, the duration of the proposed sole source contract,
documentation that there is no other competing source for the procurement item (unless the
procurement is under 1.b or c below), a description of the procurement item, and any other
information desired by the Procurement Officer will be maintained in the contract file.
1.

Sole Source:
a.

Sole source procurements shall be conducted in accordance with requirements
set forth in Utah Code §63G-6a-802. A sole source procurement may be
conducted if:
i.
ii.

iii.
iv.

2.

There is only one source for the procurement item;
The transitional costs are a significant consideration in selecting a
procurement item and the results of a cost-benefit analysis
demonstrate that transitional costs are unreasonable or costprohibitive, and that the award of a contract without engaging in a
standard procurement process is in the best interest of the District;
The award of a contract is under circumstances that make awarding the
contract through a standard procurement process impractical and not
in the best interest of the District; or
The procurement item is needed for trial use or testing pursuant to
Utah Code §63G-6a-802.3 to determine whether the procurement item
will benefit the District.

b.

Sole source procurements over $50,000 shall be published, and less costly sole
source procurements may be published, in accordance with Utah Code §63G-6a802(3).

c.

Upon receipt of information contesting a sole source procurement, the
Procurement Officer shall conduct an investigation to determine the validity of
the challenge and make a written determination either supporting or denying
the challenge.

Sole Source: Temporary Extension of an Existing Contract:
a.

The Procurement Officer may justify in writing the extension an existing
contract for a reasonable period of time not to exceed 120 days without
engaging in a standard procurement process, if any of the following applies:
i.

An extension is necessary to avoid a lapse in critical governmental
services or to mitigate a circumstance that is likely to have a negative
impact on public health, safety, welfare or property, and the District
(a) is engaged in a standard procurement process for a procurement
item that is the subject of the contract being extended, and (b) the
standard procurement process is delayed due to an unintentional
error.

ii.

A change in an industry standard requires one or more significant
changes to specifications for the procurement item.

Staff Report Page 158

iii.

The extension is necessary:
(a)

To prevent the loss of federal funds;

(b)

To mitigate the effects of a delay of a state or federal
appropriation;

(c)

To enable the District to continue to receive a procurement
item during a delay in the implementation of a contract
award pursuant to a procurement that has already been
conducted; or

(d)

To enable the District to continue to receive a procurement
item during a period of time during which negotiations with a
vendor under a new contract for the procurement item are
being conducted.

iv.

An extension is necessary for the period of a protest, appeal, or court
action, if the protest, appeal or court action is the reason for delaying
the award of a new contract.

v.

An extension is necessary and the General Counsel determines in
writing that the contract extension does not violate state or federal
antitrust laws and is consistent with the purpose of ensuring the fair
and equitable treatment of all persons who deal with the procurement
system.

3.

No Response to Bid Invitation: When the District does not receive a response to its
announcement, request or invitation to bid.

4.

Cooperative Contract: When the District makes purchases pursuant to a cooperative
procurement in accordance with Utah Code §63G-6a-2105. Furthermore, nothing
contained in this Policy shall prohibit or limit the ability of the District to contract with any
other public agency for the exchange of supplies, material, services or equipment, which
exchange shall be by the mutual agreement of the respective public agencies (Utah Code
§63G-6a-2103).

5.

Emergency Procurement: Emergency procurements shall be conducted as provided
below and in accordance with the requirements set forth in Utah Code §63G-6a-803.
a.

b.

An emergency procurement may only be used if the procurement is necessary
to:
i.

Avoid a lapse in a critical government service;

ii.

Mitigate a circumstance that is likely to have a negative impact on
public health, safety, welfare or property; or

iii.

Protect the legal interests of the District.

Emergency procurements are limited to those procurement items necessary to
mitigate the emergency.

Staff Report Page 159

14.11

c.

While a standard procurement process is not required under an emergency
procurement, when practicable, the Procurement Officer may seek to obtain as
much competition as possible through use of phone quotes, internet quotes,
limited invitations to bid, or other selection methods while avoiding harm, or risk
of harm, to the public health, safety, welfare, property, or impairment of the
ability of the District to function or perform required services.

d.

The Procurement Officer shall be notified of the emergency condition prior to
the acquisition of any material or supplies, goods, wares or merchandise as
provided above. In the event an emergency which requires immediate action
should arise after business hours, on a weekend or holiday and/or when it is
otherwise not possible or convenient to notify the Procurement Officer,
emergency purchases may be made by the department in charge without so
notifying the Procurement Officer, but such purchases shall be reported to the
Procurement Officer on the first working day after the occurrence. Where
circumstances permit, the Procurement Officer may propose lists of approved
vendors for emergency purchases.

e.

A written determination by the Procurement Officer documenting the basis for
the emergency and the selection of the procurement item shall be kept in the
contract file. The required documentation may be prepared after the emergency
condition has been alleviated.

PROCUREMENT OF CONSTRUCTION
A.
State Law: District construction projects are governed by Utah Code §63G-6a-1302 and by this
Subsection.
1.

Alternative Approach: To the extent allowed by law, and notwithstanding anything to
the contrary in this Procurement Policy, the District may procure construction pursuant
to the requirements of Title 11, Chapter 39 of the Utah Code, in which event the “bid
limit” calculated as provided in Utah Code § 11-39-101(1) shall replace all construction
cost estimate and/or bid requirements based upon cost provisions of this Procurement
Policy, including small purchase provisions hereunder, in which event otherwise
applicable requirements of this Procurement Policy shall be superseded and replaced by
the provisions of Title 11, Chapter 39.

B.

Construction Cost Estimate: The Procurement Officer shall cause plans and specifications for
construction projects, including the estimated cost of the improvement, to be prepared by the
District’s engineer (in house or consulting) or other qualified person. The cost estimate shall be
submitted to the Board either when the bid is submitted for formal approval or before the District
undertakes the project using its own work crew or an invitation to bid or to submit proposals is
issued, or the Board will be provided an explanation of why plans and specifications and/or a cost
estimate cannot be provided, as may be the case if a design-build contract is under consideration.
If the estimated cost of the improvement is $100,000 or less, the District may make the
improvement using an independent contractor Section 14.8.C.

C.

Extra Work and Change Orders: The Procurement Officer is authorized to approve extra work or
change orders in an amount not to exceed 10% of the contract when justified by contract
specifications and deemed to be in the best interest of the District. At the conclusion of the
contract, a final written report will be presented to the Board.

Staff Report Page 160

D.

E.

1.

Certification - Increases in Contract Amount: Any change order which increases the
contract amount shall be subject to prior written certification that the change order is
within the determined project or contract budget. The certification may be made by the
Comptroller or other official responsible for monitoring and reporting upon the status of
the costs of the total project or contract budget.

2.

Availability of Funds or Adjustment in Scope of Work: If the certification discloses a
resulting increase in the total project or contract budget, the Procurement Officer shall
not execute or make the change order unless sufficient funds are available or the scope
of the project or contract is adjusted to permit the degree of completion feasible within
the total project or contract budget as it existed prior to the change order under
consideration. However, with respect to the validity, as to the contractor, of any executed
change order upon which the contractor has reasonably relied, it shall be presumed that
there has been compliance with the provisions of this Section 14.11. (Utah Code §63G6a-1207)

Modification of Specifications: The Procurement Officer shall have authority to waive or modify
the District's construction specifications upon a determination that such waiver or modification
does not significantly jeopardize the interests of the District and is reasonable and appropriate
under the facts and circumstances presented. Such waivers and modifications may be based upon
either requests from developers and other interested persons or District staff recommendations.
1.

Permanent Modifications: Whenever the deletion or modification of the District's
construction specifications is intended to be permanent and to apply to all or a significant
number of future construction contracts to be performed within the boundaries of the
District, the Procurement Officer shall so notify the Board within a reasonable time.

2.

Appeal to the Board: At the Procurement Officer’s discretion, specific requested waivers
or modifications of the District's construction specifications may be presented to the
Board for final resolution and any contractor or other interested party may appeal the
Procurement Officer’s decision regarding the modification of construction specifications
to the Board.

3.

Status of Decision Prior to Board Action: Until the Procurement Officer’s decision
regarding a waiver or modification of the District's construction specifications has been
modified or reversed by the Board, it shall be the decision and position of the District.

