HomeMy WebLinkAboutResolution - 551 - Grant Application - DOT, UMTA - Section 5 Transit Capital Acquistions Financing - 06/26/1980IDGV:bs
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RESOLUTION NO. 551
I T)77 C'/1T TTT TATT
RESOLUTION AUTHORIZING THE FILING OF AN APPLICATION WITH THE DEPARTMENT
OF TRANSPORTATION, UNITED STATES OF AMERICA, FOR GRANT TO ASSIST IN FINANCING
TRANSIT CAPITAL ACQUISITIONS UNDER SECTION 5 OF THE URBAN MASS TRANSPORTATION
ACT OF 1964,
WHEREAS, the Secretary of Transportation is authorized to make grants for
mass transportation projects; and
WHEREAS, the contract for financial assistance will impose certain obli-
gations upon the applicant, including the provision by it of the local share
of the project costs; and
WHEREAS, it is required by the U.S. Department of Transportation in
accord with the provisions of Title VI of the Civil Rights Act of 1964, that
in connection with the filing of an application for assistance under the Urban
Mass Transportation Act of 1964, as amended, the applicant give an assurance
that it will comply with Title VI of the Civil Rights Act of 1964 and the U.S.
Department of Transportation requirements thereunder; and
WHEREAS, it is the goal of the Applicant that minority business enter-
prise be utilized to the fullest extent possible in connection with this
project, and that definitive procedures shall be established and administered
to ensure that minority businesses shall have the maximum feasible opportunity
to compete for contracts when procuring construction contracts, supplies,
equipment contract, or consultants and other services, NOW THEREFORE:
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK:
1. That the Mayor is authorized to execute and file an application
on behalf of the City of Lubbock with the U.S. Department of
Transportation, to aid in the financing of 16 buses, spare
parts, and land acquisition.
2. That the Mayor is authorized to execute and file with such
application an assurance or any other document requirements
by the U.S. Department of Transportation effectuating the
purposes of Title VI of the Civil Rights Act of 1964.
3. That the City Transit Coordinator is authorized to furnish
such additional information as the U.S. Department of
Transportation may require in connection with the appli-
cation or the project.
4. That the Mayor is authorized to set forth and execute
affirmative minority business policies in connection with
the projects procurement needs.
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5. That the Mayor of the City of Lubbock is authorized and
directed to execute all necessary contracts and documents
required by said grant upon its being approved and awarded
to the City of Lubbock under the Urban Mass Transportation
Act of 1964, as amended.
Passed by the City Council this 26thday of June 1980.
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BILL McALISTER, MAYOR
ATTEST:--
E, helyn Gaf a, ity Sec et ry easurer
APPROVED AS TO CONTENT:
John Wilson, Transit Coordinator
APPROVED AS TO FORM:
Donald G. Vandiver, First Assistant
City Attorney
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ubbck officials .received word : just like `a car at has too many trifles on
,hrsday that the :city has been awarded h+fi
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grant ;the pur- ` M>.ssStuart aid'theOtumu�ai mod' 1 '
se df f6 new advanced design buses ,buses used heir are no lon nui`ac:
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parking Luted,nakin difficult for to {
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The Department of Trans ortation . p Po
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t, '�rh1ch still must be accepted by °
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e' i Cit 'council, �` requires matching y I
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sof,around 5351+500 from the state win be I �".u�ipp with a lift for the handl-
dearly a 50,000 trom the dty,, ' capped,'"iWfiss St said.
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I �thmk; it's great that we'll get the of ,this noun' accepts the grant
ant, Mayor Bill MCAlister:said;
add- ey, she said th¢Orliest`date,the buses.
that escalating costs for gasoline are could be &rder d'wpuld be ettme in
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creasing the need for a bus system March ghesai 'the, order. w °� st
e a 45-v deliv date on the bt es e
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r the'entire council but thathe expects sn oothl , the be received 414
unci(�cjlembers to take a favorable look � ary of 1§82," Ml � "Stuart said, - . �.
the rant "
, Flans call f all�16 busea'.th be used
council approved the Transit De• strictly, jbn city }'butes, she said�Eight of
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tent's (`application tor, the federal the larger buses eceived in�S�ptember
ant tunds;last June following being used b'Tech rodtes_.,A;%
a public .are ,
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alt that hearing; however, lot northwest gt� Street avenue
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ffiber5 Jack Brown and Joan Baker at; H ! t r -'","
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pied to, delay the grant .application Miss Stuart d ,the lot beiq coiisi < i ,
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. Baker; suggested that -a further osteo is pdjace O }he old Pollard Forst
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Abe made to determine.how many bu kling that .is Ieing remodeled by the f ;
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buses were actually needed. city use as facility. 'The
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would be geed f' rklts then F
Ornwn argued that .the council had g ey butes,, k.
been provided sufficient financial in she explained
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tign ttidetermine what the Citibus She said city tiansit officigEs �viil not .: I'
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al MCAIlster noted .that the city has until after file apcit members have tak .,
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slued great reaction" to the 18 die• en action on the {feral grant. ...
:jovrered.buses put into service, here McAlister so -the -grant i appear
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tember. The an a Council ager} In the nes late:
P grant money will be ,,,,,, •.•-. _ �__---`"
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to Purchase the same type of buses,` ,
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cAlistet said he is optimistic about
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O';,be aurpAsed if the council goes,'the...'
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city transit analyst, said -,
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roppsed X16 new buses would replace
Praller gasoline -powered Grumman
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Linaintenanceproblems.
fought id'I9i6, the Grumman buses i;
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Miss Stuart said. "All .of the Grum-
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RESOLUTION #551 - 6/26/80
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
NOTIFICATION OF GRANT APPROVAL
49 U.S.C. § 1604
(SECTION 5 — CAPITAL ASSISTANCE)
Project No. TX-05-0068
GRANTEE: City of Lubbock
DESIGNATED RECIPIENT: City of Lubbock
ESTIMATED TOTAL PROJECT COST: $2,707,619.00
ESTIMATED NET PROJECT COST: $2,707,619.00
MAXIMUM FEDERAL SHARE: $2,166,095.00
OBLIGATION DATE:
SOURCES OF FEDERAL FINANCIAL ASSISTANCE:
21.2Q.00 79 $23,166,095.00
DATE OF SECTION 13(c) CERTIFICATION LETTER FROM THE
DEPARTMENT OF LABOR
September 26, 1980
PROJECT DESCRIPTION:
Purchase 16 AD buses 39-45 passenger, 2 spare engine assemblies,
2 spare wheels and land for parking.
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Baru
CITY SECRETARY
DEC 3 0 1980 Oh
DATE REGIONAL ADAIINISTRA R
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UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
GRANT
49 U.S.C. S 1604
(SECTION 5 - CAPITAL ASSISTANCE)
PART I.
THIS GRANT, effective on the date specified in the
Notification of Grant Approval is entered into by and between
the United States of America ("Government") and the Grantee
named in the Notification of Grant Approval.
In consideration of the mutual covenants, promises, and
representations herein, the parties hereto agree as follows:
Sec. 1. Purpose of Grant - The purpose of this Grant
is to provide for the undertaking of an urban mass transpor-
tation capital improvement project ("Project") with Government
financial assistance to the Grantee in the form of a capital
grant ("Grant"), under Section 5 of the Urban Mass Trans-
portation Act of 1964, as amended, ("Act"), and to state the
terms and conditions upon which such assistance will be
provided and the manner in which the Project will be under-
taken and completed and the Project facilities/equipment used.
Sec. 2 The Project - The Grantee agrees to undertake
and complete t e Project, and to provide for the use of the
Project facilities/equipment, substantially as described in
its Application, incorporated herein by reference, filed with
and approved by the Government, and in accordance with the
terms and conditions of this Grant. The "Project Description
on the Notification of Grant Approval describes the Project to
be funded under this Grant.
Sec. 3. The Grant - (a) In order to assist the Grantee
in financing that portion of the total cost of the Project
which the Department of Transportation (DOT) has determined
cannot reasonably be financed from revenues of the public
transportation system in which the Project-facilities/equipment
are to be used ("Net Project Cost"), such Net Project Cost
being estimated to be that amount stated in the Notification
of Grant Approval, the Government will make a Grant in an
amount equal to eighty percent (80%) of the actual Net Project
Cost, as determined by DOT upon completion of the Project, or
in the amount designated as Maximum Federal Share in the
Notification of Grant Approval, whichever is the lesser.
Form UMTA F 2002
Rev. 5/20/80 Page 1
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(b) The obligation of the Government to make Federal
Grant payments in any fiscal year shall not exceed the
amount provided in the Project Budget for the fiscal year
in which requisitions therefor are submitted or drawdowns
under letter of credit are made.
Sec. 4. Local Share - The Grantee agrees that it will
provide from sources other than (a) Federal funds (except as
may otherwise be authorized by Federal statute), (b) receipts
from the use of the Project facilities/equipment, or (c) revenues
of the public transportation system in which such facilities/
equipment are used, funds in an amount sufficient, together
with the Grant, to assure payment of the actual Net Project
Cost. State or local tax revenues which are used for the
operation of public mass transportation service in the area
involved may be credited (to the extent necessary) toward
the non -Federal share of the cost of the Project. The
Grantee further agrees that no refund or reduction of the
amount so provided below the level of Federal assistance
will'be made at any time, unless there is at the same time
a refund to the Government of a proportional amount of the
Grant.
Sec. 5. Fares and Services - The Grantee agrees and
assures that in compliance with Section 5(i) of the Act and
regulations issued thereunder, at 49 C.F.R. Part 635, Subpart
A, it will not institute increases in fares or substantial
changes in service during the period after May 17, 1980 for
which Section.5 assistance is requested except --
(a) after having held a public hearing or having afforded
an opportunity for such hearings, after adequate public
notice;
(:b) after having given proper consideration to the views
and comments expressed in such hearings; and
(c) after having given consideration to the effect on
energy conservation, and the economic, environmental,
and social impact of the change in such fare or such
service.
Sec. 6. Maintenance of Effort - (a) The Grantee agrees
that the Federal financial assistance provided pursuant to
this Grant will be supplementary to and not in substitution
for the average amount of State and local government funds
and other transit revenues, expended on the operation of
public mass transportation service in the area involved for
the two fiscal years preceding the fiscal year for which
the funds are made available as defined in Section 5(f) of
the Act and any implementing guidelines and regulations
issued by UMTA: provided, however, that in accordance with
Section 5(f) and any implementing guidelines and regulations:
Page 2
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(1) If such State and local government funds or other
transit revenues used to support public mass transportation
operations are reduced, there shall be no loss of Federal
assistance under Section 5, if such reduction is offset by
an increase in operating revenues through changes in fare
structure.
(2) If the Secretary finds that the Grantee has reduced
operating costs without reducing service levels, the Grantee
may make a proportionate reduction in the amount of revenues
required to be expended under this Subsection.
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(3) If such State and local government funds or other
transit revenues are reduced and (a) such reductions are not
offset by an increase in operating revenues through changes
in the fare structure, or (b) the Grantee has reduced operating
costs which reductions result in reduced service levels,
reductions in Federal assistance shall be determined in
accordance with guidelines and regulations issued pursuant
to Section 5(f).
(b) Any failure on the part of the Grantee to comply
with this Section shall be deemed a violation of the terms
of this Grant, and the Government may in its discretion take
either or both of the following actions: (1) terminate all
of the financial assistance provided pursuant to this Grant;
and (2) require the Grantee to return to the.Government any
financial assistance provided pursuant to this Grant.
Sec. 7. Use of Project Facilities/Equipment The
Grantee agrees to observe the property management standards
as set forth in OMB Circular A-102, Attachment N, or OMB
Circular A-110, Attachment N, as appropriate, as now or.
hereafter amended. Exceptions to the requirements of
Attachment N must be specifically approved by UMTA. If,
during the period, any Project facilities/equipment
are not used in mass transportation service, whether by
planned withdrawal or casualty loss, the Grantee shall
immediately notify the Government and shall remit to the
Government a proportional amount of the fair market value,
if any, of the property, which shall be determined on the
basis of the ratio of the grant made by the Government to
the actual cost of the Project. Fair market value shall be
deemed to be the value of the property as determined by
competent appraisal at the time of such withdrawal from use
of misuse, or the net proceeds from public sale, whichever
is approved by UMTA. In the event of loss due to
Page 3
casualty or fire, the damages paid by the -insurance carrier
or payable from the self-insured reserve account shall be
considered fair market value. In no event is salvage value
to be considered fair market value.
The Grantee shall keep satisfactory records with regard
to the use of the property and submit to the Government upon
request such information as is required in order to assure
compliance with this Section and shall immediately notify
UMTA in all cases in which Project facilities/equipment are
used in a manner substantially different from that described
in the Project Description. The Grantee shall maintain in
amount and form satisfactory to the Government such insurance
or self-insurance as will be adequate to protect Project
facilities/equipment throughout the period of required
use. The cost of such insurance shall not be an item of
allowable cost The Grantee shall also submit to the Govern-
ment at the beginning of each calendar year during such
period, a certification that the Project facilities/equipment
are still being used in accordance with the terms of this
Section and that no part of the local contribution to this
cost of the Project has been refunded or reduced, except as
authorized above.
Sec 8. Labor Protection - The Grantee agrees to
undertake, carry out, and complete the Project under the
terms and conditions determined by the Secretary of Labor
to be fair and equitable to protect the interests of
employees affected by the Project and meeting the require
ments of Section 13(c) of the Act, 49 U.S.C. § 1609(c), and
Department of Labor regulations at 29 C.F.R. Part 215.
These terms and conditions are identified in the letter
of certification to the Government from the Department of
Labor on the date set forth in the Notification of Grant
Approval, which letter and any documents cited in that
letter are incorporated into this Grant by reference. The
Grant is subject to the conditions stated in the Department
of Labor letter.
Sec. 9. Procurement of Rolling Stock and Buses -
In accordance with any guidelines issued by UMTA the Grantee
shall make third party contract awards for the accruisition
of rolling stock, including buses, only after consideration
of performance, standardization, and life -cycle costs, in
addition to the consideration of initial capital costs.
Where necessary, the Secretary will assist the Grantee in
making such evaluations.
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Sec.10. Special Conditions - The Grantee agrees and
assures that the rates c arged elderly and handicapped
persons during nonpeak hours for transportation utilizing or
involving the facilities and equipment financed pursuant to
this Grant will not exceed one-half of the rates generally
applicable to other persons at peak hours, whether the
operation of such facilities and equipment is by the applicant
or is by another entity under lease or otherwise.
Sec. 11. The Grant - This Grant consists of the Notifi-
cation of.Grant Approval; this Part I, Form UIVITA F 2002
Rev. 5/20/80
entitled Grant; and Part II, Form UMTA F 5E,
Rev. 5/20/80, entitled Urban Mass Transportation Agreement,
Terms and Conditions. Should the grant award letter include
special conditions for this Project, that letter is incor-
porated herein, by reference and made part of this Grant.
The approved Project Budget is incorporated herein by
reference and made pari: of this Grant. Amendments to any
of these documents shall require a formal amendment to this
Grant, except that reallocations of funds among budget
items or fiscal years which do not increase the total amount
of the Federal grant shall only require prior authorization
from UMTA and the issuance of a New Project Budget.