Construction Contract Management: The method of construction contracting management
utilized for any given project shall be determined by the Procurement Officer in consultation with
the District's engineer, if there is one. Any lawful method of construction contracting management
that is determined to be feasible may be utilized.
1.

Recommendations of Engineer: In determining which method of construction
contracting management is to be used for a particular project, the recommendations of
the District's engineer, if there is one, are to be given great weight. The method selected
will be the method deemed to be most advantageous to the interests of the District.

2.

Factors to Be Considered: It is intended that the Procurement Officer have sufficient
flexibility in formulating the construction contract management method for a particular
project to fulfill the needs of the District. Before selecting a construction contracting
management method, the Procurement Officer, in consultation with the District’s
engineer (if there is one), shall carefully consider the following factors: (a) when the
project improvements must be ready for use; (b) the type of project; (c) the extent to

Staff Report Page 161

which the requirements of the District, and the ways in which they are to be met, are
known; (d) the location of the project; (e) the size, scope, complexity, and economics of
the project; (f) the amount and source of funding and any resulting constraints or
limitations necessitated by the funding source; (g) the availability, qualification and
experience of District personnel to be assigned to the project and the amount of time the
District personnel can devote to the project; (h) the availability, qualifications, and
experience of outside consultants and contractors (including construction
managers/general contractors) to complete the project under the various methods being
considered; (i) the results achieved on similar projects in the past and the methods used;
and (j) the comparative advantages and disadvantages of the construction contracting
methods and how they might be adapted or combined to fulfill the needs of the District.
The factors to be considered in achieving the purposes set forth herein are not to be
construed as an exclusive list. (Utah Code §63G-6a-1302)
a.

The following descriptions are provided for the more common construction
contracting management methods which may be used by the District. The
methods described are not mutually exclusive, and may be combined on a
project. These descriptions are not intended to be fixed in respect to all
construction projects. These descriptions may be adapted to fit the
circumstances of any given project. (Utah Code §63G-6a-1205)
i.

ii.

iii.

iv.

Single Prime (General) Contractor. The single prime contractor method
is typified by one business, acting as a general contractor, contracting
with the District to timely complete an entire construction project in
accordance with drawings and specifications provided by the District.
Generally, the drawings and specifications are prepared by an
architectural or engineering firm under contract with the District.
Further, while the general contractor may take responsibility for
successful completion of the project, much of the work may be
performed by specialty contractors with which the prime contractor has
entered into subcontracts.
Multiple Prime Contractors. Under the multiple prime contractor
method, the District will contract directly with a number of general
contractors or specialty contractors to complete portions of the project
in accordance with the District’s drawings and specifications. The
District may have primary responsibility for the successful completion
of the entire project, or the contracts may provide that one or more of
the multiple prime contractors has this responsibility.
Design-Build. In a design-build project, an entity, often a team of a
general contractor and a designer, contract directly with the District to
meet the District's requirements as described in a set of performance
specifications and/or a program. Design responsibility and construction
responsibility both rest with the design-build contractor. This method
can include instances where the design-build contractor supplies the
site as part of the package.
Construction Manager Not at Risk. A construction manager is a person
or firm experienced in construction who has the ability to evaluate and
to implement drawings and specifications as they affect time, cost, and
quality of construction and the ability to coordinate the construction of
the project, including the administration of change orders as well as
other responsibilities as described in the contract.

Staff Report Page 162

v.

Construction Manager/General Contractor (Construction Manager at
Risk). The District may contract with the construction manager early in
a project to assist in the development of a cost effective design. In a
Construction Manager/General Contractor (CM/GC) method, the
CM/GC becomes the general contractor and is at risk for all of the
responsibilities of a general contractor for the project, including
meeting the specifications, complying with applicable laws, rules and
regulations, completing the project on time and not exceeding a
specified maximum price.

3.

Written Statement: In making a decision concerning the method of construction
contracting management to utilize for any given project, the Procurement Officer is to
execute and include in the contract file a written statement setting forth the facts which
led to the selection of a particular method of construction contracting management for
that project.

4.

Design Build Contracts: The District may procure architect-engineer services and
construction using a single contract with the design-build provider.
a.

5.

The District will consult a professional engineer or a licensed architect with
design-build experience as provided in Utah Code §11-39-107(2)(c).

Construction Manager/General Contractor (CM/GC): The District may enter into a
contract for the management of a construction project which allows the contractor to
subcontract for additional labor and materials that were not included in the contractor’s
cost proposal submitted at the time of the procurement of the construction
manager/general contractor’s services. The term “construction manager/general
contractor” shall not refer to a contractor whose only subcontract work not included in
the original cost proposal is subcontracted portions of approved change orders. Should
the District utilize the CM/GM method of construction contract management, the
construction manager/general contractor will be selected using a “standard procurement
process” as defined in Utah Code §63G-6a-103, or an exception allowed under Part 8 of
the Utah Procurement Code may be utilized. When entering into any subcontract that
was not specifically included in the CM/GC’s cost proposal submitted to the District, the
CM/GC shall procure that subcontractor by using a standard procurement process or an
exception to the requirement to use a standard procurement process in the same manner
as if the subcontract work was being procured by the District. (Utah Code §63G-6a-1302)
a.

As used herein, "management fee" includes only the following fees of the
CM/GC:
i.
ii.
iii.

b.

Preconstruction phase services;
Monthly supervision fees for the construction phase; and
Overhead and profit for the construction phase.

When selecting a CM/GC for a construction project, the evaluation committee:
i.

May score a CM/GC based upon criteria contained in the solicitation,
including qualifications, performance ratings, references, management
plan, certifications, and other project specific criteria described in the
solicitation;

Staff Report Page 163

ii.

iii.

iv.

F.

May, as described in the solicitation, weight and score the
management fee as a fixed rate or as a fixed percentage of the
estimated contract value;
May, at any time after the opening of the responses to the request for
proposals, have access to, and consider, the management fees
proposed by the offerors; and
Except as provided in Utah Code §63G-6a-707, may not know or have
access to any other information relating to the cost of construction
submitted by the offerors, until after the evaluation committee
submits its final recommended scores on all other criteria.

Contract Clauses: Utah Code §63G-6a-1202 encourages the District “to establish standard
contract clauses to assist the [District] and to help contractors and potential contractors to
understand applicable requirements.” To that end, clauses providing for adjustments in prices and
time of performance and covering the following subjects will generally be included in construction
contracts: (a) the unilateral right of the District to order in writing changes in the work within the
scope of the contract and changes in the time of performance of the contract that do not alter the
scope of the contract work; (b) variations occurring between estimated quantities of work in a
contract and actual quantities; (c) suspension of work ordered by the District; and (d) site
conditions differing from those indicated in the construction contract, or ordinarily encountered,
except that differing site conditions clauses need not be included in a construction contract when
the contract is negotiated, when the contractor provides the site or design, or when the parties
have otherwise agreed with respect to the risk of differing site conditions.
1.

Prohibited Contract Terms:
a.

The District may not require that any contractor, subcontractor or material
supplier engaged in the construction, maintenance, repair or improvement of
public works pay its employees a predetermined amount of wages or wage rate
or provide any particular type, amount or rate of employee benefits; provided,
however, that any applicable federal or state minimum wage or benefit law
may be enforced.

b.

No contract shall contain any provision or requirement which is prohibited by
applicable law or public policy, including Utah Code §63G-6a-1203, which
prohibits any contract provision that would require a design professional to
indemnify anyone from liability claims arising out of the design professional’s
services, “unless the liability claim arises from the design professional’s
negligent act, wrongful act, error or omission, or other liability imposed by law”
or the person being indemnified is under the design professional’s “direct or
indirect control or responsibility”.

c.

A provision in a construction contract requiring a dispute arising under the
contract to be resolved in a forum outside of the state of Utah is void and
unenforceable as against public policy as provided in Utah Code §13-8-3.

d.

Should any prohibited provision or requirement be stated in any contract to
which the District is a party, to the extent allowed by law, the contract shall be
read and enforced as though the offending provision were not contained
therein.

Staff Report Page 164

G.

2.

Remedy Clauses: Construction contracts may include clauses providing for appropriate
remedies and covering the following subjects, among others: (a) liquidated damages; (b)
specified excuses for delay or nonperformance; (c) termination of the contract for default;
and (d) termination of the contract in whole or in part for the convenience of the District.

3.

Qualified Health Insurance Coverage: The District is subject to Utah Code §17B-2a-818.5,
which requires minimum standards of qualified health insurance coverage for contractors
and subcontractors who bid on certain projects of the District.

State Construction Registry:
1.

Notice of Commencement: No later than 15 days after commencement of physical
construction work at the project site, the District or its contractor shall file a notice of
commencement with the State Construction Registry established by the Division of
Occupational and Professional Licensing as required by Utah Code §38-1b-201.

2.

Notice of Intent to Complete: The District or the District’s contractor shall file a notice
of intent to obtain final completion with the State Construction Registry in accordance
with Utah Code §38-1a-506 if:

3.

H.

a.

Completion of performance time under the original contract is greater than 120
days;

b.

The total original construction contract price exceeds $500,000; and

c.

A payment bond is not obtained in accordance with Utah Code §14-2-1.

Notice of Completion: Upon final completion of a construction project (regardless of
whether a notice of intent to obtain final completion has been filed), a notice of
completion may be filed with the State Construction Registry, including the name,
address, telephone number, and e-mail address of the person filing the notice of
completion; the name of the County in which the project property is located; information
identifying the District’s construction project; the date on which final completion
occurred, and the method used to determine final completion; all as allowed by Utah
Code §38-1a-507.

Retainage: Retention proceeds withheld and retained from any payment due under the terms of
a construction contract may not exceed 5% of the payment, and total retention proceeds withheld
may not exceed 5% of the total construction price, as provided in Utah Code §13-8-5. Furthermore,
all retention proceeds shall be placed in an interest bearing account and be accounted for
separately from other amounts paid under the contract. Interest accrued on the account shall be
for the benefit of the contractor and all subcontractors of every tier and will be paid after the
construction project is complete and has been accepted by the District, unless the District assumes
partial occupancy of the project prior to completion, in which event proportionate accrued interest
will be released within 45 days after partial occupancy.
1.

Withholding Based on Breach:
Based upon a breach of the construction contract
documents, the District may withhold payment, for as long as reasonably necessary, an
amount which is necessary to cure the breach or default or, if the project, or portion of a
project as applicable, has substantially been completed, the District may retain until final
completion up to twice the fair market value of any work that has not been completed.
(Utah Code §13-8-5(8))

Staff Report Page 165

14.12

INSPECTIONS
A.

Justification: Circumstances under which the District may perform inspections include inspections
of the contractor's manufacturing/production facility or place of business, or any location where
the work is performed, to determine: whether the definition of "responsible", as defined in Utah
Code §63G-6a-103 and in the solicitation documents, has been met or is capable of being met; and
if the contract is being performed in accordance with its terms.

B.

Access to Contractor's Manufacturing/Production Facilities: The District may enter a contractor's
or subcontractor's manufacturing/production facility or place of business to: (a) inspect
procurement items for acceptance by the District pursuant to the terms of a contract; (b) audit
cost or pricing data or audit the books and records of any contractor or subcontractor; and (c)
investigate in connection with an action to debar or suspend a vendor from consideration for
award of a contract.

C.

Inspection of Supplies and Services:
1.

D.

14.13

Contract to Control: Contracts may provide that the District may inspect procurement
items at the contractor's or subcontractor's facility and perform tests to determine
whether any procurement item conforms to solicitation and contract requirements.

Conduct of Inspections: Inspections or tests shall be performed so as not to unduly delay the
work of the contractor or subcontractor. No inspector may change any provision of the
specifications or the contract without written authorization by the Procurement Officer. The
presence or absence of an inspector or an inspection shall not relieve the contractor or
subcontractor from any requirement of the contract. When an inspection is made, the contractor
or subcontractor will be expected to provide, without charge, all reasonable facilities and
assistance for the safety and convenience of the person performing the inspection or testing.

PRICE AND COST
A.

Price Adjustments: A contract may allow price adjustments, but cost or pricing data shall be
required in support of a proposal leading to the adjustment of any contract pricing. All accounting
for contracts and contract price adjustments, including allowable incurred costs, shall be
conducted in accordance with generally accepted accounting principles for government.
1.

2.

Exceptions: Cost or pricing data exceptions:
a.

Cost or pricing data need not be submitted when the terms of the contract state
established market indices, or catalog prices or other benchmarks are used as
the basis for contract price adjustments, or when prices are set by law or rule;

b.

If a contractor submits a price adjustment that is higher than established market
indices, catalog prices or other benchmarks established in the contract, the
Procurement Officer may request additional cost or pricing data; or

c.

The Procurement Officer may waive the requirement for cost or pricing data,
provided a written determination is made supporting the reasons for the waiver.
A copy of the determination shall be kept in the contract file.

Computation: Adjustments in price pursuant to required clauses shall be computed in
one or more of the following ways: (a) by agreement on a fixed price adjustment before
commencement of the pertinent performance or as soon thereafter as practicable; (b) by

Staff Report Page 166

unit prices specified in the contract or subsequently agreed upon; (c) by the costs
attributable to the events or situations under the clauses with adjustment of profit or fee,
all as specified in the contract or as subsequently agreed upon; (d) in any other manner
as the contracting parties may mutually agree; or (e) in the absence of agreement by the
parties, by a unilateral determination by the District of the costs attributable to the events
or situations under the clauses with adjustment of profit or fee, all as computed by the
District in accordance with applicable provisions of this Procurement Policy, which are
issued as allowed by Utah Code §63G-6a-1206, and subject to other applicable provisions
of the Utah Procurement Code.
3.

Defective Costs or Pricing Data: If defective cost or pricing data was used to adjust a
contract price, the vendor and the District may enter into discussions to negotiate a
settlement. If a settlement cannot be negotiated, either party may seek relief through
the courts.

4.

Price Analysis:
a.

Price analysis may be used to determine if a price is reasonable and competitive,
such as when:
i.
ii.
iii.

b.

Price analysis involves a comparison of prices for the same or similar
procurement items, including quality, warranties, service agreements, delivery,
contractual provisions, terms and conditions, etc.

c.

Examples of a price analysis include:
i.
ii.
iii.
iv.
v.

5.

There are a limited number of bidders or offerors:
Awarding a sole source contract; or
Identifying price outliers in bids and offers.

Prices submitted by other prospective bidders or offerors;
Price quotations;
Previous contract prices;
Comparisons to the existing contracts of other public entities; and,
Prices published in catalogs or price lists.

Cost Analysis: Cost analysis includes the verification of cost data. Cost analysis may be
used to evaluate:
a.

Specific elements of costs;

b.

Total cost of ownership and life-cycle cost;

c.

Supplemental cost schedules;

d.

Market basket cost of similar items;

e.

The necessity for certain costs;

f.

The reasonableness of allowances for contingencies;

g.

The basis used for allocation of indirect costs; and,

Staff Report Page 167

h.
6.

The reasonableness of the total cost or price.

Auditing of Books of Contractor or Subcontractor:
a.

The Procurement Officer may audit the books and records of a contractor or
subcontractor.

b. An audit is limited to the books and records that relate to the applicable contract or
subcontract and may occur only at a reasonable time and place.
c.

A contractor shall maintain all books and records relating to a contract for six years
after the day on which the contractor receives the final payment under the contract,
or until all audits initiated under this policy within the six-year period have been
completed, whichever is later.

d. A subcontractor shall maintain all books and records relating to the subcontract for
six years after the day on which the subcontractor receives the final payment under
the subcontract, or until all audits initiated under this policy within the six-year period
have been completed, whichever is later.
7.

Retention of Books and Records: Contractors shall maintain all records related to the
contract for at least three years after the final payment, unless a longer period is required
by law. (Utah Code §63G-6a-1206.3)

8.

Applicable Credits: Applicable credits are receipts or price reductions which offset or
reduce expenditures allocable to contracts as direct or indirect costs. Examples include
purchase discounts, rebates, allowance, recoveries or indemnification for losses, sale of
scrap and surplus equipment and materials, adjustments for overpayments or erroneous
charges, and income from employee recreational or incidental services and food sales.

9.

Use of Federal Cost Principles:

10.

a.

In dealing with contractors operating according to federal cost principles, the
Procurement Officer may use federal cost principles, including the
determination of allowable, allocable, and reasonable costs, as guidance.

b.