Sec. 12. Execution of Grant - This Grant may be simul-
taneously executed in several counterparts, each of which
shall be deemed to be an original having identical legal
effect. When signed by the Government, this Grant should be
executed by the Grantee within ninety (90) days after the
Obligation Date. The Government may withdraw its obligation
hereunder if the Grant is not executed within the above
ninety -day period. The effective date of the Grant shall
be the Obligation Date.
The Grantee does hereby ratify and adopt all statements
representations, warranties, covenants, and materials sub-
mitted by it, and does hereby accept the Government's award
of financial assistance and agrees to all of the terms and
conditions of this Grant.
Executed this 9 day of January , 19 81 .
G
ATTEST: BY
Evelyn Gaffga Bill McAlister
City Secretary -Treasurer Mayor
City of Lubbock, Texas City of Lubbock, Texas
TITLE AND ORGANIZATION TITLE AND ORGANIZATION
Page 5
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Certificate of Grantee's Attorney
I,-Donald G. Vandiver . acting as Attorney for the Grantee do
hereby certify that I have examined this Grant and have
ascertained that execution of the Grant was authorized on
the date of June 26..j_960 A copy of this authorization is
attached or has previously been submitted to UMTA. The
execution of this Grant and the proceedings taken by the
Grantee are in all respects due and proper and in accordance
with applicable State and.local law. I further certify,
that, in my opinion, said Grant constitutes a legal and
binding obligation of the Grantee in accordance with the
terms thereof and certify that to the best of my knowledge
there is no legislation or litigation pending or threatened
which might affect the performance of the Project in accordance
with the terms of this Grant.
Dated this o day ofjani�, 19$1
SMNATURE
Donald G. Vandiver
First Assistant City Attorney
TITLE AND--MANrZATION
Page 6
MUTED STATES OF ANCA
DF.PARZ= OF TRANSPORTATION
UMM MASS TRANSPORTATION ADM USTRATICN
WASIM4GTCN, D.C. 20590
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W
y'�fG STATES OF'�a
UIGAN MASS TRANSPORTATICN AGRESMSN'I'
PARC II
TEEM AND CONDITICNS
for Projects under Section 3, 5, 6, or 8,
of the Urban Mass Transportation Act of
1964 as amended 49 U.S.C. S 1601 et seq.,
for Mass Transportation Projects under
the Federal Aid Highway Act of 1973,
as armed, 23 U.S.C. S 103 et seq.,
or for Section 175 of the Clean Air Act
Amendments of 1977, 42 U.S.C. § 7505.
Form IWA F 5E
Rev. 5/20/80
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TABLE OF CWTENTS
Section 101.
Section 102.
Definitions...........................................1
Accomplishment of the Project .........................2
(a)
General Requirements .............................2
(b)
Pursuant to Federal, State arra Local Law .........
2
(c)
Funds of the Recipient ...........................2
(d)
Submission of Proceedings, Contracts, and Other
Documents.......................................3
(e)
Changed Conditions Affecting Performance .........
3
(f)
No Government Obligations to Third Parties .......
3
(g)
Land Acquisition Policy ........................`..3
Section 103.
The Project Budget....................................3
Section 104.
Accounting Records....................................3
(a)
Project Accounts.................................3
(b)
Funds Received or Made Available for the
Project.........................................3
(c)
Allowable Costs....:.............................4
(d)
Documentation of Project Costs...................4
(e)
Checks, Orders and Vouchers......................4
(f)
Audit and Inspection .............................5
Section 105.
Requisitions and Payments .............................5
(a)
Request for Payment by the Recipient.............5
(b)
Payment by the Government ........................5
(c)
Disallowed Costs .................... ...........6
(d)
Letter of Credit ................ ...............6
(e)
Interest on Late Payments .... ...................7
Section 106.
Right of Gove=ent to Terminate ......................7
Section 107.
Project Completion, Settlement and Close -Out ..........
7
Section 108.
Contracts of the Recipient ................. .........7
Section 109.
Restrictions, Prohibitions, Controls, and Labor
Provisions..........................................8
(a)
Equal Employment Opportunity .....................8
(b)
Small, Minority and WomenIsBusiness
Enterprise.................... ................8
(c)
Title VI - Civil Rights Act of 1964..............
10
(d)
Competitive Bidding ..............................
10
(e)
Ethics............................................10
(f)
Interest of Members of or Delegates to
Congress.... .....................................0
Section 110.
Construction Contracts................................11
(a)
Nondiscrimination................................11
(b)
Specifications...................................*14
(c)
Notice...........................................21
(d)
Labor Provisions.................................22
(e)
Changes in Construction Contracts................29
(f)
Contract Security................................29
(g)
Insurance During Construction..... ............... 29
(h)
Signs............................................29
(i)
Liquidated Damages Provisim.....................30
(j)
Provisions of Construction Contracts .............
30
(k)
Actual Work by Contractor ........ ...............30
(1)
Force Account .....................................30
(m)
Safety Standards.................................30
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Section 1.11.
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Ehvirom-ental, Resource, and Energy Protection and
Conservation Requirements ............................30
(a) Canpliance with Enviromental standards.. -.:.30
(b) Air Pollution....................................31
(c) Use of Public Lands..............................31
(d) Historic Preservation............................31'
(e) Energy Conservation..............................31
Section 112.
Patent Rights.........................................31
Section 113.
Rights in Data........................................34
Section 114.
Cargo Preference - Use of United States Flag
Vessels ................................
Section 115.
Buy America...........................................36
Section 116.
Charter and School Bus Operations .....................
37
(a) Charter Bus......................................37
(b) School Bus.... �
..... .... ........ .........37
Section 117.
Compliance with Elderly and Handicapped
Regulations ............. ..........................37
Section 118.
Flood Hazards.........................................37
Section 119.
Privacy...............................................38
Section 120.
Miscellaneous......................................39
(a) Bonus or CamtLission................ ...... ......39
(b) State and Territorial law.. . .39
(c) Records.. ................ ............... ....40
(d) severability........... ..: ... .... .........40
ii
DEPARTMENT CF T'RANSPORTATICN
URBAN MASS TRAISSPORTATICN ADMMISI'RATICN
AGRE MENr
PART II — TERM AMID CONDITICNS
Constituting part of the AGREEMENT providing for federal
financial assistance under the provisions of the Urban Mass
Transportation Act of 1964, as amended, and/or the Federal. -Aid
Highway Act of 1973.
Section 101. Definitions. As used in this Agreement:
"Application" means the signed and dated proposal as may be amended
for federal financial assistance for the Project, together with all
explanatory, supporting, and supplementary documents heretofore filed
with UMIAA by or on behalf of the Recipient, which has been accepted
and approved by iMI'A.
"Approval, Authorization, Concurrence, Waiver" means a conscious,
written act by an authorized official of the Goverment granting
permission to the Recipient to perform or snit an act pursuant to
this Agreement which could not be performed or omitted without such
permission. An approval, authorization, concurrence, or waiver
permitting the performanoe or omission of a specific act shall not
constitute permission to perform or out similar acts unless such
broad permission is clearly stated. Oral permission or interpreta-
tions shall have no legal force or effect.
"External Operating Manual" means the most recent UMIA manual of
that title, which presents information about the LMIA programs,
application processing procedures, and guidance for administering
approved projects; There are also UHM and DOT directives applicable
to the Project.
"Govenunent" means the United States of America, or its cognizant
Agency, the Department of Transportation (D0T) or its Agency, the
Urban Mass Transportation Adruinistration (UMI'A) used hereafter
interchangeably.
"Mass Transportation" includes public transportation and means
transportation by bus, rail or other conveyance, either publicly
or privately owned, which provides to the public general or special
transportation service (but not including school buses, charter or
sightseeing service) to the public on a regular and continuing basis.
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"Project" means the task or set of tasks provided for in the Project
budget which the Recipient undertakes to perform pursuant to the
Agreement with UNTA.
"Project Budget" means the most recently dated statement, approved by
UMM, of the estimated total cost of the Project, the items to be
deducted fram such total in order to calculate the estimated net
project cost, the maxim= amount of the federal grant for which the
Recipient is currently eligible, the specific items (including
contingencies and relocation) for which the total may be spent, the
estimated cost of each of such items, and the maximan amount of
federal funds which may be disbursed in any fiscal year.
"Recipient" means any entity that receives federal financial assistance
from UMTA for the ac=-nplishrrent of the Project. The term "Recipient"
includes any entity to which federal funds have been passed through
for the acorn plishment of the Project.
"Secretary" means Secretary of the Department of Transportation or
his duly authorized designee.
Section 102. Accanplishment of the Project.
(a) General Requirements. The Recipient shall cem once, carry on, and
ca-plete the Project with all practicable dispatch, in a sound,
economical, and.efficient manner, and in accordance with the
provisions hereof, the Application, and all applicable laws and
regulations.
(b) Pursuant to Federal, State, and Local law. In performance of its
obligations pursuant to this Agreement, the Recipient and its con
tractors shall camply with all applicable provisions of Federal,
State, and local. law. All limits or standards set forth in this
Agreement to be observed in the performance of the Project are
minimum requirements, and shall not affect the application of more
restrictive State or local standards for the performance of the
Project; provided, however, in its procurement actions pursuant
to the Project, the Recipient shall not give any preference to or
discriminate against goods and services produced or manufactured in
any country, State, or other geographical area except as provided
in Section 115 below. The Recipient agrees further that notwithstanding
the requirements in Section 115, no Federal funds shall be used to
support procurements utilizing exclusionary or discriminatory
specifications, nor shall federal funds be used for the payment of
ordinary governmental or nonproject operating expenses.
(c) Funds of the Recipient. The Recipient shall initiate and prosecute
to completion all proceedings necessary to enable the Recipient to
provide its share of the Project costs at or prior to the time that
such funds are needed to meet Project costs.
2
4
(d) Submission of Proceedings, Contract and Other Documents. The
Recipient Ti s �t to the such data, reports, records,
contracts and other documents relating to the Proiect as the rovemmnt
may require. The Recipient shall retain intact, for three years
following Project close-out, all Project documents, financial
records, and supporting documents.
(e) Changed Coriditims Affecting Performance. The Recipient shall iwedi-
ate y notify UdA of any change in condi or local law, or of
any other event, which may significantly affect its ability to
perform the Project in accordance with the provisions of this
Agreement.
(f) No Coven hent Obligations to Third Parties. The Government shall
not be eject to any obligations or liabilities by contractors
' of the Recipient or their subcontractors or any other person not
a party to this Aaree ent in connection with the verformance of
this Project without its specific consent and notwithstanding its
cOncurrence in or approval of the award of any contract or sub --
contract or the solicitation thereof.
(g) _land Acquisition Policy. Any acquisition of land for use in connection
with Project mist conform to the policies and procedures set
forth in 49 C.F.A. Part 25 and applicable Circulars.
Section 103. The Project Budget. A Project Budget shall be prepared arra
maintained by the Recipient. 7 e Recipient shall carryout the Project
and shall incur obligations against and make disbursements of Project
Funds only in conformity with the latest approved budget for the Project.
Section 104. Accounting Records.
(a) Project Accounts. Tone Recipient shall establish and maintain as
a separate set of accounts, or within the framework of an established
accounting system, accounts for the Project in the manner consistent
with Office of Management and Budget (CMB) Circular A-102, as ane ded,
or A-110, as may be appropriate. -
(b) Funds Received or Made Available for the Project. In accordance with
the provisions of Cid Circular A-102, as amended, or A-110, as may be
appropriate, the Recipient shall record in the Project Account, and
deposit in a bank or trust arrpa ny which is a member of the Federal
Deposit Insurance Corporation, all Project payments received by it from
the Gave=ent pursuant to this Agreement and all other funds provided
for, accruing to, or otherwise received on account of the Project,
("Project Funds"). Any balances exceeding the FDIC coverage must be
collaterally secured as provided in 12 U.S.C. § 265 and implementing
regulations or in applicable LMTA procedures. A separate bank account
may be required when drawdowns are made by letter of credit.
3
(c) Allowable Costs. EXPe ditures made by the Recipient shall be reim-
bursable as allowable costs to the extent they meet all of the
requirements set forth below. They must:
(1) be made in conformance with the Project Description and
the Project Budget and all other provisions of this Agreensnt;
(2) be necessary in order to accomplish the Project;
(3) be reasonable in amount for the goods or services purchased;
(4) be actual net costs to the Recipient (i.e., the price paid
minus any refunds, rebates, or other items of value received by
the Recipient that have the effect of reducing the cost actually
incurred;)
(5) be incurred (and be for work perfonned) after the date
of this Agreement, unless specific authorization from IDEA to the
contrary is received;
(6) be in conformance with the standards for allowability of
costs set forth in Federal Management Circular (FTC) 74-4 and
with any guidelines or regulations issued by UMA; in the case of
Projects with educational institutions, the standards for allasability
of cost set forth in Office of Management and Budget (OMB) Circular
A-21 Revised, rather than the standards of RC 74-4, shall apply;
(7) be satisfactorily documented; and
(8) be treated uniformly and consistently under accounting
principles and procedures approved or prescribed by ffiCA for the
Recipient; and those approved or prescribed by the Recipient for
its contractors.
(d) Documentation of Project Costs. All costs charged to the Project,
including any approved services contributed by the Recipient or
others, shall be supported by properly executed payrolls, time
records, invoices, contracts, or vouchers evidencing in detail the
nature and propriety of the charges.
(e) Checks, Orders, and Vouchers. Any check or order drawn by the
Recipient with respect to any item that is or will be chargeable
against the Project Account will be drawn only in accordance with
a properly signed voucher then on file in the office of the
Recipient stating in proper detail the purpose for which such check
or order is drawn. All checks, payrolls, invoices, oontracts,
vouchers, orders, or other accounting documents pertaining in whole
or in part to the Project shall be clearly identified, readily
accessible, and, to the extent feasible, kept separate and apart
from all other such documents.
4
i (f) Audit and Inspection. The Recipient shall permit, and shall require
its contractors to permit, the Secretary and the Comptroller General
of the United States, or any of their duly authorized respresentatives
to inspect all work, materials, payrolls, and other data and records
with regard to the Project, arra to audit the books, records, and
accounts of the Recipient and its contractors with regard to the Project.
Recipients that are State or local governments or Indian tribal govern -
rents shall be responsible for meeting the audit requirements of cmB
Circular A-102, Attachment P, or any revision or supplement thereto. The
Recipient is responsible for auditing third party contracts and agreements.
UMrA also may require the Recipient to furnish at any time prior to
closeout of the Project, audit reports prepared in accordance with generally
accepted accounting principles. In the case of Section 5 operating
projects, subsequent to the close of the local fiscal year for which
which operating assistance is sought, the Recipient shall furnish a
final audit report prepared by a State or local goveranent independent
audit agency or an independent public accountant which shall include
as a minimum a Statement of Revenue and Expense, a Statement of
Changes in Financial Position, and a Maintenance of Effort Calculation
of the mass transportation operator for the assisted local fiscal
year.
Section 105. Requisitions and Payments.
(a) Requests for Payment by the Recipient. The Recipient may make
requests for payment of the federal share of allowable costs, and
UMTA will honor such requests in the manner set forth in this
section. Payments made to Recipients Waist comply with 31 C.F.R.