In contracts not awarded under a program which is funded by federal assistance
funds, the Procurement Officer may explicitly incorporate federal cost principles
into a solicitation, and thus into any contract awarded pursuant to that
solicitation. The Procurement Officer and the contractor, by mutual agreement,
may incorporate federal cost principles into a contract during negotiation or
after award.

c.

In contracts awarded under a program which is financed in whole or in part by
federal assistance funds, all requirements set forth in the assistance document,
including specified federal cost principles, must be satisfied. To the extent that
the cost principles specified in the grant document conflict with the cost
principles issued pursuant to Utah Code §63G-6a-1206, the cost principles
specified in the grant shall control.

Authority to Deviate from Cost Principles: Before the District may deviate from the cost
principles set forth in this Policy, a written determination must be made by the

Staff Report Page 168

Procurement Officer specifying the reasons for the deviation. The written determination
shall be made part of the contract file.
14.14

MULTIPLE AWARD CONTRACTS – INDEFINITE QUANTITY
CONTRACTS
As authorized under Utah Code §§63G-6a-1204.5 and 1205 the District may enter into multiple award
contracts.
A.

Multiple Award: A multiple award contract is a procurement process where two or more bidders
or offerors are awarded a contract under a single solicitation. Purchases are made through an
order placed with one of the contractors pursuant to the procedures established in the solicitation
and the contract. Contractors receiving a contract award are not guaranteed that procurement
items will be purchased from their contracts.
1.

Use: A multiple award contract may be awarded under a single solicitation to two or
more bidders or offerors when similar procurement items are needed or desired for
adequate delivery, service, availability, or product compatibility.

2.

Solicitation: In addition to the requirements set forth in Utah Code §§63G-6a-603 and
63G-6a-703, when it is anticipated that a procurement will result in multiple contract
awards, the solicitation shall include a statement that indicates that contracts may be
awarded to more than one bidder or offeror;

3.

Invitation for Bids: Multiple award contracts in an invitation for bids shall be issued in
accordance with Part 6 of the Utah Procurement Code to the lowest responsive and
responsible bidders meeting the objective criteria described in the invitation for bids and
may be awarded to satisfy delivery, service, availability or product compatibility needs of
the District using the following methods:
a.

Lowest bid for all solicited procurement items provided:
i.

b.

Lowest bid by Category provided:
i.
ii.

c.

The solicitation indicates that multiple contracts will be awarded to the
lowest bidders for all procurement items being solicited as determined
by a break in prices specifically stated in the solicitation, such as any
price within a specific percentage of the lowest responsive and
responsible bid price, or other methodology described in the
solicitation.

The solicitation indicates that contracts will be awarded based on the
lowest bid in a category; and
Only one bidder may be awarded a contract per category if so specified
in the solicitation;

Lowest bid by line item provided:
i.
ii.

The solicitation indicates that contracts will be awarded based on the
lowest bid per line item; and
Only one bidder may be awarded a contract per line item if so specified
in the solicitation;

Staff Report Page 169

d.

Any combination of (a), (b) and/or (c) above, or

e.

Any other methodology described in the solicitation.

f.

All responsive and responsible bidders may be awarded a contract, provided the
contracts specifically direct that orders must be placed first with the low bidder
unless the lowest cost bidder cannot provide the needed procurement item,
then with the second lowest bidder unless the second lowest cost bidder cannot
provide the needed procurement item, then with the third lowest bidder unless
the third lowest cost bidder cannot provide the needed procurement item, and
so on in order from the lowest cost responsive and responsible bidder to the
highest cost responsive and responsible bidder until the order is filled or the list
of responsive and responsible bidders has been exhausted.

4.

Request for Proposals: The award of multiple contracts in a request for proposals shall
be made in accordance with Part 7 of the Utah Procurement Code and may be awarded
based on criteria set forth in the solicitation and in accordance with point thresholds and
other methodology set forth in the RFP describing how multiple award contracts will be
awarded with enough specificity to avoid the appearance of favoritism affecting the
decision of whether to award multiple contracts and who should receive a multiple award
contract.

5.

Multiple Award Contracts for Unidentified Procurement Items:
a.

An unidentified procurement item is defined as a procurement item that, at the
time the solicitation is issued:
i.
ii.
iii.

Has not been specifically identified but will be identified at some time
in the future, such as an approved vendor list or approved consultant
list.
Does not have a clearly defined project or procurement specific scope
of work; and
Does not have a clearly defined project or procurement specific budget.

b.

Unidentified procurement items may be procured under approved vendor list
thresholds established by the Board.

c.

An RFP or other solicitation issued for a multiple award contract for unidentified
procurement items must specify the methodology that will be used to determine
which vendor under the multiple award contract will be selected to receive an
order.
i.
ii.

The methodology must include a procedure to document that the
District is obtaining best value, including an analysis of cost and other
evaluation criteria outlined in the solicitation.
The methodology must also ensure the fair and equitable treatment of
each multiple award contract vendor, including using methods to select
a vendor such as:
(a)
(b)

Using a rotation system, organized alphabetically, numerically,
or randomly;
Assigning a potential contractor to a specified geographical
area;

Staff Report Page 170

(c)
(d)
6.

Ordering From Multiple Award Contracts:
a.

When buying procurement items under a multiple award contract that was
awarded through an invitation for bids, the District shall obtain a minimum of
two quotes for the procurement item(s) being purchased and place the order
with the contractor with the lowest quoted price.
i.
ii.

iii.

7.

Classifying each potential contractor based on the potential
contractor’s field or area of expertise; or
Obtaining quotes or bids from two or more contractors.

The requirement to obtain two or more quotes is waived when there is
only one bidder award for the particular procurement item or
geographical area.
The order need not be placed with the lowest cost contract bidder if
that bidder cannot provide the needed procurement item, in which
event the order may be placed with the second lowest cost bidder
unless the second lowest cost bidder cannot provide the needed
procurement item, and so on, in order, until a contract bidder is
selected or the list of contract bidders is exhausted.
If the methodology described in the solicitation is based on criteria
other than the lowest quoted price, the designated methodology shall
control.

b.

When buying a procurement item under a multiple award contract that was
awarded through an RFP, the District may place orders based on the District’s
determination as to which contractor or procurement item best meets the needs
of the District. Contracts awarded through the RFP process are awarded based
on the best value to the District, taking into consideration price and the other
specific non-price criteria set forth in the RFP. Consequently, all contractors and
procurement items under contract issued through an RFP have been determined
to provide best value to the District.

c.

A multiple award contract may not be used to steer purchases to a favored
contractor or use any other means or methods that do not result in fair
consideration being given to all contractors that have been awarded a contract
under a multiple award.

Primary and Secondary Contracts:
a.

Designations of multiple award contracts as primary and secondary may be
made if a statement to that effect is contained in the solicitation documents.

b.

When the Procurement Officer or designee determines that the need for a
procurement item will exceed the capacity of any single primary contractor,
secondary contracts may be awarded to additional contractors.

c.

Purchases under primary and secondary contracts will be made, initially from the
primary contractor offering the lowest contract price until the primary
contractor's capacity has been reached or the items are not available from the
primary contractor, then from secondary contractors in progressive order from
lowest price or best availability to the next lowest price or best availability, and
so on.

Staff Report Page 171

8.

Intent to Use: If a multiple award is anticipated prior to issuing a solicitation, the method
of award shall be stated in the solicitation.

B.

Contracts and Change Orders -- Contract Types: The District may use contract types to the extent
authorized under Utah Code §63G-6a-1205.

C.

Prepayments: Prepayments are subject to the restrictions contained in Utah Code §63G-6a-1208.

D.

Leases of Personal Property:
1.

Requirements: Leases of personal property are subject to the following:
a.

A lease (including a lease with a purchase option) may be entered into provided
that the District complies with Utah Code §63G-6a-1209 and:
i.
ii.
iii.
iv.

2.
E.

14.15

The lease is in the best interest of the District;
All conditions for renewal and cost are set forth in the lease;
The lease is awarded through a standard procurement process, or an
exception to the standard procurement process described in Part 8 of
the Utah Procurement Code; and
The lease is not used to avoid a competitive procurement.

Completion Requirement: Lease contracts will be conducted with as much competition
as practicable under the circumstances.

Modification of Contract Terms: Contract clauses may be as set forth in standard documents
approved from time to time by the Board maintained at the office of the District. However, the
Procurement Officer or the Board may modify the clauses for inclusion in any particular contract.
Any variation may be supported by a written determination that describes the circumstances
justifying the variation, and notice of any material variation may be included in the invitation for
bids or requests for proposals.

PROCUREMENT OF ARCHITECT, ENGINEERING AND SURVEYING SERVICES
A.

Hiring a Professional Architect, Engineer or Surveyor: Other than small purchases, the District
shall procure design professional services by publicly announcing all requirements for those
services through a Request for Statement of Qualifications (“RSQ”) and negotiate a contract for
said services on the basis of demonstrated competence and qualification for the type of services
required, which at a minimum shall include: (a) the qualifications, experience and background of
each firm (or individual if the professional is not part of a firm) submitting a proposal; (b) the
management plan, including specific individual(s) assigned or to be assigned to the project and the
time commitments of each to the project; (c) the approach to the project that each firm (or
individual) will take, (d) the performance ratings earned by the firm or references for similar work,
(e) any quality assurance or quality control plan, (f) the quality of the firm’s past work product, (g)
the time, manner of delivery, and schedule of delivery of the firm’s services, (h) the firm’s financial
solvency, and (i) any other project specific criteria that the Procurement Officer establishes.. The
District may engage the services of a professional architect, engineer or surveyor based on the
above criteria rather than based solely on the lowest cost so long as the Procurement Officer
determines that the cost is fair and reasonable. A RSQ shall not include a request for a price or
cost component for the services. Subject to the above, the provisions of Utah Code §§63G-6a-1501
- 1506 apply to the procurement of services within the scope of the practice of architecture as
defined in Utah Code §58-3a-102 or professional engineering as defined in Utah Code §58-22-102.

Staff Report Page 172

1.

Architect-Engineer Evaluation Committee: The Procurement Officer shall appoint
members of the Architect-Engineer Evaluation Committee. The evaluation committee
must consist of at least three members who are qualified under Utah Code §§63G-6a1503(3)(b).

2.

Request for Statements of Qualifications:
a.

The District will issue a public notice for a request for statements of qualifications
to be used in ranking architects or engineers.

b.

A request for statement of qualifications will state:
i.
ii.
iii.
iv.
v.
vi.
vii.

That the District is conducting the procurement to acquire the
procurement item;
Information on how to contact the District;
Information on how to obtain a copy of the procurement documents;
The type of procurement item to which the request for statements of
qualifications relates;
The scope of the work to be performed;
The instructions and the deadline for providing information in response
to the request for statements of qualifications; and
Criteria to be used to evaluate statements of qualifications including:
(a)
(b)
(c)
(d)
(e)
(f)
(g)
(h)
(i)
(j)
(k)

Basic information about the person or firm;
Experience and work history;
Management and staff;
Qualifications;
Licenses and certifications;
Applicable performance ratings;
Financial statements;
Quality assurance or quality control plan;
Quality of past work product;
Time, manner of delivery, and schedule of delivery of the
professional services; and
Other pertinent information.

c.

Key personnel identified in a statement of qualifications may not be changed
without the advance written approval of the Procurement Officer.

d.

Architects and engineers shall not include cost information in a response to a
request for statements of qualifications.

3.

Evaluation of Statements of Qualifications: The evaluation committee shall evaluate
statements of qualifications in accordance with Utah Code §§63G-6a-1503.5 and 63G-6a707 to rank (score) architects or engineers.

4.

Negotiation and Award of Contract: The Procurement Officer or designee shall negotiate
a contract with the most qualified firm for the required services at compensation
determined to be fair and reasonable.

5.

Failure to Negotiate Contract with the Highest Ranked Firm:

Staff Report Page 173

6.

B.
14.16

a.

If fair and reasonable compensation, contract requirements, and contract
documents cannot be agreed upon with the highest ranked firm, the
Procurement Officer shall advise the firm in writing of the termination of
negotiations.

b.

Upon failure to negotiate a contract with the highest ranked firm, the
Procurement Officer shall proceed in accordance with Utah Code §§63G-6a1505.

Notice of Award:
a.

The District may award a contract to the highest ranked firm with which the fee
negotiation was successful.

b.

Notice of the award shall be made available to the public.

Contract Extensions: Contracts with consultants providing engineering and architectural services
may be extended from year-to-year at the discretion of the Board.

BONDS
Performance and other bonds in such amounts as shall be reasonably necessary to protect the interests of
the District may be required. The nature, form and amount of such bonds are to be described in the notice
inviting bids or in the request for competitive sealed proposals, regardless of the procurement type
(construction, equipment, etc.).
A.

Bid Security Requirements:
1.

Construction: Invitations for Bids and Requests for Proposals for construction contracts
require the submission of a bid bond in an amount equal to at least 5% of the bid, at the
time the bid is submitted.

2.

Other Procurements:
Invitations for Bids and Requests for Proposals for other
procurements may require the submission of a bid security, including specifications for
the form and type of bid security, when the Procurement Officer determines it to be in
the best interest of the District

3.

Acceptable Bid Security Not Furnished: If a bid security is required and acceptable bid
security is not furnished, the bid shall be rejected as nonresponsive, unless the failure to
comply is determined by the Procurement Officer to be nonsubstantial. Failure to submit
an acceptable bid security may be deemed nonsubstantial if:
a.

The bid security is submitted on a form other than the required bid bond form
and the bid security meets all other requirements of this Policy and the
contractor provides acceptable bid security by the close of business of the next
succeeding business day after being notified of the defective bid security;

b.

Only one bid is received, and there is not sufficient time to re-solicit;

c.

The amount of the bid security submitted, though less than the amount required
by the Invitation for Bids or RFP, is equal to or greater than the difference in the
price stated in the next higher acceptable bid; or

Staff Report Page 174

d.

4.

The bid security becomes inadequate as a result of the correction of a mistake in
the bid or bid modification which is allowed by this Policy, if the bidder increases
the amount of the guarantee to required limits within 2 business days after the
bid opening.

Forfeiture: If the successful bidder fails or refuses to enter into the contract or furnish
the additional bonds required as provided above, the bidder's bid security may be
forfeited.

B.

Performance Bonds for Construction Contracts:
A performance bond is required for all
construction contracts in the amount of 100% of the contract price. The performance bond shall
be delivered by the contractor to the District within fourteen days of the contractor receiving
notice of the award of the construction contract. If a contractor fails to deliver the required
performance bond, the contractor's bid/offer shall be rejected, its bid security may be enforced,
and award of the contract may be made to the next lowest responsive and responsible bidder or
the next highest ranked offeror.

C.

Surety or Performance Bonds for Non-construction Procurement Items:
1.

2.
D.

a.

Equal to the amount of the bid or offer;

b.

Equal to the project budget or estimated project cost, if the budget or estimated
project cost is published in the solicitation documents;

c.

Equal to the previous contract cost, if the previous contract cost is published in
the solicitation documents; or

d.

The Invitation for Bids or Request for Proposals contains a statement that a
surety or performance bond, in an amount less than the amount determined
under (a), is required; and the Invitation for Bids or Request for Proposals
contains a detailed description of the work to be performed or item(s) to be
provided for which the surety or performance bond is required.

Limitation: Surety or Performance Bonds should not be used to unreasonably eliminate
competition or be of such unreasonable value as to eliminate competition.

Payment Bonds: A payment bond is required for all construction contracts in the amount of 100%
of the contract price. If a contractor fails to timely deliver the required payment bond, the
contractor's bid or offer shall be rejected, its bid security may be enforced, and award of the
contract shall be made to the next lowest responsive and responsible bidder or the next highest
ranked offeror.
1.

E.

Permissive: A surety or performance bond may be required on any non-construction
contract as the Procurement Officer deems necessary to guarantee the satisfactory
completion of a contract, provided the Invitation for Bids or Request for Proposals
contains a statement that a surety or performance bond is required in an amount:

Failure to Obtain: If the District fails to obtain a payment bond for a construction project,
there may be liability to anyone furnishing labor or supplying materials for the
construction project as provided in Title 14, Chapter 1 of the Utah Code.

Waiver: The Procurement Officer may waive any bonding requirement if it is determined in
writing by the Procurement Officer that:

Staff Report Page 175

14.17

1.

Bonds cannot reasonably be obtained for the work;

2.