Part 205. Recipients shall follow the procedures set forth in USA
Circular 9050.1. In order to receive federal assistance payments, the
Recipient must:
(1) completely execute and submit to UMrA the information
required by Standard Foran 270;
(2) submit to UM X an explanation of the purposes for which
costs have been incurred to date or are reasonably expected to be
incurred within the requisition period (not more than 30 days after
the date of submission);
(3) demonstrate or certify that it has supplied local funds
adequate, when combined with the federal payments, to cover all
costs to be incurred to the end of the requisition period;
(4) have submitted to UMM all financial and progress reports
required to date under this Agreement; and
(5) identify the souroe(s) of financial assistance provided
under this Project from which the payment is to be derived.
(b) Payment by the Goven nett. Upon receipt of the requisition and the
accampanying information in satisfactory form, the Gaveom-ent will
process the requisition if the Recipient is flying with its
obligations pursuant to the Agreement, has satisfied LSA of its
need for the federal funds requested during the requisition period,
arra is making adequate progress towards the "timely completion of
the Project. If all of these circumstancesare found to exist,
5
the Government will reimburse apparent allowable costs incurred (or
to be incurred during the requisition period) by the Recipient tap
to the maxinarn ammmt of the federal assistance payable through the
fiscal year in which the requisition is submitted as stated in the
Project Budget. however, reimbursement of any cost pursuant to
this section shall not constitute a final determination by the
Government of the allowability of such cost and shall not constitute
a waiver of any violation of the terms of this Agreement ccmaitted
by the Recipient. The Government will make a final determination
as to allowability only after final audit of the Project has been
conducted.
In the event that UMrA determines that the Recipient is not currently
eligible to receive any or all of the federal funds requested, it
shall promptly notify the Recipient stating the reasons for such
determination.
(c) Disallowed Costs. In determining the amount of the federal assistance, UMrA
will exclude all Project costs incurred by the Recipient prior to
the date of this Agreement, or prior to the date of the approved
budget for the Project, whichever is earlier unless an authorized
representative of UMrA advises in writing to the contrary; any
costs incurred by the Recipient which are not provided for in the
latest approved budget for the Project; and any costs attributable
to goods or services received under a contract or other arrangement
which has not been concurred in or approved in writing by UMrA.
Exceptions to the above statement on disallowed costs are contained
in the External Operating Manual or in written guidance frac UMI'A.
(d) Letter of Credit. Should a letter of credit be issued to the
Recipient, the following terms and conditions in confornence with
31 C.F.R. Part 205, are applicable:
(1) the Recipient shall initiate cash drawdowns only when
actually needed for Project disbursements.
(2) the Recipient shall report its cash disbursements and
balances in a timely mariner as required by the Government.
(3) the Recipient shall provide for effective control and
accountability for all Project funds in acoordanoe with require-
ments and procedures issued by the Government for use of the letter
of credit.
(4) the Recipient shall impose on its subrecipients all the
rcvrenents of Section 105(d) (l) (2) and (3) above as applicable.
(5) should the Recipient fail to adhere to the requirements of
Section 105 (d) (1) (2) (3) and (4) above, the Government nay revoke
the unobligated portion of the letter of credit.
6
(6) Section 105 (a) , (b) , and (c) above rene, *+ effective to the
extent that they do not conflict with the provisions of section .105 (d)
(e) Interest on Late Payments. Upon notice by tIlMM to the Recipient of
specific amounts due the Government, the Recipient shall prarptly
remit any excess payment of amounts or disallowed costs to tMM.
Interest may be assessed from the time of notice and charged for any
amounts due to the Government that are not paid as set forth in the
Treasury Fiscal Requirements Manual.
Section 106. Right of Government to Tezminate. Upon written notice to
the Recipient, the Government reserves the right to suspend or terminate
all or part of the financial assistance provided herein if the Recipient
is, or has been, in violation of the terms of this Agreement or if UKM
determines that the purposes of the Act would not be adequately served
by continuation of federal financial assistance for the Project. Any
failure to make progress or other violation of the Agreement which
significantly endangers substantial performance of the Project within
a reasonable time shall be deemed to be a violation of the terms of
this Agreement. Termination of any part of the financial assistance
will not invalidate obligations properly incurred by the Recipient and
concurred in by UMM prior to the date of teamination, to the extent
they are noncancellable. The acceptance of a remittance by the Coverna nt
of any or all Project Funds previously received by the Recipient or
the closing out of federal financial participation in the Project shall
not constitute a waiver of any claim which the Government may otherwise
have arising out of this Agreement.
Section 107. Project CcWletion, Settlement, and Close-out. Upon successful
completion of the Project or upon termination by UHM, the Recipient shall,
within 90 days of the ompletion date of the Project, submit a final
Financial Status Report (Standard Form 269), a certification or summary
Of Project expenses, and third party audit reports, when applicable. upon
receipt of this information, UKM or an agency designated by UMIA will
perform a final audit of the Project to determine the allowability of costs
incurred, and will make settlement of the federal grant described in Part I
of this Agreement. If UMTA has made payments to the Recipient in excess of
the total amount of such federal assistance, the Recipient shall promptly
remit to UNM such excess and interest as may be required by section
105(e). Project close-out occurs when LHM notifies the Recipient and
forwards the final grant payment or when an appropriate refund of federal
grant funds has been received from the Recipient and acknowledged by Um.
Close-out shall not invalidate any continuing obligations inposed on the
Recipient by this Agreement or contained in the final notification or
acknowledgement from UHm.
Section 108. Contracts of the Recipient. The Recipient shall not execute
any lease, pledge, mortgage, lien, or other contract touching or affecting
Project facilities or equipment, nor shall it obligate itself in any other
manner, with any third party with respect to the Project, unless such lease,
pledge, mortgage, lien, contract, or other obligation is expressly authorized
in writing by DOT; nor shall the Recipient, by any act or omission of any
kind, impair its continuing control over the use of Project facilities. or
equipment during the useful life thereof as determined by DOT.
7
109 Restrictions, Prohibitions, Controls, and Iabor Provisions.
(a) . Bqual iN+ploo nt Opportunity. In connection with the carrying out
Of the Project, the Recipient shall not discriminate against any
eaployee or applicant for employment because of race, color, age,
creed, sex, or national origin. The Recipient shall take affirmatives
action to ensure that applicants are employed, and that employees
are treated during employnent, without regard to their race, color,
religion, sex, age,or national origin. Such action shall include,
but not be limited to, the followings a ployment, upgrading, demotion
or transfer, recruitment or recruitment advertising, layoff or
termination; rates of pay or other forms of compensation; and
selection for training, including apprenticeship. The Recipient
shall insert the foregoing provision (modified only to show the
particular contractual relationship) in all of its contracts
in connection with the development or operation of the Project, except
contracts for standard commercial supplies or raw materials and
construction contracts subject to the provisions of Section 110 (a)
of this Agreement, and shall require all such contractors to insert
a similar provision in all subcontracts, except subcontracts for
standard commerical supplies or raw materials.
If,as a condition of assistance, the Recipient has submitted and the
Government has approved, an equal employment opportunity program
that the Recipient agrees to carry out, such program is incorporated
into this Agreement by reference. Such program shall be treated as
a contractual obligation; and failure to carry out the terms of that
equal enployment opportunity program shall be treated as a violation
of this Agreement. Upon notification to the Recipient of its failure
to carry out the approved program, the Government will impose such
remedies as it may deem appropriate, which remedies may include
termination of the Agreement as provided in Section 106 of this
Agreement or other measures that may affect the ability of the
Recipient to obtain future financial assistance under the Urban
Mass Transportation Act of 1964, as amended, or the Federal Aid
Highway Act of 1973, as amended.
(b) Minority and Women's Business Enterprise. The Recipient shall be
responsible for meeting the applicable regulations regarding
participation by minority business enterprise (MBE) in Department
of Transportation programs set forth at 49 C.F.R. Part 23, 45 F.R.
21172 et seq., March 31, 1980, or any revision or supplement thereto.
Pursuant to the requirements of section 23.43 of those regulations:
(1) Policy. It is the poZicy of the Department of Transportation
that minority business enterprises, as defined in 49 C.F.R. Part 23,
shaZZ have the maximum opportunity to participate in the performance
of contracts financed in whole or in part with federal funds under
this agreement. ConsequentZy, the MBE requirements of 49 C.F.R.
Part 23 appZy to this agreement.
8
(2) MBE ObZigation. The Recipient and its contractors agree to
ensure that minority business enterprises as defined in 49 C.F.R. Part
23 have the maximum opportunity to participate in the performance of
contracts and subcontracts financed in whole or in part with federal
funds provided under this Agreement. In this regard aZZ Recipients and
contractors shaZZ take aZZ necessary and reasonable steps in accordance
with 49 C.F.R. Part 23 to ensure that minority business enterprises have
the maximum opportunity to compete for and perform contracts. Recipients
and their contractors shaZZ not discriminate on the basis of race,
color, nationaZ origin or sex in the award and performance of DOT
assisted contracts.
(3) If as a condition of assistance the Recipient has submitted and
the Department has approved a minority business enterprise affirmative
action program which the Recipient agrees to carry out, this program is
incorporated into this financial assistance agreement by reference.
This program shall be treated as a legal obligation and failure to carry
out its terns shall be treated as a violation of this financial assistance
agreement. Upon notification to the Recipient of its failure to carry
out the approved program, the Department shall impose such sanctions as
noted in 49 C.F.R. Part 23, Subpart E, which sanctions may include
termination of the Agreement or other measures that may affect the
ability of the Recipient to obtain future DOT financial assistance.
(4) The Recipient shall advise each subrecipient, contractor, and
subcontractor that failure to cavy out the requirements set forth in
23.43(a) shall constitute a breach of contract and, after the notification
of the Department, may result in termination of the Agreement or contract
by the Recipient or such remedy as the Recipient deems appropriate.
(5) Recipients shall take action concerning lessees as follows:
(A) Recipients shall not exclude ME's frccn participation in
business opportunities by entering into long-term, exclusive agreements
with non -MBE's for operation of major transportation -related activities
for the provision of goods and services to the facility or to the public
on the facility.
(B) Recipients required to submit affirmative action programs
under section 23.41(a)(2) or (a)(3) that have business opportunities for
lessees shall submit to the Department for approval with their programs
overall goals for the participation as lessees of firms owned and controlled
by minorities and firms owned arra controlled by wain. These goals
shall be for a specified period of time and shall be based on the factors
listed in section 23.45(g)(5). Recipients shall review these goals at
least annually, and whenever the goals expire. The review shall analyze
projected versus actual ME participation during the period covered by
the review and any changes in factual circanstances affecting the selection
9
4
e
of goals. Following each review, the Recipient shall sukniit new overall
goals to the Dent for approval. Recipients that fail to meet
their goals for ME lessees shall demonstrate to the Department in
writing that they made reasonable efforts to meet the goals.
(C) Except as provided in this section, Recipients are requried
to include lessees in their affirmative action programs. Lessees themselves
are not subject to the requirements of this Part, except for the obligation
of section 23.7 to avoid discrimination against MBE's.
(6) The Recipient agrees to include the clauses in Subsection (1)
and (2) of Section 109(b) above in all subsequent agreements between the
Recipient and any subrecipient and in all subsequent DOT-assisted contracts
between the Recipient or subrecipients and any third party contractor.
(c) Title VI Civil Rights Act of 1964. The Recipient will comply and
will assure the compliance by contractors and subcontractors under
this Project with all the requirenents imposed by Title VI of the
Civil Rights Act of 1964 (49 U.S.C. § 2000d), the Regulations of
DOT issued thereunder, 49 C.F.R. Part 21 and the Assurance by the
Recipient pursuant thereto.
(d) Competition in Procurement. The Recipient shall comply with the
Procurement Standards rets set forth in Attachment 0 of CHB
Circular A-102, as anended, or A-110, as may be appropriate; and
with any supplementary guidelines or regulations as may be promulgated.
by the Gow- r went
(e) Ethics. The Recipient shall maintain a written code or standards
of cEFffuct which shall govern the performance of its officiers,
employees or agents engaged in the award and administration of
contracts supported by Federal funds. Such code shall provide that
no employee, officer or agent of the Recipient shall participate in
the selection, or in the award or administration of a contract
supported by federal funds if a conflict of interest, real or
apparent, would be involved. Such a conflict would arise when any
of the parties set forth below has a financial or other interest in
the fine selected for award:
10
i
1. the employee, officer or agent;
2. any mamba- of his immediate family;
3. his or her partner; or
4. an organization which employs, or is about to employ, any
of the above.
The code shall also provide that the Recipient's officers, employees or
agents shall neither solicit nor accept gratuities, favors or anything
of monetary value fz= contractors, potential cont"ctors, or parties
to subagr,--- E'ntS .
The Recipient may set minim►an rules where the financial interest
is not substantial or the gift is an unsolicited iter of narunal
intrinsic value.
To the extent permitted by State or local law or regulations, such
standards of conduct shall provide for penalties, sanctions, or
other disciplinary actions for violations of such standards by
the Recipient's officers, employees, or agents, or by contractors
or their agents.
(f) Interest of Members of or Delegates to Congress. No member of or
delegate to the Congress of the United States shall be admitted
to any share or part of this agreement or to any benefit arising
therefrom.
Section 110. Construction Contracts.
(a) Nondiscrimination. The Recipient hereby agrees that it will incorporate
or cause to incorporated into any contract for construction work,
or modification thereof, as defined in the Regulations of the
Secretary of Labor at 41 C.F.R. Chapter 60, which is paid for in
whole or in part with funds obtained frau the Federal Government
or borrowed on the credit of the Federal Gove=mMt pursuant to a
grant, contract, loan, insurance, or guarantee, or undertaken
pursuant to any federal program involving such grant, contract,
loan, insurance, or guarantee, the following equal opportunity
clause:
11
r t
During the performance of this contract, the contractor agrees
as fo l Zows
(1) The contractor will not discriminate against any
employee or applicant for employment because of race, color,
religion, sex, or national origin. The contractor will take
affirmative action to ensure that applicants are employed,
and that employees are treated during employment without
regard to their race, color, religion, sex, or national origin.
Such action shall include, but not be limited to the following:
Employment, upgrading, demotion, or transfer; recruitment or
recruitment advertising; layoff or termination; rates of pay
or other forms of compensation; and selection for training,
including apprenticeship. The contractor agrees to post in
conspicuous places, available to employees and applicants for
employment, notices to be provided setting forth the provisions
of this nondiscrimination clause.
(2) The contractor will, in all solicitations or advertise-
,"Ients for employees placed by or on behalf of the contractor,
state that all quaZified applicants will receive consideration
.`'or employment without regard to race, color, religion, sex, or
national origin.
(3) The contractor will send to each labor union or repre-
sentative of workers with which he has a collective bargaining
agreement or other contract or understanding, a notice to be
provided advising the said labor union or workers' representatives
of the contractor's commitments under this section, and shall
post copies of the notice in conspicuous places available to
employees and applicants for employment.
(4) The contractor will comply with all provisions of
Executive Order 11246 of September 24, 1965, as amended, and
of the rules, regulations, and relevant orders of the Secretary,
of. Labor.
(5) The contractor will furnish all information and reports
required by Executive Order 11246 of September 24, 2965, as
amended, and by rules, regulations, and orders of the Secretary
of Labor, or pursuant thereto, and will permit access to his
books, records, and accounts by the administering agency and
the Secretary of Labor for purposes of investigation to
ascertain compliance with such rules, regulations, and orders.
(6) In the event of the contractor's noncompliance with
the non-discrimination clauses of this Agreement or with any
of the said rules, regulations or orders, this Agreement may be
12
canceZZed, terminated, or suspended in whole or in part and
the, contractor may be decZared ineligible for further
Government contracts or federaZZy assisted construction
contracts in accordance with procedures authorized in
Executive Order 11246 of September 24, 1965, as amended,
and such other sanctions may be imposed and remedies invoked
as provided in Executive Order 11246 of September 24, 1965,
as amended, or by ruZe, regulation, or order of the Secretary
of Labor, or as otherwise provided by Zaw.
(7) The contractor wiZZ incZude the portion of the sentence
immediateZy preceding paragraph (1) and the provisions of
paragraphs (1) through (7) in every subcontract or purchase
order unZess exempted by rules, regulations, or orders of
the Secretary of Labor issued pursuant to Section 204 of
Executive Order 11246 of.September 24, 1965, as amended, so
that such provisions shaZZ be binding upon each subcontractor
or vendor. The contractor wiZZ take such action with respect
to any subcontract or purchase order as the administering
agency may direct as a means of enforcing such provisions,
incZuding sanctions for noncompliance; Provided, however,
That in the event a contractor becomes involved in, or is
threatened with, Zitigation with a subcontractor or vendor
F, as a reeuZt of such direction by the a&ninistering agency,
the contractor may request the United States to.enter into
such Zitigation to protect the interests of the, United States.
The Recipient further agrees that it will be bound by the above
equal opportunity clause with respect to its own employment practices
when it participates in federally assisted construction work; Provided
That if the Recipient so participating is a State or local goverrXient,
the above equal opportunity clause is not applicable to any agency,
instrumentality or subdivision of such qct which does not
participate in work on or under the Agreement.
The Recipient agrees that it will assist and cooperate actively
with the administering agency and the Secretary of Labor in obtalning
the compliance of contractors and subcontractors with the equal
opportunity clause and the rules, regulations, and rnlevant orders
of the Secretary of Iabor, that it will furnish the asiminis ening
agency and the Secretary of Labor such inforaation as they may
require for the supervision of such caa?liance, and that it will
otherwise assist the administering agency in the discharge of the
agency's primary responsibility for securing canPliance.
The lacipient further agrees that it will refrain frac
entering into any contract or contract modification subject to
Executive Order 11246 of September 24, 1965, as amended, with any
13
contractor debarred from, or who has not dercnstrated eligibility
for Government contracts and federally assisted construction contracts
pursuant to the Executive Order and will carry out such sanctions
and penalties for violation of the equal opportunity clause as
may be imposed upon contractors and subcontractors by the administering
agency or the Secretary of Labor pursuant to Part II, Subpart D of
the Executive Order. In addition, the Fecipient agrees that if it
fails or refuses to om ply with these undertakings, the administering
agency may take any or all of the following actions: Cancel, terminate,
or suspend in whole or in part this Agreement (grant, contract, loan,
insurance, guarantee); refrain from extending any further assistance
to the Recipient under the program with respect to which the failure
or refund occurred until satisfactory assurance of future compliance
has been received from such Fecipient; and refer the case to the
Department of Justice for appropriate legal proceedings.
(b) Specifications. Recipient hereby agrees that it will incorporate or
cause to be incorporated the specifications set forth below in
all federal arra federally assisted rontruction contracts, or modifi-
cations thereof, in excess of $10,000 to be performed in geographical
areas designated by the Director, Office of Federal Contract Ccnpliance
Programs of the Department of Labor pursuant to the Regulations of
the Secretary of Labor at 41 C.F.R. Section 60-4.6 and in construction
subcontracts in excess of $10,000 necessary in whole or in part to
the performance of nonconstruction federal contracts and subcontracts
covered under Executive Order 11246:
STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION
CONTRACT SPECIFICATIONS (Executive Order 11246):
1. As used in these specifications:
a. "Covered area" means the geographical area
described in the solicitation from which this
contract resulted;
b. "Director" means Director, Office of Federal
Contract Compliance Programs, United States
Department of Labor, or any person to whom the
Director delegates authority;
C. "Employer identification number" means the
Federal Social Security number used on the Employer's
Quarterly Federal Tax Return, U.S. Treasury Depart-
ment Form 941.
14
d. 'Minority" includes:
(i) Black (aZZ persons having origins in any
of the Black African racial groups not of
Hispanic origin);
(ii) Hispanic (aZZ persons of Mexican, Puerto
Rican, Cuban, Central or South American or
other Spanish Culture or origin, regardless
of race);
(iii) Asian and Pacific Islander (alt persons
having origins in any of the original people
of the Far East, Southeast Asia, the Indian
Subcontinent, or the Pacific Islands); and
(iv) American Indian or Alaskan Native (all
persons having origins in any of the original
people of North America and maintaining
identifiable tribal affiliations through
membership and participation or community
identification).
2. Whenever the contractor, or any subcontractor at any
tier, subcontracts a portion of the work involving any con-
struction trade, it shaZZ physically include in each subcontract
in excess of $ZO,000 the provisions of these specifications and
the Notice which contains the applicable goals for minority and
female participation and which is set forth in the solicitations
from which this contract resulted.
3. If the contractor is participating (pursuant to 41
C.F.R. 60-4.5) in the covered area either individually or
through an association, its affirmative action obligations on
all work in the Plan area (including goals and timetables)
shall be in accordance with that Plan for those trades which
have unions participating in the Plan. Contractors must be
able to demonstrate their participation in and compliance with
the provisions of any such Hometown Plan. Each contractor or
subcontractor participating in an approved Plan is individually
required to comply with its obZigatzons under the EEO clause,
and to make a good faith effort to achieve each goal under
the Plan in each trade in which it has employees. The overall
good faith performance by other contractors or subcontractors
toward a goal in an approved Plan does not excuse any covered
contractor's or suboncontractor's failure to take good faith
efforts to achieve the Plan goals and timetables.
r
�
r
4. The contractor shall implement the specific affirmative
action standards provided in paragraphs 7a through p of these
specifications. The goals set forth in the solicitation from
which this contract resulted are expressed as percentages
of the total hours of employment and training of minority
and female utilization the contractor should reasonably be
able to achieve in each construction trade in which it has
employees in the coverd area. The contractor is expected to
make substantially uniform progress toward its goal in each
craft during the period specified.
S. Neither the provisions of any collective bargaining
'agreement, nor the failure by a union with whom the contractor
has a collective bargaining agreement, to refer either
minorities or women shall excuse the contractor's obligations
under these specifications, Executive Order 11246, or the
regulations promulgated pursuant thereto.
6. In order for the nonworking training hours of
apprentices and trainees to be counted in meeting the goals,
such apprentices and trainees must be employed by the contractor
during the training period, and the contractor must have made
a commitment to employ the apprentices and trainees at the
completion of their training, subject to the availability of
employment opportunities. Trainees must be trained pursuant to
training programs approved by the U.S. Department of Labor.
7. The contractor shall take specific affirmative actions
to ensure equal employment opportunity. The evaluation of
the contractor's compliance with these specifications.shaZZ
be based upon its effort to achieve maximum results from its
actions. The contractor shall document these efforts fully,
and shall implement affirmative action steps at least as
extensive as the following:
a. Ensure and maintain a working environment free
of harassment, intimidation, and coercion at all sites,
and in all facilities at which the contractor's employees
are assigned to work. The contractor, where possible,
will assign two or more women to each construction project.
The contractor shall specifically ensure that all foremen,
superintendents, and other on -sits supervisory personnel
are aware of and carry out the contractor's obligation
to maintain such a working environment, with specific
attention to minority or female individuals working at
such sites or in such facilities.
16
i ii
b. Establish and maintain a current Zist of minority
and female recruitment sources, provide written notification
to minority and femaZe recruitment sources and to
community organizations when the contractor or its unions
have employment opportunities available, and maintain
a record of the organizations' responses.
c. Maintain a current file of the names, addresses
and telephone numbers of each minority and female off -the -
street applicant and minority or female referral from
a union, a recruitment source or community organization
and of what action was taken with respect to each such
individual. If such individual was sent to the union
hiring hall for referral and was not referred back to
the contractor by the union or, if referred, not employed
by the contractor, this shall be documented in the file
with the reason therefor, along with whatever additional
actions the contractor may have taken.
d. Provide immediate written notification to the
Director when the union or unions with which the contractor
has a collective bargaining agreement has not referred to
the contractor a minority person or woman sent by the
contractor, or when the contractor has other information
that the union referral process has impeded the contractor's
efforts to meet its obligations.
e. Develop on -the -site training opportunities and/or
participate in training programs for the area which expressly
include minorities and women, including upgrading programs
and apprenticeship and trainee programs relevant to the
contractor's employment needs, especially those programs
funded or approved by the Department of Labor. The
contractor shalt provide notice of these programs to the
sources compiled under 7 b above.
f. Disseminate the contractor's EEO policy by
providing notice of the policy to unions and training
programs and requesting their cooperation in assisting
the contractor in meeting its EEO obligations; by
including it in any policy manuaZ and coZZective
bargaining agreement; by publicizing it in the company
newspaper, annual report, etc.; by specific review of
the policy with all management personnel and with all
minority and female employees at least once a year;
and by posting the company EEO policy on bulletin boards
accessible to all employees at each location where
construction work is performed.
17
g. Review, at least annually, the company's EEO
policy and affirmative' action obligations under these
specifications with all employees having any responsi-
bility for hiring, assignment, layoff, termination or
other employment decisions including specific review
of these items with onsite supervisory personnel such
as Superintendents, General Foreman, etc., prior to the
initiation of construction work at any job site. A
written record shall be made and maintained identifying
the time and place of these meetings,persons attending,
subject matter discussed, and disposition of the subject
matter.
h. Disseminate the contractor's EEO policy externally
by including it in any advertising in the news media,
specifically including minority and female nems media,
and providing written notification to and discussing the
contractor's EEO policy with other contractors and sub-
contractors with whom the contractor does or anticipates
doing business.
i. Direct its recruitment efforts, both oral and
written, to minority, female and co?munity organizations,
to schools with minority and female students and to
minority and female recruitment and training organizations
serving the contractor's.recruitment area and employment
needs. Not later than one month prior to the date for
the acceptance of applications for apprenticeship or
other training by any recruitment source, the contractor
shall send written notification to organizations such
as the above, describing the openings, screening procedures,
and tests to be used in the selection process.
j. Encourage present minority and female employees
to recruit other minority persons and women and, where
reasonable, provide after school, summer and vacation
employment to minority and female youth both on the site
and in other areas of contractor's workforce.
k. Validate all tests and other selection require-
ments where there is an obligation to do so under 41
C. F.R. Part 60-3.
Z. Conduct, at least annually, an inventory and
evaluation at least of all minority and female personnel
for promotional opportunities and encourage these
employees to seek or to prepare for, through appropriate
training, etc., such opportunities.
18
k
m. Ensure that seniority practices, job cZassifi-
cations, work assignments and other personnel practices,
do not have a discriminatory effect by continually
monitoring all personnel and employment related activities
to ensure that the EEO policy and the contractor's
obligations under these specifications are being carried
out.
n. Ensure that all facilities and company activities
are nonsegregated except that separate or singZe-user
toilet and necessary changing facilities shall be provided
to assure privacy between the sexes.
o. Document and maintain a record of all soZicita
tions of offers for subcontracts from minority and female
construction contractors and suppliers, including circulation
of solicitations to minority and female contractor associa-
tions and other business associations.
p. Conduct a review, at least annually, of all
supervisors' adherence to and performance under the
contractor's EEO policies and affirmative action obli-
gations.
B. Contractors are encouraged to participate in voluntary
associations which assist in fuZfMing one or more of their
affirmative action obligations (7a through p). The efforts
of a contractor association, joint contractor -union, contractor
community, or other similar group of which the contractor is
a member and participant, may be asserted as fulfilling any
one of more of its obZigations under 7a through p of these
Specifications provided that the contractor actively participates
in the group, makes every effort to assure that the group has
a positve impact on the employment of minorities and women
in the industry, ensures that the concrete benefits of the
program are reflected in the contractor's minority and female
workforce participation, makes a good faith effort to meet its
individual goals and timetables, and can provide access to
documentation which demonstrates the effectiveness of actions
taken on behalf of the contractor. The obligation to comply,
however, is the contractor's and failure of such a group to
fulfill an obligation shall not be a defense for the contractor's
noncompliance.
9. A single goal for minorities and a separate single
goal for women have been established. The contractor, however,
is required to provide equal employment opportunity and to
take affirmative action for all minority groups, both male`
19
Y
and femaZe, and aZZ women, both minority and non -minority.
Consequently, the contractor may be in violation of the
Executive Order if a particular group is employed in a
substantiaZZy disparate manner (for example, even though
the contractor has achieved its goals for women generally,
the contractor may be in violation of the Executive Order
if a specific minority group of women is underutilized).
10. The contractor shaZZ not use the goals and timetables
or affirmative action standards to discriminate against any
person because of race, color, religion, sex, or national
origin.
11. The contractor shall not enter into any subcontract
with any person or firm debarred from Government contracts
pursuant to Executive Order 11246.
12. The contractor shaZZ carry out such sanctions and
penalties for violation of these specifications and of the
Equal Opportunity Clause, including suspension, termination
and cancellation of existing subcontracts as may be imposed
or ordered pursuant to Executive Order 11246, as amended,
and its implementing regulations by the Office of Federal
Contract Compliance Programs. Any contractor who fails
to carry out such sanctions and penalties shaZZ be in
violation of these specifications and Executive Order 11246,
as amended.
13. The contractor, in fuZfulling its obligations under
these specifications, shall implement specific affirmative
action steps, at least as extensive as those standards
prescribed in paragraph 7 of these specifications, so as to
achieve maximum results from its efforts to ensure equal
employment opportunity. If the contractor fails to comply
with the requirements of the Executive Order, the implementing
regulations, or these specifications, the Director shaZZ
proceed in accordance with 41 C.F.R. 60-4.8.
14. The contractor shaZZ designate a responsible official
to monitor all employment related activity to ensure that the
company EEO policy is being carried out, to submit reports
relating to the provisions hereof as may be required by the
Government and to keep records. Records shall at least include
for each employee the name, address, telephone numbers,
construction trade, union affiliation if any, employee
identification number when assigned, social security number
race, sex, status (e.g., mechanic, apprentice, trainee, helper,
20
or laborer), dates of changes in status, hours worked
per geek in the indicated trade, rate of pay, and locations
at which the work was performed. Records shall be maintained
in an easily understandable and retrievable form; however,
to the degree that existing records satisfy this requirement,
contractors shall not be required to maintain separate records.
Z5. Nothing herein provided shalt be construed as a
limitation upon the application of other Zaws which establish
different standards of compliance or upon the application
of requirements for the hiring of local or other area residents
(e.g., those under the Public Works Employment Act of 1977
and the Community Development Block Grant Program.)