The cost of the bond exceeds the risk to the District; or

3.

Bonds are not necessary to protect the interests of the District.

PROHIBITED ACTS/ETHICS
A.

Supremacy of Law: Nothing contained in this Policy shall be construed to authorize conduct that
would constitute a crime under any applicable law or ordinance. The requirements of this Policy
shall apply in addition to other legal requirements including, but not limited to, Utah Code §§ 6716-1 et. seq. (the Utah Public Officers and Employees Ethics Act which, among other things,
prohibits the improper disclosure or use of private, controlled or protected information) and
applicable sections of Chapter 8 of Title 76 of the Utah Code (dealing with offenses against the
administration of government such as bribery). It is the general policy of the District that
employees and members of the Board not receive compensation for assisting any person or entity
in a transaction involving the District. For any departure from that general policy to be
countenanced, the employee or Board Member must sign and file the sworn, written statement
required by Utah Code §67-16-6.

B.

Conflict of Interest: No member of the Board or employee of the District may have a direct or
indirect interest in any contract entered into by the District unless such interest is disclosed to the
Board before the contract is approved. A Board member or employee will be presumed to have
an indirect interest in any contract in which a relative of the Board member or employee, as
“relative” is defined in Utah Code §52-3-1(1)(d) (a father, mother, husband, wife, son, daughter,
sister, brother, uncle, aunt, nephew, niece, first cousin, mother-in-law, father-in-law, brother-inlaw, sister-in-law, son-in-law, or daughter-in-law), holds a direct interest in the contract. Any
Board member who is interested in a proposed contract with the District shall disclose that interest
to the other Board members, shall not participate in any Board discussion of the contract, and shall
abstain from voting on the contract. An interested Board member may, however, be counted
toward the required quorum for any Board meeting attended by the interested Board member.
Any employee who has an interest in a proposed contract with the District shall so notify the
General Manager and the Board in writing. Such employee may not participate in any evaluation
of the proposed contract or of any competing bids or proposals. Before the Board may approve
any contract in which a Board member or employee has a known interest, the Board must make a
finding to the effect that the proposed contract is in the best interest of the District and is
significantly better than any available alternative. A violation of the requirements of this
Subsection, including the required advance notification of any conflict of interest, may subject the
violator to discipline, including dismissal or termination. Approval of a contract in which a relative
of a District Board member or employee holds a direct interest shall not be invalid, and the Board
member or employee shall not be subject to sanctions, if the Board member or employee was not
aware of the interest of the relative prior to the approval of the contract. The burden shall be on
the Board member or employee to establish this lack of knowledge, should an issue be raised
concerning the contract in which the relative holds a direct interest.

C.

Nepotism Prohibited: Nothing contained in this Policy shall be construed to authorize a violation
of Utah Code §52-3-1, which generally prohibits the employment of relatives.

D.

Improper Influence: No employee or official of the District shall use his/her position with the
District to pressure, coerce, or otherwise improperly induce any vendor or other person to provide
a special benefit to the employee or official that would not generally be available to others. By

Staff Report Page 176

way of illustration, no employee or Board member may threaten or imply that a vendor's failure
to provide a favorable price or other concession on a personal purchase will or may jeopardize the
vendor's relationship with the District.
E.

Collusion: Any agreement or collusion among vendors or prospective vendors in restraint of
competition and/or fairness shall render the bids/proposals of each such vendor void, if detected
before the contract is awarded, or constitute grounds for the District to void any contract to a
participant in the collusion if finally determined after the contract has been awarded, and may also
result in the debarment of participating potential vendors.

F.

Sales Taxes: As a governmental entity, the District is not required to pay a sales tax on certain of
its purchases. No employee or official shall use the District's immunity from sales tax collection to
avoid the payment of sales tax on personal purchases, except as otherwise provided in Subsection
H.1 below.

G.

Gifts and Gratuities: No employee or official shall accept any gift or gratuity from any vendor who
deals, or desires to deal, with the District that would violate any provision of state law, criminal or
otherwise. This restriction is not intended to prohibit small promotional gifts, such as calendars,
pens, candy, note pads, etc., of a relatively nominal value that are commonly utilized for public
relations or advertising purposes and which do not otherwise violate state law under Utah Code §
67-16-5. Similarly, this restriction is not intended to prohibit business lunches and dinners
provided they are in harmony with the District's rules and regulations and do not violate applicable
state law.

H.

Personal Purchases: No District employee or official shall purchase goods or services for personal
use and ownership using the District's name, any District account, or District funds without prior
approval by the Board. The District shall be reimbursed, either directly or through payroll
withholding, for the costs of all such goods and services that are purchased for individual use and
ownership by a District employee or Board member.

I.

1.

No Personal Use or Ownership - Exceptions: Notwithstanding the foregoing prohibition,
with the approval of the General Manager, goods and services may be purchased in the
name of the District, through a District account, and/or utilizing District funds, even
though those goods and services will become the personal property of employees or
officials of the District, provided that any such good or service is to be utilized by the
employee or official in performing his or her duties for the District. For example, a
monetary allowance may be provided by the district for work boots for members of a
District work crew.

2.

Personal Purchases - Validity: Nothing contained in this Policy shall prohibit or prevent
either employees or officials from purchasing from vendors who also provide goods or
services to the District provided that such private purchases are clearly denoted as such
and are made in the name of the employee or official. Furthermore, nothing contained
in this Policy shall prohibit employees or officials from receiving discount or membership
cards from District vendors provided that such cards and memberships are in the name
of the individual employee or official, all purchases are billed to and paid for directly by
the employee or official, and such cards and memberships are made available to
members of the public as a whole, or to a subgroup of the public, and are not based upon
the employee’s or official’s position with the District.

Favored Vendor: District employees and officers are prohibited from taking any act, or refusal or
failure to act, with the intention of creating a favored vendor situation. Any violation of this
restriction shall subject the employee to discipline up to and including termination.

Staff Report Page 177

J.

Procurement Professional: Should any employee of the District be classified as a “Procurement
Professional” as defined in Utah Code §63G-6a-2402, the Procurement Professional shall be
governed by Part 24 of the Utah Procurement Code, in addition to other applicable laws. [It is
anticipated that very few local districts or special service districts will retain a Procurement
Professional who effectively is dedicated to procurement activities, in which event this Subsection
will not apply.]
1.

14.18

Socialization with Vendors and Contractors: A Procurement Professional shall not:
a.

Participate in social activities with vendors or contractors that may interfere with
the proper performance of the Procurement Professional's duties;

b.

Participate in social activities with vendors or contractors that may lead to
unreasonably frequent disqualification of the Procurement Professional from
the procurement process; or

c.

Participate in social activities with vendors or contractors that would appear to
a reasonable person to undermine the Procurement Professional's
independence, integrity, or impartiality.

2.

Duty to Notify Supervisor: If a Procurement Professional participates in a prohibited
social activity, or has a close personal relationship with a vendor or contractor, the
Procurement Professional shall promptly notify the appropriate supervisor and the
supervisor shall take appropriate action, which may include removal of the Procurement
Professional from the affected procurement or contract administration process.

3.

Duty to Report Unlawful Conduct: A Procurement Professional with actual knowledge
that a person has engaged in unlawful conduct shall report the person’s unlawful conduct
to the State Auditor or the County Attorney.

CONTROVERSIES AND PROTESTS
A.

Utah Procurement Code Provisions:
1.

Part 16: Controversies and protests shall be conducted in accordance with the
requirements set forth in Utah Code §§63G-6a-1601 - 1603. This Procurement Policy
provides additional requirements and procedures, and will be used in conjunction with
the Utah Procurement Code. Unless otherwise designated by the Board, the Procurement
Officer shall be the “Protest Officer”.

2.

Part 19: Part 19 of the Procurement Code, Utah Code §§63G-6a-1901-1911, contain
provisions regarding:
a.

Limitations on challenges of:
i.
ii.
iii.
iv.
v.

A procurement;
A procurement process;
The award of a contract relating to a procurement;
A debarment; or
A suspension; and

Staff Report Page 178

B.

b.

The effect of a timely protest or appeal;

c.

The costs to or against a protester;

d.

The effect of prior determinations by employees, agents, or other persons
appointed by the District;

e.

The effect of a violation found after award of a contract;

f.

The effect of a violation found prior to the award of a contract;

g.