(c) Notice. Recipient hereby agrees that it will ensure that the
i09ce set forth below shall be included in, arra shall be a part
of, all solicitions for offers and bids on all federal and federally
assisted construction contracts or subcontracts in excess of $10,000
to be performed in geographical areas designated by the Director,
Office of Federal Contract Compliance Programs of the Department
of Labor at 41 C.F.R. Section 60-4.6:
NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL
EMPLOYMENT OPPORTUNITY (Executive Order 11246)
1. The Offeror's or Bidder's attention is caZZed to
the "EquaZ Opportunity Clause" and the "Standard Federal
Equal E�nrpZoyment Opportunity Construction Contract Specifi-
cations" set forth herein.
2. The goals and timetables for minority and female
participation, expressed in percentage terms for the
contractor's aggregate workforce in each trade on all
construction work in the covered area, are as follows:
Timetable Goals for Goals for female
minority participation participation in
for each trade each trade
Insert goals for Insert goals for
each year. each year.
These goals are applicable to all the contractor's con-
struction work (whether or not it is federal or federally
assisted) performed in the covered area.
21
14 -
or laborer), dates of changes in status, hours worked
per geek in the indicated trade, rate of pay, and locations
at which the work was performed. Records shall be maintained
in an easily understandable and retrievable form; however,
to the degree that existing records satisfy this requirement,
contractors shall not be required to maintain separate records.
Z5. Nothing herein provided shalt be construed as a
limitation upon the application of other Zaws which establish
different standards of compliance or upon the application
of requirements for the hiring of local or other area residents
(e.g., those under the Public Works Employment Act of 1977
and the Community Development Block Grant Program.)
(c) Notice. Recipient hereby agrees that it will ensure that the
i09ce set forth below shall be included in, arra shall be a part
of, all solicitions for offers and bids on all federal and federally
assisted construction contracts or subcontracts in excess of $10,000
to be performed in geographical areas designated by the Director,
Office of Federal Contract Compliance Programs of the Department
of Labor at 41 C.F.R. Section 60-4.6:
NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL
EMPLOYMENT OPPORTUNITY (Executive Order 11246)
1. The Offeror's or Bidder's attention is caZZed to
the "EquaZ Opportunity Clause" and the "Standard Federal
Equal E�nrpZoyment Opportunity Construction Contract Specifi-
cations" set forth herein.
2. The goals and timetables for minority and female
participation, expressed in percentage terms for the
contractor's aggregate workforce in each trade on all
construction work in the covered area, are as follows:
Timetable Goals for Goals for female
minority participation participation in
for each trade each trade
Insert goals for Insert goals for
each year. each year.
These goals are applicable to all the contractor's con-
struction work (whether or not it is federal or federally
assisted) performed in the covered area.
21
The contractor's compliance with the Executive Order and the
regulations in 41 C.F.R. Part 60-4 shaZZ be based on its imple-
mentation of the Equal Opportunity Clause, specific affirmative
action obligations required by the specifications set forth in
41 C.F.R. 60-4.3(a), and its efforts to meet the goals established
for the geographical area where the contract resulting from this
solicitation is to be performed. The hours of minority and female
employment and training must be substantially uniform throughout
the length of the contract, and in each trade, and the contractor
shall make a good faith effort to empZoy minorities and women
evenly on each of its projects. The transfer of minority or female
empZoyees or trainees from contractor to contractor or from project
to project for the sole purpose of meeting the contractor's goals
shall be a violation of the contract, the Executive Order and the
regulations in 41 C.F.R. Part 60-4. Compliance with the goals will
be measured against the total work hours performed.
3. The contractor shalt provide written notification
to the Director of the Office of Federal Contract Compliance
Programs within ZO working days of award of any construction
subcontract in excess $10,000 at any tier for construction
work under the contract resulting from this solicitation.
The notification shall list the name, address and telephone
number of the subcontractor; employer identification number;
estimated dollar amount of the subcontract; estimated starting
and completion dates of the subcontract; and the geographical
area in which the contract is to be performed.
4. As used in this Notice, and in the contract resulting
from this solicitation, the "covered area" is (insert
description of the geographical areas where the contract
is to be performed giving the State, county and city, if any).
(d) Labor Provisions. Pursuant to regulations set forth at 29
C.F.R. the following provisions shall be incorporated in a27
construction contracts of $2,000 let by the Recipient in carrying
out the Project,
(1) Minimcon wages. (i) All mechanics and laborers
employed or working upon the site of the work, Will be paid
unconditionally and not less often than once a week, and
without subsequent deduction or rebate on any account
(except such payroll deductions as are permitted by regu-
Zations issued by the Secretary of Labor under the Cope-
land Act (29 C.F.R.Part 3)), the full amounts due at
time of payment computed at wage rates not less than
i
those contained in the wage determination decision
of the Secretary of Labor applicable to the Project,
regard Zees of any contractual relationship which may
be alleged to exist between the contractor and such
laborers and mechanics; and the wage determination
decision shaZZ be posted by the contractor at the site
of the work in a prominent place where it can be
easily seen by the workers. For the purpose of this
clause, contributions made or costs reasonably antici-
pated under section Z(c)(2) of the Davis-Bacon Act on
behalf of laborers or mechanics are considered wages
paid to such laborers or mechanics, subject to the
provisions of 29 C.F.R. 5.5 (a) (Z) (iv). Also for the
purpose of this clause, regular contributions made or
costs incurred for more than a weekly period under plans,
funds, or programs, but covering the particular weekly
period, are deemed to be constructively made or incurred
during such weekly period.
(ii) The contracting officer shaZZ require that any
class of laborers or mechanics, including apprentices
and trainees, which is not listed in the wage determination
and which is to be empZoyed under the contract, shall be
classified or reclassified conformably to the wage deter-
mination, and a report of the action taken ehaZZ be sent
by DOT to the Secretary of Labor. In the event the interested
parties cannot agree on the proper classification or recZassifi
cation,of a particular class of laborers and mechanics,
including apprentices and trainees, to be used, the question
accompanied by the recommendation of the contracting officer,
shalt be referred to the Secretary of Labor for final
determination.
(iii) The contracting officer shaZZ require, whenever
the minimum wage rate prescribed in the contract for a
class of laborers or mechanics includes a fringe benefit
which is not expressed as an hourly wage rate and the
contractor is obligated to pay a cash equivalent of such
a fringe benefit, an hourly cash equivalent thereof to
be eetabZished. In the event the interested parties
cannot agree upon a cash equivalent of the fringe benefit,
the question, accompanied by the recommendation of the
contracting officer, shaZZ be referred to the Secretary
of Labor for determination.
23
(iv) If the contractor does not make payments to a
trustee or other third person, he may consider as part of
the rages of any laborer or mechanic the amount of any costs
reasonably anticipated in providing benefits under a plan
or program of a type expressly listed in the wage determination
decision of the Secretary of Labor which is a part of this
contract: Provided, however, the Secretary of Labor has
found, upon the written request of the contractor, that the
applicable standards of the Davis -Bacon Act have been met.
The Secretary of Labor may require the contractor to set
aside in a separate account assets for the meeting of
obligations under the plan or program.
(2) WithhoZding. DOT may withhold or cause to be
withheld from the contractor so much of the accrued payments
or advances as may be considered necessary to pay laborers
and mechanics, including apprentices and trainees, employed
by the contractor or any subcontractor on the work the full
amount of wages required by the contract. In the event of
failure to pay any laborer or mechanic, including any
apprentice or trainee, employed or working,on.the site of
the work, all or part of the wages required by the contract,
DOT may, after written notice to the contractor, sponsor,
applicant, or owner, take such action as may be necessary
to cause the suspension of any further payment, advance,
or guarantee of funds until such violations have ceased.
(3) Payroll and Basic Records. (i) Payrolls and basic
records relating thereto will be maintained during the course
of the work and preserved for a period of three years thereafter
for all laborers and mechanics working at the site of the work.
Such records will contain the name and address of each such
employee, his correct classification, rates of pay (incZuding
rates of contributions or costs anticipated of the types
described in section 1(b)(2) of the Davis -Bacon Act), daily
and weekly number of hours worked, deductions made and actual
wages paid. Whenever the Secretary of Labor has found under
29 C.F.R. 5.5 (a)(1) (vi) that the wages of any laborers or
mechanics include the amount of any costs reasonably anticipated
in providing benefits under a plan or program described in
section 1(b) (2)(B) of the Davis -Bacon Act, the contractor
shall maintain records which show that the commitment to
provide such benefits is enforceable, and that the plan
or program is financially responsible, and that the plan
or program has been communicated in writing to the laborers
or mechanics affected, and records which show the costs
anticipated or the actual cost incurred in providing such
benefits.
24
(ii) The contractor wiZZ submit weekly a copy of aZZ
payroZZs to the Recipient for transmittal to DOT. The copy
shaZZ be accompanied by a statement signed by the empZoyer
or his agent indicating that the payroZZs are correct and
complete, that the wage rates contained therein are not
Zeas than those determined by the Secretary of Labor and
that the cZaseifications set forth for each Zaborer or
mechanic conform to the work to be performed. A submission
of the "WeekZy Statement of CompZianee " which is required under
this contract and the CopeZand regulations of the Secretary
of Labor (29 C.F.R., Part 3) and the filing with the initiaZ
payroZZ or any subsequent payroZZ of a copy of any findings
by the Secretary of Labor under 29 C.F.R. 5.5 (a)(7)(iv)
shaZZ satisfy this requirement. The prime contractor shaZZ
be responsible for the submission of copies of payroZZe of
aZZ subcontractors. The contractor wiZZ make the records
required under the Zabor standards cZauses of the contract
available for inspection by authorized representatives of
DOT and the Department of Labor, and wiZZ permit such
representatives to interview empZoyees during working hours
on the job.
Contractors empZoying apprentices or trainees under approved
programs shaZZ include a notation on the first weekZy certified
payroZZe submitted to the contracting agencies that their empZoy-
ment is pursuant to an approved program and shaZZ identify the
program.
(4) Apprentices and Trainees.
(A) Apprentices. Apprentices wiZZ be permitted to work
at Zeas than the predetermined rate for the Mork they perform
when they are empZoyed and individuaZZy registered in a bona
fide apprenticeship program registered with the U.S. Depart-
ment of Labor, E17pZoyment and Training Administration,
Bureau of Apprenticeship and Training, or with a State
Apprenticeship Agency recognized by the Bureau, or if a person
is empZoyed in his first 90 days of probationary employment
as an apprentice in such an apprenticeship program, who is
not individuaZZy registered in the program, but who has been
certified by the Bureau of Apprenticeship and Training or
a State Apprenticeship Agency (where appropriate) to be
eligible for probationary empZoyment as an apprentice. The
aZZowable ratio of apprentices to journeymen in any craft
classification shaZZ not be greater than the ratio permitted
to the contractor as to his entire work force under the
registered program. Any empZoyee Zisted on a payroZZ at
25
N
V
an apprentice mage rate, who is not a trainee as defined in
subdivision (B) of this subparagraph or is not registered or
otherwise employed as stated above, shaZZ be paid the mage
rate determined by the Secretary of Labor for the classification
of work he actually performed.
The contractor or subcontractor will be required to
furnish to the contracting officer or a representative of
the Wage -Hour Division of the U.S. Department of Labor
written evidence of the registration of his program and
apprentices as well as the appropriate ratios and wage
rates (expressed in percentages of the journeyman hourly
rates) for the area of construction prior to using any
apprentices on the contract work. The wage rate paid
apprentices shall not be Less than the appropriate percentage
of the journeyman's rate contained in the applicable wage
' determination.
(B) Trainees. Except as provided in 29 C.F.R. 5.15, trainees
will not be permitted to work at Less than the predetermined
rate for the work performed unless they are employed pursuant
to or individually registered in a program which has received
prior approval, evidenced by format certification, by the U.S.
Department of Labor, Employment and Training Administration,
Bureau of Apprenticeship and Training. The ratio of trainees
to journeymen shaZZ not be greater than that permitted under
the plan approved by the Bureau of Apprenticeship and Training.
Every trainee must be paid at not Less than the rate specified
in the approved program for his Level of progress. Any
employee Listed on the payroll at a trainee rate who is not
registered and participating in a training plan approved by
the Bureau of Apprenticeship and Training shalt be paid not
Less than the wage rate determined by the Secretary of Labor
for the classification of work he actually performed. The
contractor or subcontractor will be required to furnish the
contracting officer or a representative of the Wage -Hour
Division of the U.S. Department of Labor written evidence
of the certification of his program, the registration of
the trainees, and the ratios and wage rates prescribed in that
program. In the event the Bureau of Apprenticeship and
Training withdraws approval of a training program, the
contractor will no Longer be permitted to utilize trainees
at Less than the applicable predetermined rate for the work
performed until an acceptable program is approved.
(C) Equal Employment Opportunity. The utilization of
apprentices, trainees and journeymen under this part shall
be in conformity with the equal employment opportunity
requirements of Executive Order 11246, as amended, and
29 C. F. R. Part 30.
26
(5) CompZiance with Copeland Requlations (29 C.F.R. Part 3).
The contractor shall comply with the Copeland Regulations
(29 C.F.R. Part 3) of the Secretary of Labor which are herein
incorporated by reference.
(6) Contract Termination; Debarment.
A breach of clauses (2) through (5) may be grounds
for termination of the contract, and for debarment as provided
in 29 C.F.R. 5.6.
(7) Overtime Requircments.
No contractor or subcontractor contracting for any part
of the contract work which may require or involve the employ-
ment of laborers or mechanics shaZZ require or permit any
laborer or mechanic in any workweek in which he is employed
on such work to work in excess of eight hours in any calendar
day or in excess of forty hours in such workweek unless such
taborer or mechanic receives compensation at a rate not less
than one and one-half times his basic rate of pay for all
' hours worked in excess of eight hours in any caZendar day or
in excess of forty hours in such workweek, as the case may be.
(8) Violation; Liability for Unpaid Wages; Liquidated Damages.
In the event of any violation of the clause set forth in
subparagraph (7), the contractor and any subcontractor
responsible therefor shaZZ be liable to any affected employee
for his upaid wages. In addition, such contractor and eub
contractor shaZZ be liable to the United States (in the case
of work done under contract for the District of Columbia or a
territory, to such District or to such territory), .for
liquidated damages. Such liquidated damages shaZZ be computed
with respect to each individual laborer or mechanic employee
in violation of the clause set forth in subparagraph (7), in
the sum of $20 for.each calendar day on which such employee
is required or permitted to work in.excess of eight hours or
in excess of the standard workweek of forty hours without
payment of the overtime wages required by the.cZause set forth
in subparagraph (7).
(9) Withholding for Liquidated Damages.
DOT may withhoZd or cause to be withheld, from any moneys
payable on account of work performed by the contractor or
subcontractor, such sums as may administratively be determined
27
I I �I
t
to be necessary to satisfy any liabilities of such contractor
or subcontractor for liquidated damages as provided in the
clause set forth in subparagraph (8).
(10) Final Labor Summary.
The contractor and each subcontractor shalt furnish to
the Recipient, upon the completion of the contract, a summary
of all employment, indicating, for the completed Project,
the total hours worked and the total amount earned.
(11) Final Certificate.
Upon completion of the contract, the contractor shalt
submit to the Recipient with the voucher for final payment
for any work performed under the contract a certificate
concerning wages and classifications for laborers and
mechanics, including apprentices and trainees employed
on the Project, in the following form:
The undersigned, contractor on
(Contract No. )
hereby certifies that all laborers, mechanics, apprentices
and trainees employed by him or by a subcontractor performing
work under the contract on the Project have been paid wages
at rates not less than those required by the contract
provisions, and that the work performed by each such laborer,
mechanic, apprentice or trainee conformed to the classifications
set forth in the contract or training program provisions
appZicabZ: to the wage rate paid.
Signature and title
(12) Notice to the Recipient of Labor Disputes.
Whenever the contractor has knowledge that any actual
or potential labor dispute is delaying or threatens to delay
the timely performance of this contract, the contractor shall
immediateZy give notice thereof, including all relevant in-
formation with respect thereto, to the Recipient.
(13) Disputes Clause.
(i) All disputes concerning the payment of prevailing
wage rates or classification shall be promptly reported to
28
the Recipient for its referral to DOT for decision or, at the
option of DOT, DOT referral to the Secretary of Labor. The
decision of DOT or the Secretary of Labor as the case may be,
shalt be final.
(ii) All questions relating to the application or
interpretation of the Copeland Act, 40 U.S.C. S 276c, the
Contract Work Hours Standards Act, 40 U.S.C. SS 327-333, the
Davis -Bacon Act, 40 U.S.C. S 276a, or Section 13 of
the Urban Mass Transportation Act, 49 U.S.C. S Z60d, shall
be sent to UMTA for referral to the Secretary of Labor for
ruling or interpretation, and such ruling or interpretation
shaZZ be final.
(14) Convict Labor.
In connection with the performance of work under this
contract the contractor agrees not to employ any person
undergoing sentence of imprisonment at hard labor. This
does not include convicts who are on parole or probation.
(15) Insertion in Subcontracts.
The contractor shall insert in all construction subcontracts
the clauses set forth in subsections (1) through (15) of this
section so that all of the provisions of this section wiZZ be
inserted in all construction subcontracts of any tier, and such
other clauses as the Government may by appropriate instructions
require.
(e) Changes in Construction Contracts. Any changes in a construction
contract shall be subnutted to DOT for prior approval unless the
gross amunt of the changes is $100,000 or less, the contract was
originally awarded on a eccrpetitive basis, and the change does
not change the scope of work or exceed the contract period.
Construction contracts shall include a provision specifiying that
the above requirement will be net.
(f) Contract Security. The Recipient shall follow the requirements
of CMB Circular A-102, as amended, or A-110, as may be appropriate,
and iIIMM guidelines with regard to bid guarantees and bonding requirements.
(g) Insurance During Contruction. The Recipient shall follow the
insurance requirements nomally required by their State and
local governments.
(h) Signs. The Recipient shall cause to be erected at the site of
construction, and rraintained during construction, signs.
29
satisfactory to DOT identifying the Project and indicating that the
Government is participating in the development of the Project.
(i.) Liquidated Damages Provision. The Recipient shall include in all contracts
for construction, a clause satisfactory to DOT providing for liquidated
damages, if (1) DOT may reasonably expect to suffer damages (increases
costs on the grant project involved) from the late completion of the
construction and (2) the extent or amount of such damages would be
difficult or impossible to assess. The assessment for damages shall be
at a specified rate per day for each day of overrun in contract time
deducted from payments otherwise due the contractor. This rate, which
must be satisfactory to DOT, must be specified in the contract.
(j) Provisions of Construction Contract. The terms and conditions of each
cmpetitive y bid construction contract are subject to prior approval by
DOT if the estimated cost will exceed $25,000, unless and to the extent
that such prior approval is waived in writing by DOT. in addition to the
requirements of this Section 110, each construction contract shall
contain, song others, provisions required by subsections (e), and (f)
of Section 109 hereof.
(k) Actual Work by Contractor. The Recipient shall require that a construction
contractor perforin, on the site and with his own staff, work equivalent
to at least 10 percent of the total aount of construction work covered
by his contract.
(1) Force Account. If costs of construction performed by employees of the -
Recipient are estimated to exceed $25,000, prior approval of DOT must
be obtained or else such costs may not be included as eligible
Project Costs.
(m) Safety Standards. Pursuant to Section 107 of the Contract Work
Hours andSia ety Standards Act and Department of Labor Regulations at
29 C.F.R. § 1926, no laborer of mechanic working on a constriction
contract shall be required to work in surroundings or under work-
ing conditions which are unsanitary, hazardous, or dangerous to
his or her health and safety as determined under construction
and health standards promulgated by the Secretary of Labor.
Section 111. Environmental, Resource, and Energy Protection and Conservation
Requirements.
(a) Cayli.ance with Environmental Standards. The Recipient shall
comply with the provisions of the C can Air Act, as amended (42
U.S.C. § 1857 et seg.); the Federal Water Pollution Control Act, as
amended (33 U.S.C. 5 1251 et seq.); and implementing regulations,
in the facilities which are involved in the Project for which
federal assistance is given. The Recipient shall ensure that the
facilities under ownership, lease or supervision, whether directly
or under contract, that shall be utilized in the accanplishment of
the Project are not listed on the EPA's List of Violating Facilities.
Contracts, subcontracts, and subgrants of amounts in excess of
$100,000 shall contain a provision which requires compliance with
all applicable standards, orders, or requirements issued under
Section 306 of the Clean Air Act (42 U.S.C. 1857(h)), Section 508
of the Clean Water Act (33 U.S.C. 1368), Executive Order No. 11738,
and Environmental Protection Agency (EPA) regulations (40 C.F.R.
Part 15). The Recipient and any third -party contractor thereof
shall be responsible for reporting any violations to UMI, and to
30
the EPA Assistant Administrator for Enforcement. In addition, the.
Recipient shall notify UMrA of the receipt of any communication
fron the Director of the EPA Office of Federal Activities indicating
that a facility to be utilized in the Project is under consideration
for listing in EPA.
(b) Air Pollution. No facilities or equipamt shall be acquired, constructed,
or unproved as a part of the Project unless the Recipient obtains satis-
factory assurances that they are (or will be) designed and equipped to
limit air pollution as provided in the External Operating Manual and
in accordance with all other applicable standards.
(c) Use of Public Lands. No publicly owned land from a park, recreation area,
or wildlife and waterfowl refuge of national, State, or local significance
as determined by the Federal, State or local officials having jurisdiction
thereof, or any land from an historic site of national, State, or local
significance as so determined by such officials may be used for the
Project without the prior concurrence of DOT.
(d) Historic Preservation. The Recipient shall assist UMTA in its compliance
with Section 106 of the National Historic Preservation Act of 1966, as
amended (16 U.S.C. 470), EKecutive Order No. 11593, and the Archeological
and Historic Preservation Act of 1966 (16 U.S.C. 469a-1 et seq.) by (a)
consulting with the State Historic Preservation Officer cn the conduct
of investigations, as necessary, to identify properties listed in or
eligible for inclusion in the National Register of Historic Places that
` are subject to adverse effects (see 36 C.F.R. Part 800.8) by the activity,
and notifying UMTA of the existence of any such properties, and by (b)
complying with all requirements established by UMM to avoid or mitigate
adverse effects upon such properties.
(e) Energy Conservation. The Recipient and its third party contractors shall
recognize mandatory standards and policies relating to energy efficiency
which are contained in the State energy conservation plan issued in caq:>liance
with the Energy Policy and Conservation Act (P.L. 94-163).
Section 112. Patent Rights.
(a) Whenever any invention, improvement, or discovery (whether or not patentable)
is conceived or for the first time actually reduced to practice, by the
Recipient or its employees, in the course of, in connection with, or under
the terms of this Agreement, the Recipient shall immediately give the
Secretary of DOT, through UNTA, or his authorized representative written
notice thereof; and the Secretary shall have the sole and exclusive payer
to determine whether or not and where a patent application shall be filed,
and to determine the disposition of all rights in such invention, improve-
ment, or discovery, including title to and rights under any patent appli-
cation or patent that may issue thereon. The determination of the
Secretary on all these matters shall be accepted as final, and the Recipient
agrees that it will, arra warrants that all of its employees wino may be
the inventors will, execute all documents and do all things necessary
or proper to the effectuation of such determination.
31
i
(b) Except as otherwise authorized in writing by the Secretary or
his authorized representative, the Recipient shall obtain patent
agreements to effectuate the provisions of this clause from all
persons who perform any part of the work under this Agreement,
except such clerical and manual labor personnel as will have no
access to technical data.
(c) Except as otherwise authorized in writing by the Secretary or
his authorized representative, the Recipient will insert in each
third party contract having design, test, experimental, develop-
mental, or research work as one of its purposes, provisions
making this clause applicable to the third party contractor and
its employees.
(d) (1) The Recipient and the third -party contractor, each, may reserve
a revocable, nonexclusive, royalty -free license in each patent
application filed in any country on each invention subject to this
clause and resulting patent in which the Government acquires title.
The license shall extend to the third -party contractor's domestic
subsidiaries and affiliates, if any, within the corporate structure
Of which the third -party contractor is a part and shall include the
right to grant sublicenses of the same scope to the extent the
third -party contractor was legally obligated to do so at the time
the contract was awarded. The license shall be transferable only
with approval of UMTA except when transfered to the successor of
that part of the third -party contractor's business to which the
invention pertains,
(2) The third -party contractor's nonexclusive domestic license
retained pursuant to paragraph (d)(1) of this clause may be revoked
or modified by MM to the extent necessary to achieve expeditious
practical application of the Subject Invention under 41 C.F.R.
101-4.103-3 pursuant to an application for exclusive license suirdtted
in accordance with 41 C.F.R. 101-4.104-3. This license shall not
be revoked in that field of use and/or the geographical areas in
which the third -party contractor has brought the invention to the
point of practical application and continues to make the benefits
of the invention reasonably accessible to the public. The third -
party contractor's nonexclusive license in any foreign country
reserved pursuant.to paragraph (d)(1) of this clause may be revoked
or modified at the discretion of UMrA to the extent the third -party
contractor or his domestic subsidiaries or affiliates have failed
to achieve the practical application of the invention in that
foreign country.
(3) Before modification or revocation of the license, pursuant to
Paragraph (d)(2) of this clause, UWA shall furnish the third -party
contractor a written notice of its intention to modify or revoke the
32
license, and the third -Harty contractor shall be allowed 30 days
(or such longer period as may be authorized by UMTA for good cause
sham in writing by the third -party contractor) after the notice to
show cause why the license should not be modified or revoked. The
thixd-party oontractor shall have the right to appeal, in accordance
with procedures prescribed by UMTA, any decision concerning the
modification or revocation of his license.
(e) In the event no inventions, improvements, or discoveries (whether
or not patentable) are conceived, or for the first time actually
reduced to practice by the Recipient, its employees, its third -
party contractors, or their employees, in the course of, in
connection with, or under the terms of this Agreement, the Recipient
shall so certify to the Secretary or his authorized representative,
no later than the date on which the final report of work done, is
due.
(f) If the Recipient or the third. -party contractor is permitted to file
patent applications pursuant to this Agreement, the following
statement shall be included within the first paragraph of the
specification of any such patent application or patent:
The invention described herein was made in the course
of, or under, a Project with the Department of Trans-
portation.
(g) In the event the Recipient or the third -party contractor is permitted
to acquire principal rights pursuant to this clause arra fails to
take effective steps within 3 years after issuance of a patent
on any patent applications permitted to be filed pursuant to this
clause to bring the claimed invention to the point of practical
application, the Secretary or his authorized representative may
revoke such rights or require the assignment of such rights to the
Government.
(h) The Secretary or his authorized representative shall, before the
expiration of three (3) years after final payment under this
grant, have . the right to examine any books, records, documents,
and other supporting data of the Recipient which the Secretary or
his authorized representative shall reasonably dean directly
Pertinent to the discovery or identification of inventions
failing within the criteria set out in paragraph (a), or to
compliance by the Recipient with the requirements of this clause.
The Secretary or his authorized representative shall, during
the period specified above, have the further right to require the
Recipient to examine any books, records, documents, and other
supporting data of the third -party contractor which the Recipient
shall reasonably deem directly pertinent to the discovery or
33
ide_ntificatian of inventions falling within the criteria set
out in paragraph (a) or to compliance by the third-party
contractor with the requirements of the patent rights clause
of the third-party contract.
Section 113. Rights in Data.
(a) The term "subject data" as used herein means recorded information,
whether or not copyrighted, that is delivered or specified to be
delivered under this Agreement. The term includes graphic or
Pictorial delineations in media such as drawings or photographs;
text in specifications or related performance or design-type
documents; machine forms such as p`indhed cards, magnetic tape,
or computer memory printouts; and information retained in computer
merory. Examples include, but are not limited to, engineering
drawings and associated lifts, specifications, standards, process
sheets, manuals, technical reports, catalog item identifications,
and related information. The term does not include financial,
reports, cost analyses, and similar information incidental to
contract administration.
.
(b) All "subject.data" first produced in the performance of this Agree-
ment. shall be the sole property of the Government. The Recipient
agrees not to assert any rights at common law or equity and not
to establish any claim to statutory copyright in such data. Except
for its own internal use, the Recipient shall not publish or
reproduce such data in whole or in part, or in any mariner or form,
nor authorize others to do so, without the written consent of the
Government until such time as the Government may have released
such data to the public; this restriction, however, does not
apply to Agreements with Academic Institutions.
(c) The Recipient agrees to grant and does hereby grant to the Govern-
vent and to its officers, agents, and employees acting within the
scope of their official duties, a royalty-free, nonexclusive,
and irrevocable license throughout the world (1) to publish,
translate, reproduce, deliver, perform, use, and dispose of, in
any manner, any and all data not first produced or composed in
the performance of this Agreement but which is i.ncorporateci in
the work furnished under this Agreement; and (2) to authorize
others so to do.
(d) The Recipient shall indemnify and save and hold harmless the Govern-
ment, its officers, agents, and employees acting within the scope
of their official duties against any liability, including costs
and expenses, resulting from any willful or intentional violation
by the Recipient of proprietary rights, copyrights, or rights of
34
privacy, arising out of the publication translation
, reproduction
livery, Performance, use, or disposition of any data furnished
wxler this Agreement.
(e) Nothing contained in this clause shall imply a license to the
Government under any patent or be construed as affecting the
scope of any license or other right otherwise granted to the
Government under any patent.
(f) In the event that the Project, which is the subject of this Agreement,
is not completed, for any reason whatsover, all data generated
under that Project shall become subject data as defined in the
Rights in Data clause in this Agreement and shall be delivered as
the Government may direct. This clause shall be included in all
third -party contracts under the Project.
(g) Paragraphs (c) and (d) above are not applicable to material furnished
to the Recipient by the Govmmment and incorporated in the work
furnished under the contract; provided that such incorporated material
is identified by the Recipient at the time of delivery of such
work.
Section 114. Cargo Preference - Use of United States -Flag Vessels.
(a) 46 U.S.C. § 1241 provides in pertinent part as follows
(b) (1) Whenever the United States shall procure, contract
for, or otherwise obtain for its own account, or shall furnish to
or for the account of any foreign nation without provision for
reimbursanent, any equipment, materials, or commodities, within
or without the United States, or shall advance funds or credits
or guarantee the convertibility of foreign currencies in connection
with the furnishing of such equipment, materials, or commodities,
the appropriate agency or agencies shall take such steps as may
be necessary and practicable to assure that at least 50 per centum
of the gross tonnage of such equipment, materials, or commodities
(confuted separately for dry bulk carriers, dry cargo liners, and
tankers), which may be transported on privately owned United States -
flag camtiercial vessels, to the extent such vessels are available
at fair and reasonable rates for United States -flag vaimrierci.al
vessels, in such manner as will insure a fair arra reasonable partici-
pation of United States -flag oamexcial vessels in such cargoes
by geographic areas: ... .