Interest rates; and

h.

A listing of determinations that are final and conclusive unless they are arbitrary
and capricious or clearly erroneous.

General: Any actual or prospective bidder, offeror, or contractor who is aggrieved in connection
with the solicitation or award of a contract may protest to the Protest Officer.
1.

2.

Deadline. A protest with respect to the invitation for bids or a request for proposals is
to be submitted in writing prior to the opening of bids or the closing date for proposals,
unless the aggrieved person did not know and should not have known of the facts giving
rise to the protest prior to the bid opening or the closing date for proposals. In any event,
the protest shall be submitted in writing within 7 days after the aggrieved person knows
or should have known of the facts giving rise thereto. Anyone failing to file a protest
within the time prescribed may not:
a.

Protest to the Protest Officer a solicitation or award of a contract; or

b.

File an action or appeal challenging a solicitation or award of a contract before
an appeals panel, a court, or any other forum. (Utah Code §63G-6a-1602)

Protest Document. A person filing a protest shall include in the filing document:
a.

The person’s mailing address and e-mail address of record; and

b.

A concise statement of the facts and evidence leading the protestor to claim that
protestor has been aggrieved in connection with a procurement and providing
the grounds for the protestor’s protest and supporting the protestor’s claim of
standing. (Utah Code §63G-6a-1602)

c.

A protest may not be considered unless it contains facts and evidence that, if
true, would establish:
i.

a violation of this policy or other applicable law or rule,

ii.

the District’s failure to follow a provision of a solicitation,

iii.

an error made by an evaluation committee or the District,

iv.

a bias exercised by an evaluation committee or an individual committee
member, excluding a bias that is a preference arising during the

Staff Report Page 179

evaluation process because of how well a solicitation response meets
criteria in the solicitation,

3.

v.

a failure to correctly apply or calculate a scoring criteria, or

vi.

that specifications in a solicitation are unduly restrictive or unduly
anticompetitive.

d.

A protest may not be based on the rejection of a solicitation response due to a
protestor’s failure to attend or participate in a mandatory conference, meeting
or site visit held before the deadline for submitting a solicitation response or a
vague or unsubstantiated allegation.

e.

A protest may not include a request for:
i.

an explanation of the rationale or scoring of evaluation committee
members,

ii.

the disclosure of a protected record or protected information in
addition to the information provided under the disclosure provisions of
the Procurement Code, or

iii.

other information, documents or explanations not explicitly provided
for herein.

Resolution/Correction of Errors: The Protest Officer or designee shall have the authority
to settle and resolve a protest. Furthermore, if at any time during the protest process it
is discovered that a procurement is out of compliance with any part of the Procurement
Code or this Policy, including errors or discrepancies, the Protest Officer may take
administrative action to correct or amend the procurement to bring it into compliance,
correct errors or discrepancies, or cancel the procurement.

C.

Verification of Legal Authority: A person filing a protest in a representative capacity may be
asked to verify that the person has legal authority to file the protest on behalf of the public or
private corporation, governmental entity, sole proprietorship, partnership, or unincorporated
association.

D.

Intervention in a Protest: After a timely protest is filed in accordance with the Utah Procurement
Code, the Protest Officer shall notify awardees of the subject procurement, and may notify others,
of the protest.
1.

Period of Time to File: A motion to intervene must be filed with the Protest Officer no
later than ten days from the date such notice is sent by the Protest Officer. Only those
motions to intervene made within the time prescribed in this Policy will be considered
timely. The District and the intended beneficiaries of the procurement (the intended
awardee of the procurement) are automatically considered to be parties of record and
need not file a motion to intervene.

2.

Contents of a Motion to Intervene: A copy of any motion to intervene will be mailed or
e-mailed to the party protesting the procurement.
a.

Any motion to intervene must state, to the extent known, the position taken by
the intervenor and the basis in fact and law for that position. A motion to

Staff Report Page 180

intervene must also state the intervenor's interest in sufficient factual detail to
demonstrate that:
i.
ii.

The intervenor has a right to participate which is expressly conferred by
statute or by applicable rule, order, or other action; and
The intervenor has or represents an interest which may be directly
affected by the outcome of the proceeding, including an interest as a
consumer; customer; competitor; security holder of a party; or the
person’s participation is in the public interest.

3.

Granting of Status: If no written objection to a timely motion to intervene is filed with
the Protest Officer within seven calendar days after the motion to intervene is received
by the protesting person, the intervenor becomes a party at the end of this seven-day
period. If an objection is timely filed, the intervenor becomes a party only when the
motion is expressly granted by the Protest Officer based on a determination that a basis
for intervention exists as stated in this Policy.

4.

Late Motion: If a Motion to Intervene is not timely filed, the Motion shall be denied by
the Protest Officer.

E.

Delay in Award of Contract: In the event of a timely protest under Subsection B. above, the District
will not proceed further with the solicitation or with the award of the contract until all
administrative and judicial remedies have been exhausted or until the General Manager, after
consultation with the General Counsel, makes a written determination that the award of the
contract without delay is in the best interests of the District. (Utah Code §63G-6a-1903)

F.

Proceedings to Debar/Suspend Potential Contractors:

G.

1.

Debarment: After at least ten (10) day’s prior notice to the person/entity involved and a
reasonable opportunity for that person/entity to be heard, the General Manager, after
consulting with the General Counsel and holding a hearing in accordance with Utah Code
§63G-6a-904, shall have authority to debar a person/entity for cause from consideration
of award of a contract for a period not exceeding three years for any of the causes set
forth in Utah Code §63G-6a-904.

2.

Suspension: After at least ten (10) day’s prior notice to the person/entity involved and a
reasonable opportunity for that person/entity to be heard, the General Manager, after
consultation with the General Counsel and holding a hearing in accordance with Utah
Code §63G-6a-904, shall have authority to suspend a person/entity from consideration
for the award of a contract if there is probable cause to believe that the person/entity has
engaged in any activity which might lead to debarment. The suspension shall not be for
a period exceeding three months unless an indictment has been issued for an offense
which would be a cause for debarment as set forth in Utah Code §63G-6a-904, in which
event the suspension shall, at the request of the District's attorney, remain in effect until
after the trial of the suspended person.

Resolution of Controversies: The Procurement Officer is authorized to settle and resolve a
controversy which arises between the District and a contractor under or by virtue of a contract.
This includes, without limitation, controversies based upon breach of contract, mistake,
misrepresentation, or other cause for contract modification or rescission.

Staff Report Page 181

H.

Written Decision: The Procurement Officer shall promptly issue a written decision regarding any
protest, debarment or suspension or contract controversy if it is not settled by mutual agreement.
The decision shall state the reasons for the action taken and inform the protestor, contractor, or
prospective contractor of the right to administrative or judicial review as provided in Utah Code,
Title 63G, Chapter 6a, Parts 16, 17, 18 and 19.

I.

Timing and Finality of Decision:
1.

Adverse Decision Presumed After 30 Days: As provided in Utah Code §63G-6a-1603(9),
if a final written decision regarding a protest is not issued within 30 calendar days after
the day on which a written request for a final decision is filed with the Protest Officer, or
within such longer period as may be agreed upon by the parties, the protestor,
prospective vendor, or vendor may proceed as if an adverse decision had been received.

2.

Finality: Except as otherwise specifically provided in this Procurement Policy, a decision
of the Procurement Officer shall be effective until stayed or reversed on appeal.

3.

Written Decision: Once available, a copy of the decision shall be immediately mailed or
otherwise furnished to the protestor, prospective contractor, or contractor and any
parties that have been allowed to intervene in the proceeding. The decision shall be final
and conclusive unless the protestor, prospective contractor, or contractor (a “vendor”)
timely files an appeal to an appeals panel established by the Procurement Policy Board in
accordance with Utah Code §§63G-6a-1701-1705 within the applicable 7- day statute of
limitations period specified in Utah Code §63G-6a-1702.

J.

Violation of Law: If, before an award of a contract, it is finally determined administratively or upon
administrative or judicial review that a solicitation or proposed award of a contract is in violation
of law, the solicitation or proposed award shall be canceled or revised to comply with applicable
law, unless different relief is mandated. (Utah Code §63G-6a-1909)

K.