(2) Every department or agency having responsibility under
this subsection shall administer its Programs with respect to
this subsection under regulations issued by the Secretary of
CmTneroe .. .
35
(b) Pursuant to regulations published by the Secretary of CaRmerce at
46 C.F.R. Part 381, the Recipient agrees to insert the following
clauses in all contracts let by the Recipient under which equipment,
materials or ccmnodities may be transported by ocean vessel in
carrying out the Project:
The contractor agrees --
(Z) To utilize privately owned United States -flag commercial
vessels to ship at least 50 percent of the gross tonnage (computed
separately for dry bulk carriers, dry cargo liners, and tankers)
involved, whenever shipping any equipment, materials, or commodities
pursuant to this section, to the extent such vessels are available
at fair and reasonable rates for United States -flag commercial
vessels.
(2) To furnish within 30 days following the date of loading
for shipments originating within the United States, or within 30
working days following the date of loading for shipment originating
outside the United States, a legible copy of a rated, "on -board"
commercial ocean bill-of-Zading in EngZish for each shipment of
cargo described in paragraph (Z) above to the Recipient (through
the prime contractor in the case of subcontractor bills-of-Zading)
and to the Division of National Cargo, Office of Market Develop-
ment, Maritime Administration, Washington, D.C. 20230, marked
with appropriate identification of the Project.
(3) To insert the substance of the provisions of this clause
in all subcontracts issued pursuant to this contract.
Section 115. Buy America.
Pursuant to Section 401 of the Surface Transportation Assistance
Act of 1978 P.L. 95-599, Nov. 6, 1978, and regulations published
thereunder, the Recipient agrees that if the total cost of this
Project or any amerrlment thereto exceeds $500,000,and if funds therefor
are obligated by the Gb�ent after Novenber 6, 1978, the Recipient
shall reguire with respect to any third party contract thereunder
that exceeds $500,000 that only such unmanufactured articles, materials,
and supplies as have been mined or produced in the United States,
and only such manufactured articles, materials, arra supplies as have
been manufactured in the United States substantially all from
articles, materials, and supplies mined, produced, or manufactured,
as the case may be, in the United States, will be used in such Project,
unless a waiver of these provisions is --granted.
•36
Upon written request to the Secretary, the Recipient may request
a waiver of the above provisions. Such waiver may be granted if
the Secretary determines:
(1) their application would be inconsistent with the public
interest;
(2) in the case of acquisition of rolling stock, their appli-
cation would result in unreasonable cost (after granting appropriate
price adjustments to domestic products based on that portion of
Project cost likely to be returned to the United States and to
the States in the form of tax revenues);
(3) supplies of the class or kind to be used in the manufacture
of articles, materials, supplies are not mined, produced, or
manufactured in the United States in sufficient and reasonably
available quantities and of a satisfactory quality; or
(4) that inclusion of domestic material will increase the
cost of the overall Project contract by more than 10 per centum.
Section 116. Charter and School Bus Operations.
(a) Charter Bus. The Recipient, or any operator of mass transportation,
acting on its behalf, shall not engage in charter bus operations
outside the urban area within which it provides regularly scheduled
mass transportation service, except as provided under Section 3(f)
of the Urban Mass Transportation Act of 1964, as amended, 49 U.S.C.
§ 1602(f), and regulations published thereunder.
(b) School Bus. The Recipient, or any operator of mass transportation
acting on its behalf, shall not engage in school bus operations,
exclusively for the transporation of students or school personnel,
in =npetition with private school bus operators, except as
provided under Section 3(g) of the Urban Mass Transportation Act
of 1964, as amended, 49 U.S.C. § 1602(q) and regulations 00blished
thereunder.
Section 117. Compliance with Elderly and Handicapped Regulations.
The Recipient shall insure that all fixed facility construction or
alteration and all new equipment included in the Project comply with
applicable regulations regarding Transportation for Elderly and.Hanci-
capped Persons, _set forth at 49 C.F.R. Part 27.
Section 118. Flood Hazards.
The Recipient shall oorcply with the flood insurance purchase require
ments with respect to construction or acquisition purposes, of
Section 102(a) of the Flood Disaster Protection Act of 1973,
42 U.S.C. § 4012(a).
37
Section 119. Privacy.
Should the Recipient, its third party contractors or its employees
administer any system of records on behalf of the Federal Government,
the following terms and conditions are applicable.
(a) The Recipient agrees:
(1) to cccrply with the Privacy Act of 1974, 5 U.S.C. 5 552a
(the Act) and the rules and regulations issued pursuant to the Act wizen
performance under the contract involves the design, development,
or operation of any system of records on individuals to be
operated by the Recipient, its contractors or employees to
acomplish a Government function
(2) to notify the Government when the Recipient anticinates
operating a system of records on behalf of the Goverment in order
to accomplish the requirements of this Agreement, if such
system contains information about individuals which will be
retrieved by the individual's name or other identifier assigned
to the individual. A system of records subject to the Act
may not be employed in the performance of this Agreement until
the necessary approval and publication requirements applicable
to the system have been carried out. The Recipient agrees to
correct, maintain, disseminate, and use such records in
accordance with the requirements of the Act, and to omply
with all applicable requirenents of the Act;
(3) to include the Privacy Act Notification contained
in this Agreement in every third party contract solicitation
and in every third party contract when the performance of
work under the proposed third party oontract may involve the
design, development, or operation of a system of records on
individuals that is to be operated under the contract to
accomplish a Government function; and
(4) to include this clause, including this paragraph, in
all third party contracts under which work for this Agreement
is performed or which is awarded pursuant to this Agreement or which
may involve the design, development, or operation of such
a system of records on behalf of the Goverzument.
(b)For purposes of the Privacy Act, when the Agrement involves
the operation of a system of records on individuals to
accomplish a Government function, the Recipient, third party
contractor and any of their employees is considered to be an
employee of the Government with respect to the Government
function and the requirements of the Act, including the
38
civil and criminal penalties for violation of the Act, are
applicable exoept that the criminal penalties shall not apply
with regard to contracts effective prior to September 27, 1975.
In addition, failure to comply with the provisions of the Act
or of this clause will make this Agreement subject to teimi -
nation.
(c) The terms used in this clause have the following meanings:
(1) "Operation of a system of records" moans performance
of any of the activities associated with maintaining the system
of records on behalf of the Unesnment including the collection,
use and dissemination of records.
(2) "Record" means any item, collection, or grouping of
information about an individual that is maintained by the
Recipient on behalf of the Government, including, but not
limited to, his education, financial transactions, medical
history, and criminal or employment history and that contains
his name, or the identifying number, symbol, or other
identifying particular assigned to the individual, such as
a finger or voice print, or a photograph.
(3) "System of records" on individuals means a group of
any records under the control of the Recipient on behalf of
the Government from which information is retrieved by the name
of the individual or by scene identifying number, symbol, or
other identifying particular assigned to the individual.
Section 120. Miscellaneous.
(a) Bonus or Canai.ssien. The Recipient warrants that it has not
paid, so agrees not to pay, any bonus or commission for
the purpose of obtaining an approval of its application for
the financial assistance hereunder.
(b) State or Territorial Law. Anything in the Aunt to the
contrary notwithstanding, nothing in the Agreement shall
require the Recipient to observe or enforce compliance with
any provision thereof, perform any other act or do any other
thing in contravention of any applicable State or territorial
law; Provided, That if any of the provisions of the Agreement
violate any applicable State or territorial law, or if co pliance
with the provisions of the Agreement would require the Recipient
to violate any applicable State or territorial law, the
Recipient will at once notify DOT in writing in order that
appropriate changes and modifications may be made by DOT and the
Recipient to the end that the Recipient may proceed as soon
as possible with the Project.
39
4
T
(c) Record. the Recipient, and any mass transportation operates
for clz it applies will, for each local fiscal year ending
on or after July 1, 1978, conform to the reporting system and
the uniform system of accounts and records to the extent
required by section 15 of the Urban Mass Transporation Act
of 1964, as amended, 49 U.S.C. § 1611, effective for each
local fiscal year ending on or after July 1, 1978, and LIIMM
regulations.
(d) Severability. If any provision of this Agreement is held invalid,
the iE der of this Agreement shall not be affected thereby
if such remainder would then continue to oonfonn to the terms
and requirements of applicable law.
40
TOTAL 476,211 6355,291
CITIBUS SYSTEM RIDERSHIP
8 Month.Breakdown
Texas
City
Routes
Total
79
80
OCT
61,545
78,298
NOV
56,650
70,588
DEC
56,127
66,511
JAN
58,139
81,584
FEB
56,105
86,303
MAR
62,300
86,885
APR
62,627
87,377
MAY
62,718
77,745
TOTAL 476,211 6355,291
CITIBUS SYSTEM RIDERSHIP
8 Month.Breakdown
Texas
Tech
Other
Total
79
80
79
80
79
80
242,312
249,604
6,900
13,380
310,757
341,282
192,847
220,240
7,800
5,288
257,297
296,116
132,322
121,438
3,120
3,654
191,569
191,603
165,297
175,733
3,720
3,540
227,156
260,857
220,396
231,558
3,420
1,740
279,921
319,601
187,213
176,498
3,300
1,908
252,813
265,291
231,663
223,723
3,960
879
298,250
311,979
22,122
19,824
4,240
1,619
89,080
99,188
1,394,172
1,418,618
36,460
32,008
1,906,843
2,085,917
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1
In response to your request, the Transit Advisory Board has prepared reports to
present to the City Council. I am Milton Smith and am currently the chairman
of the. Transit Advisory Board. Also here are other members of the Board. Some
of these will make presentations following mine. My term on the baord will end
this month, and I wish to express my appreciation to the Council for the
opportunity I have had to participate in this small way in the business of the
City of Lubbock for the past 6 years.
Before we look at the financial data there are two related aspects I want to
mention. First, the City of Lubbock has been involved in both intercity and
Intracity transportation for many years. There is a record of continuous
Involvement in streets, air transportation, and more recently, the bus system.
Mere involvement in the past does not require a future involvement, but I do
want to point out that the City of Lubbock is involved in providing transit
facilities for its citizens. The second point I feel needs to be made is that
the decisions you are required to make are political decisions. As such, each
decision will involve some elements of economics and some elements unrelated to
economics. if every decision could be reduced to dollars and cents, we would
not need elected officials who represent all the citizens of Lubbock to make
the decisions. Your decisions concerning the Citibus system may involve
economic aspects, but there also will be areas where we cannot quantify the
information. That's where your Judgement becomes very important.
Now, let us look at the Citibus financial data that you requested. Some of
the data I will present was prepared by the City staff and some I prepared.
As you know, capital acquisition costs are divided into three parts; these are
shown in Table 1.
TABLE 1. DIVISION OF CAPITAL ACQUISITION COSTS
Federal 80%
State 13%
City 7%
100%
'.Operating deficits are shared equally between the City and the Federal
government as shown in Table 2.
TABLE 2. DIVISION OF OPERATING DEFICITS
Federal 50%
City 50%
However, the computation formula is such that the true division for the City
of Lubbock is more like:
Federal 60%
City 40%
Your page entitled "Citibus Financial Report" will now be examined. It shows
mileage, ridership, revenue, and operating expenses. Cost per mile data
obtainable from the page yields the data in Table 3.
TABLE 3. CITIBUS OPERATING COST PER MILE
t Operating
Year Cost/Mile
75-7T F0--
76-77 .8o
77-78 1.02
78-79 1.15
79-80 1.30
80-81 1.67
The increasing cost per mile Is a result of higher costs for fuel, 40or, and the
other Inputs necessary to maintain the system. There is no way I know of to reduce
the cost per mile other than to pay less for fuel, labor, or supplies, or to drive
the buses faster, and neither of these is feasible. These costs per mile
compare very favorable with those from other cities in Texas. Morris Wilkes will
discuss some cost comparisons in a few minutes.
The costs shown here are operating costs only. Not included are depreciation
and interest expenses.
Next, let us go to the next page with the heading "Capital Expenditure -
Depreciation Schedule". The City of Lubbock owns 25 Grumman buses that had a
first cost of $23,228 each. These are gasoline engine powered buses that have
components similar to those of a motor home. As such, they have a limited life
when used for heavy service. The depreciation schedule shows a straight line
depreciation over 5 years. These buses will have gone about 200,000 miles and
may be useful for light service after the 5 year projected life. Eighteen
General Motors Advanced Design Buses are due to be delivered at the end of this
summer. These are diesel powered and are designed for heavy service. A life
of at least 12 years can be expected. The cost per bus is $126,607. They should
be run for 750,000 to 1,000,000 miles. The straight line depreciation costs
for these buses and for other items being acquired this year are shown on the same
page.
Nine of these new buses will be used on the Texas Tech routes. The remainder will
be used on regular City routes.
Now we will consider the last page entitled "Total System Cost Per Citibus
Passenger". Item 7 covers operating cost and revenue; for 1979-80 this is $.52
per passenger, and for 1980-81 it is projected to be $.60 per passenger as shown
in Table 4.
TABLE 4. OPERATING COSTS FOR THE TOTAL SYSTEM
79-80 80-81
Operating Cost $1,3771 $1,7$2,0$8
Cost/Passenger .52 .60
Depreciation costs from the previous page are shown in Table 5.
TABLE 5. DEPRECIATION COSTS FOR THE TOTAL SYSTEM
79-80 80-81
Depreciation Cost $ 12 5 $ 39$—?TO
Cost/Passenger .05 •13
interest costs are shown in item 13 with the title "Cost of Money". I have some
disagreement with these costs and will explain how I feel they should be
computed. In practice when an item is depreciated, the book value, and therefore
the amount subject to an interest charge Is equal to the original cost minus
accumulated depreciation. When this approach is used, the total investment for
1979-80 is $126,105 multiplied by 2 or $252,210. The interest cost should be
$25,221 rather than $69,993 as shown. For 1980-81 the investment amount is
$126,104 -plus $2,861,879 (the cost of equipment acquired in 1980). Using 10%
interest, the interest cost for 1980► -81 will be $304,798 rather than $494,362•
This gives interest costs as shown in Table 6.
TABLE 61 INTEREST COSTS FOR THE TOTAL SYSTEM
79-80 80-81
Interest Cost $ 25,221 $30WF,7-98
Cost/Passenger ,01 .10
The component and total costs are summarized in Table 7.
TABLE 7• TOTAL SYSTEM COSTS
Cost Component 197_ 9-80 198o -8i
�
Operating $1,377,981 $1,782,088
Depreciation 126,105 389,440
Interest 25,221 �3�004�,7�_.98
TOTAL 19529,307 2,476,326
Cost/Passenger .57 •83
This data includes costs and passengers of all aspects of Citibus operation
Including regular routes, charter work, an4. the Texas Tech subsystem.
You may want to see the data with the Texas Tech system excluded. It is difficult
to separate the Tech costs exactly, but we can come close. The system as it now
operates with leased buses is Just about on a break-even basis, so we can identify
the costs for 1979-80 easily, For 1980-81 It is a little more difficult. These
costs are shown in Table 8.