Options After Adverse Determination: If, after an award of a contract, it is finally determined
administratively or upon administrative or judicial review that a solicitation or award of a contract
is in violation of law, provided that the recipient of the award has not acted fraudulently or in bad
faith, unless different relief is ordered: (i) the contract may be ratified and affirmed by the District
if it is determined by the Board that doing so is in the best interest of the District; or (ii) the contract
may be terminated and the person awarded the contract shall be compensated for the actual
expenses reasonably incurred under the contract prior to termination, plus a reasonable profit.
(Utah Code §63G-6a-1907(1)(a))

L.

Fraudulent Conduct by Contractor: If, after an award of a contract, it is determined
administratively or upon administrative or judicial review that a solicitation or award of a contract
is in violation of law and if the recipient of the award has acted fraudulently or in bad faith, unless
different relief is ordered: (i) the contract will be declared null and void; or (ii) the contract may
be ratified and affirmed if such action is in the best interest of the District, as determined by the
Board, without prejudice to the District's rights to any appropriate damages. (Utah Code §63G-6a1907(1)(b))

M.

Limitation on Consequential Damages: Under no circumstances is a person entitled to
consequential damages in relation to a solicitation or award of a contract under this Procurement
Policy, including consequential damages for lost profits, loss of business opportunities, or damage
to reputation. (Utah Code §63G-6a-1907(2))

Staff Report Page 182

N.

Appeal to the Board: Nothing provided in this Procurement Policy shall limit the ability and
authority of the Board to provide for a two-step appeal process at the District level provided that
the entire proceeding is completed within the time limits stated in this Policy and in Title 63G,
Chapter 6a, Part 16 of the Utah Code. Furthermore, the Board may designate itself as the Protest
Officer at any time in the Board’s sole discretion.

Staff Report Page 183

SECTION 15.0 PERSONNEL POLICY
15.1

PERSONNEL SYSTEM PROVISIONS
A.

Purpose:
High Valley Transit is a local district created pursuant to Utah Code Title 17B and operating under
the laws of the State of Utah and administers public funds. The policies and procedures relative
to the personnel working for the District are set forth for a dual purpose:

B.

1.

To give employees clear, concise information as to their rights, privileges, obligations,
and responsibilities.

2.

To provide the administration direction in dealing fairly and consistently with all
employees.

Functions of the Personnel Policy:
This Personnel Policy is not intended to alter the employment-at-will relationship in any way.
1.

This Personnel Policy contains general statements of District policy and should not be read
as including the fine details of each policy, nor as forming an express or implied contract
or promise that the policies discussed in it will be applied in all cases. The District may add
to the policies or revoke or modify them from time to time. Every effort will be made to
keep the Personnel Policy current, but there may be times when policy will change before
this material can be revised.

2.

The Personnel Policies will be provided to individual employees in manual form. All
manuals are District property and are assigned to employees holding a District position.
The General Manager is responsible for distribution of the manuals to newly hired
employees. Each employee shall sign a statement that they have received, read and
understand the manual. Amendments shall be distributed through the General
Manager. Each employee shall sign a statement that they have received, read, and
understand the amendment.

3.

The Board of Trustees has been established with the authority to review and make
changes to the District’s personnel policies. The General Manager, department
managers and supervisors are encouraged to recommend changes or new policies. All
policies are to be adopted in final form by the Board. Once adopted, the General
Manager is responsible for disseminating new policy information to employees.

4.

The General Manager, department managers, and supervisors should refer to the
manual whenever questions of policy interpretation or implementation arise. They
should, when possible, refer the employee to the policies and to, exercise caution in
copying materials and avoid disseminating fragmented portions of these policies. Issues
needing clarification should be referred to Human Resources.

5.

As used in the Personnel Policy and its manual:
a.

The words "shall" or "will" are to be construed as mandatory and the word
"may" as permissive;

Staff Report Page 184

b.
C.

Any reference to a specific gender shall be construed to include any gender.

Applicability of Policies and Procedures:
The policies and procedures set forth herein shall apply to all personnel, except where specifically
excluded within the text of individual contracts or elsewhere in this document. If lawful and
applicable federal or state governmental regulations concerning elected and appointed officials
are contrary to these policies, such governmental regulations shall have precedence. These
policies and procedures do not apply to members of boards and commissions, persons engaged
under contract to supply professional or technical services, and volunteer personnel who receive
no or nominal compensation from the District.

D.

System Standards:
The system standards subscribed to by the District shall conform to the following:
1.

Recruiting, selecting, and advancing employees on the basis of their relative ability,
knowledge, and skill levels, including open consideration of qualified applicants for
initial appointment.

2.

Providing equitable and adequate compensation.

3.

Educating employees as needed, to assure high quality performance and justify
reasonable performance standards.

4.

Normally, retaining employees on the basis of the adequacy of their performance,
correcting inadequate performance, and separating employees whose inadequate
performance cannot be corrected or corrected in a timely manner.

5.

Assuring non-discrimination for applicants and employees in all aspects of personnel
administration without regard to political affiliation, race, color, national origin, age,
military status, disability, sexual orientation, gender identification, and with proper
regard for their privacy and constitutional rights as citizens.

6.

Providing information to employees regarding their political rights and prohibited
practices under the Hatch Act or related legal guidelines.

7.

Providing a formal procedure for processing the appeals and grievances of employees
without discrimination, coercion, restraint, or reprisal.

Staff Report Page 185

15.2

EQUAL EMPLOYMENT OPPORTUNITY
A.

Legal Compliance:
It is the policy of the District to comply with the guidance set forth in Title VII of the Civil Rights
Act of 1964 according to Public Law 92-261 approved March 24, 1972; with Executive Order No.
11246, of September 24, 1967; with Title V, Section 503 of the Rehabilitation Act of September
26, 1973 (Public Law 93-112); Americans with Disabilities Act of July 26, 1990; Civil Rights Act of
1991; amendments to the above laws and any other regulation which is or may yet be
promulgated relating to fair employment practices.

B.

Anti-Discrimination:
The District will provide fair treatment of applicants and employees in all aspects of personnel
administration without regard to race, color, religious creed, sex, national origin, age, military
status, disability (including breast feeding and/or pregnancy), sexual orientation, gender
identification and with proper regard for constitutional rights. No class of jobs will be closed to
any individual because of the above referenced criteria.

C.

Compensation:
Employees will be compensated on the basis of equal pay for equal work as determined through
a formal job classification system. No individual will receive reduced compensation for equal
work on the basis of race, color, religion, sex, national origin, age, military status, disability
(including breast feeding and/or pregnancy), sexual orientation or gender identification.

D.

Nepotism:
It shall be the policy of the District to comply with the Anti-Nepotism provisions of Utah Code
§52-3-1 et. seq.
1.

Employment of relatives and household members prohibited.
a.

"Relative" means a father, mother, husband, wife, son, daughter, sister,
brother, uncle, aunt, nephew, niece, first cousin, mother-in-law, father-in-law,
brother-in-law, sister-in-law, son-in-law, or daughter-in-law.

b.

“Household member” means a person who resides in the same residence as
the public officer.

c.

No supervisor may employ, appoint, or vote for or recommend the
appointment of a relative or household member in or to any position of
employment, when the salary, wages, pay, or compensation of the individual
will be paid from public funds and the individual will be directly supervised by
a relative or household member, except as follows:
i.

The individual is eligible or qualified to be employed by the District as
a result of their compliance with merit system laws or regulations;

ii.

The individual will be compensated from funds designated for
vocational training;

Staff Report Page 186

2.

3.

4.

iii.

The individual is a volunteer as defined by the Utah Code Title 67,
Chapter 20;

iv.

The individual is the only person available, qualified, or eligible for the
position; or

v.

The Board determines that the supervisor is the only person available
or best qualified to perform supervisory functions for the individual.

No supervisor may directly supervise an individual who is a relative or household
member when the salary, wages, pay, or compensation of the relative or household
member will be paid from public funds, except as follows:
a.

The relative or household member was appointed or employed before the
supervisor assumed their position, if the relative's or household member’s
appointment did not violate the provisions of Utah Code §52-3-1 in effect at
the time of their appointment;

b.

The individual is eligible or qualified to be employed by the District as a result
of their compliance with merit system laws or regulations;

c.

The individual will be compensated from funds designated for vocational
training;

d.

The individual is a volunteer as defined by Utah Code;

e.

The individual is the only person available, qualifi