TABLE 8. CITIBUS COSTS EXCLUDING THE TEXAS'TECH SUBSYSTEM
Cost Component
1979-80
1980-81
Operating
$1,217,154
$1,596,142
Depreciation
126.,105
289,935
Interest
TOTAL
25,221
1� ,3T$,480
181,860
22,7
Cost/Passenger
1.28
1.54
The operating costs per mile for the Texas Tech subsystem are higher than those
for -regular routes. This is due to the lower average speed of buses on the Tech
campus and to the lower miles per gallon caused by the constant starting and
stopping. The average route speed on the Tech campus is under 10 miles per hour
while on regular routes it is about 14 miles pet hour. There are several benefits
to the City that arise from the Texas Tech subsystem. First, there are three
routes that go off campus; anyone can ride these buses at no cost. Second, since
no buses operate during the Christmas holidays and a reduced number operate during
the summer sessions, it provides an opportunity for drivers to take their vacations
during times that are most desirable for vacations. Third, the nine buses used
on the Texas Tech routes become available for regular routes each Saturday; also
they are available for charter work .for football and basketball games. Fourth,
• the UMTA formula for operating assistance proves to be very favorable to the
City when the Tech subsystem Is operated by the City.
The cost to the City of Lubbock will be addressed next. With the Texas Tech
subsystem included, these costs are as shown in Table 9.
TABLE 9• COSTS TO THE CITY OF LUBBOCK FOR THE TOTAL SYSTEM
Cost Component
1979-80
1980-81
Operating
$ 375,063
$ 453,117
Depreciation
8,827
27,261
Interest
TOTAL
I 765
$ 385,65-5
21 336
$ 501
City Subsidy/
Passenger
.145
.168
If we exclude the Texas Tech system cost and revenue, we get the costs
shown in Table 10.
TABLE 10. COSTS TO THE CITY OF LUBBOCK FOR THE SYSTEM EXCLUDING THE TEXAS TECH
SUBSYSTEM
Cost Component 1979-80 1980-81
Operating $446,147 $553,081
Depreciation 8,827 20,295
Interest 1.765 12 730
TOTAL $456,739 $586,106
City Subsidy/
Passenger .429 •438
As you can see, when the Texas Tech system is removed, both the total subsidy
from the City of Lubbock and the city subsidy per passenger increase. The
reason the total city subsidy increases is due to a pecularity in the formula
for computing the UMTA share. There are some small differences between my
� cost data and those prepared by the city staff. These differences are due
partly to the different approaches in handling interest and partly to other
differences in assumptions.
Now let us examine what savings the federal government realizes If the city
of Lubbock does not use either the UMTA capital assistance or the operating
assistance or both. How much reduction occurs in federal government espenditures?
Exactly zero. The amounts appropriated for UMTA participation in both capital
acquisitions and operating assistance is fixed. Those funds that are not
used by the City of Lubbock will be used elsewhere. The amount of federal
taxes_ paid by the citizens of Lubbock will not be changed. It is my view
that if you want to reduce federal spending, you should either get yourself
elected to Congress rather than to the City Council or else instruct your
elected representatives to change the federal appropriations. I would like to
think that we In Lubbock can forego using federal funds and have our taxes
reduced. Unfortunately in this case it Just does not work this way. What
actually happgns is we will go on paying our taxes but will not receive the
benefits.
It is my opinion that the Citibus costs that must be considered are those
costs that the City of Lubbock must pay. This is the bottom line of my view-
point. It is a selfish viewpoint but I feel in this matter the Council and in
a way the Transit Advisory Board works for the Citizens of Lubbock
This concludes my discussion of the finanacial data on the bus system. Before
moving to the next point l wish to make a point concerning the Board's handling
of information on costs. We have never hidden costs from anyone and we do
,,not Intend to hide any costs. The cost data I have presented have been
available for anyone to examine, and public hearings have been held on numerous
occasions following public announcements of the hearings. None of these public
hearings were attended by anyone who ever asked about system costs. I have
been on the Transit Advisory Board for 6 years and know there was never a
citizen who appeared to ask for cost data. There have been many who appeared
to ask for bus service but none to ask for cost data.
There are some other costs that are incurred by the Citibus system. I will
list some of the cost areas, but I know this list Is incomplete. However I
am not trying to hide any costs. Costs arise in these areas:
Streets -- the bus system utilizes streets; the buses have higher axi:e loadings
than do most vehicles; therefore some wear and tear on the streets will occur.
Pollution and noise -- the buses do contribute to air pollution and to the noise
level of the city.
Traffic control -- all vehicles on the streets require traffic control; here the
buses in Some way create some workload for the Police Department and occasionly
the court system. This workload eventually becomes a cost to the taxpayers.
Administration -- the staff of the Transit Department create some workload
on the City Manager's personnel and on city offices such as the Personnel
office and the Director of Finance. Costs for this supervision and service
are not reported in the cost data presented to you.
do,not intend to make cost comparisons with other means of transportation,
but if you wish to do that, I think a comparison of automobile transportation
with bus transportation should include operating costs, depreciation costs
and Interest costs of streets, the Police Department, the Court system,
correctional institution costs, and costs resulting from automobile pollution,
noise, and the costs arising from injuries and deaths incurred from automobiles
operation. Also we should add costs of research funded by DOT on automobile
design and operation. To be really fair, I suggest you should open all of
these issues if you want to make cost comparisons.
Briefly 1 will review the ridership data. During the month of April the
city routes carried 85,330 riders; this was a 36% Increase over ridership in
April, 1979. In May ridership was 77,745; this was a 24% increase over rider-
ship in May, 1979. Prospects for reaching 100,000 riders per month in the
near future looks very good. Now let's look at the May data. I do not know
how many of these 77,745 riders had their own automobile or how many had friends
to ride with or how many had no other way of traveling. I am sure there are
many in each category. There are many riders who are unable to drive even
If they can afford an automobile. There are others who use the bus because
It costs less to drive or because it is more convienent than their driving.
When i left home this morning I had a choice of two automobiles to drive;
there are many in Lubbock who have no choice except to ride the bus.
f_
I made some calculations on passenger miles per gallon of fuel for the month
of April. My estimate is that Citibus passengers were carried 19.9 miles on
each gallon of fuel used. This figure is for the regular routes and excludes
the Texas Tech system and all other charter work. While this figure is not
spectacular, it is, better than most of us get in city driving.
It is my view that Citibus does not need a lot of public criticism about
empty buses. Those who make such comments likely have never been at Broadway
and Avenue K 7:30 or 8:00 a.m. If they had been there, they would have seen
many busesane near capacity loadings and some with riders standing in the aisles.
It was with some interest I recently read of plans to expand the airport
terminal. I have been there several times and did not see any Rlene parked at
the terminal. Also there are many times I have seen the major runways with no
aircraft on them. Can it be that we need less terminal and runways rather than
more. As a taxpayer, my answer likely will be affected by the need I have
for the service. if I never need it, we already have too much; if I use it
extensively (as i do), then I see the facility at the airport as a definite
asset to the City.
Instead of criticism what Citibus needs is more riders. We are getting more
riders, and I believe we will continue to get more riders. Unit] this country
gains some independence from the whims of foreign oil producers, we will see
fuel costs escalate without end. Every increase will create a higher ridership
for public transportation. If the government of Saudi Arabia goes the way of
the government of Iran, I believe we will wish we had a Citibus system that is
3 or 4 times the size of our present system. I feel it is simply a matter of
time before we have gasoline rationed. If rationing does occur, there will be
a very heavy demand placed upon Citibus. I believe we should keep that'#n mind
as we make decisions concerning the equipment we own and use.
In closing let me recommend that the Citibus system be kept a viable system.
The existing system is a good system; the addition of the 18 buses that will
be recieved this summer will help•to make a better system. The eventual
replacement of all the Grumman buses is a necessary step that must be made
In the near future. I think a good bus system in Lubbock is an asset the the
City.
d TABLE B-1: TEXAS TRANSIT STATISTICS
d' BY SYSTEM
Calendar Years 1977 and 1978
ABILENE
1977 1978
Total Passengers 254,402 288,750
Regular Route 184,458 205,036
Transfers 69,944 83,714
Total Vehicle Miles 277,705 317,669
Regular Route 266,565 308,941
Charter/Other 11,140 8,728
Total Vehicle Hours - 20,678 '
Regular Route 16,991 19,576
Charter/Other - 1,102
Average No. of Buses 6 6
on Regular Routes
Average No. of Total 12 12
Serviceable Buses
Average No. Employees 13 15
Total Operating Revenues $ 49,662 $ 47,965.
Farebox $ 33,918 $ 36,689
Charter 15,744 11,276
Other -O- -0-
Tot91 Operating Expense $181,355 $240,862
Net Public Operating $131,693 $192,897
Cost
Public Capital Cost -0- -0-
Federal -0- -0-
State -0- -O-
Local -0- -0-
TOTAL PUBLIC EXPENSE $131,693 $192,897
B-3 ITEM ?
Total Passengers*
1977
i
1978
670,928
626,647
Total Passengers*
1977
AMARILLO
1978
670,928
626,647
Regular Route
670,928
558,148
Transfers
-0-
68,499
Total Vehicle Miles
893,099
845,190
Regular Route
709,087
696,744
Charter/Other
-
184,012
148,446
Total Vehicle Hours
-
60,156
Regular Route
51,552
49,770
Charter/Other
-
10,386
Average No. of Buses
14
14'
on Regular Routes
Average No. of Total
36
35
Serviceable Buses '
Average No. Employees
42
40
Total Operating Revenues
$268,606
$251,876
Farebox
$123,943
$122,812
Charter
43,086
48,237
Other
101,577
80,827
Total Operating Expense
$697,588
$756,273
Net Public Operating
$428,982
$504,397
Cost
Public Capital Cost
$258,369
$152,670
Federal
$206,695
$122,136
State
33,588
19,847
Local
18,086
10,687
TOTAL PUBLIC EXPENSE
$687,351
$657,067
* Regular Route, Transfers and Total Passengers are estimated for November and
December of 1978.
B-4
f
AUSTIN
1977
1978
Total Passengers
6,199,344
6,016,524
Regular Route
4,172,633
4,012,059
Transfers
2,026,711
2,004,465
Total Vehicle Miles
2,887,674
2,844,565
Regular Route
2,519,160
2,504,508
Charter/Other
368,514
340,057
Total Vehicle Hours
-
230,919
Regular Route
186,593
196,738
Charter/Other
-
34,181*
Avera-ge No. of Buses
44
56
on Regular Routes
Average No. of Total
68
75
Serviceable Buses
Average No. Employees
182
192
Total Operating Revenues
$1,115,976
$1,022,067
Farebox
$ 835,995
$ 775,477
Charter
181,859
159,609
Other
98,122
86,981
Total Operating Expense
$3,141,218
$3,649,372
Net Public Operating
$2,025,242
$2,627,305
Cost
Public Capital Cost
$ 11,920
$2,117,147
_
Federal
$ 9,536
$1,693,716
State
1,550
275,229
Local
834
148,202
TOTAL PUBLIC EXPENSE
$2,037,162
$4,744,452
* First 6 months are estimated
B-5
i i
Total Passengers
1977
BEAUMONT
1978
1,293,266 -
1,238,6.41
Regular Route
1,011,758
964,293
Transfers
281,508
274,348
Total Vehicle Miles
588,047
561,414
Regular Route
580,698
556,175
Charter/Other
7,349
5,239
Total Vehicle Hours
-
53,673
Regular Route
52,725
52,728
Charter/Other
-
945
Average No. of Buses
14
.13
on Regular Routes
Average No. of Total
25
25
Serviceable Buses
Average No. Employees
35
36
Total Operating Revenues
$
272,984
$
264,035
Farebox
$ 258,038
$250,059
Charter
14,494
13,880
Other
452
96
Total Operating Expense
$
635,406
$
661,958
Net Public Operating
$
362,422
$
397,923
Cost
"
Public Capital Cost
$
815,253
-0-
Federal
$ 650,820
-0-
State
105,983
-0-
Local
58,450
-0-
TOTAL PUBLIC EXPENSE
$1,177,675
$
397,923
B-E
BRO14NSVILLE
Total Passengers
1977
(Private)
7-13-78 Thru
(Public)
12-31-78
1978
(Total)
465,451
460,236 801,146
Regular Route
465,451
460,236
801,146
Transfers
-0-
-
-
Total Vehicle Miles
388,603
204,224
488,211
Regular Route
337,758
179,053
442,487
Charter/Other
50,845
25,171
45,724
Total Vehicle Hours
-
22,176
43,004
Regular Route
22,694
18,144
35,998
Charter/Other
-
4,032
7,006
Average No. of Buses
10
10
12
on Regular Routes
Average No. of Total
13
17
17
Serviceable Buses
Average No. of Employees
18
59
41
Total Operating Revenue
$202,420
$208,077
Farebox
$133,624
$152,533
Charter
68,796
-0-
Other
-0-
55,544 -
Total Operating Expense
$202,582
$290,598
Deficit
$ 162
-
Profit
Net Public Operating Cost
$ 82,521
Public Capital Cost
755,151
Federal
$124,120
State
20,170
Local
10,861
TOTAL PUBLIC EXPENSE
$237,672
NOTES:
(1) The year 1977 and tfie first half of 1978 reflect the operations of one
private transit company in the city of Brownsville.
(2) The first 12 days of July are estimated by SDH & PT.
(3) The City of Brownsville acquired two private transit companies (July, 1978
& September 1978).
B-7
Total Passengers
1977
CORPUS CHRISTI
1978
1,950,384
1,810,691
Regular Route
1,498,299
1,411,993
Transfers
452,085
398,698
Total Vehicle Miles
1,475,713
.1,279,983
Regular Route
1,284,019
1,165,090
Charter/Other
191,694
114,893
Total Vehicle Hours
-
94,353
Regular Route
92,885
85,282
Charter/Other
-
9,071
Average -No. of Buses
29
26
on Regular Routes
Average No. of Total
49
48
Serviceable Buses
Average No. Employees
82
79
Total Operating Revenues
$ 905,922
$1,059,454
Farebox
$ 354,707
$ 369,694
Charter
180,112
193,201
Other
371,103
496,559
Total Operating Expense
$1,697,440
$1,923,037
Net Public Operating
$ 791,518
$ 863,583
Cost
Public Capital Cost
$ 116,008
$ 65,752
Federal
$ 46,694
$ 52,601
State
45,054
8,548
Local
24,260
4,603
TOTAL PUBLIC EXPENSE
$ 907,526
$ 929,335
B-8
f
Total Passengers
1977
DALLAS
1978
31,451,152
32,918,560
Regular Route
24,576,738
25,557,634
Transfers
6,874,414
7,360,926
Total Vehicle Miles
12,824,137
13,818,451
Regular Route
12,108,126.
13,061,397
Charter/Other
716,011
757,054
Total Vehicle Hours
-
1,018,623
Regular Route
863,620
934,230
Charter/Other
-
84,393
Average No. of Buses
344
376
on Regular Routes
Average No. of Total
406
439
Serviceable Buses
Average No. Employees
847
899
Total Operating Revenues
$11,355,341
$13,201,996
Farebox
$ 9,203,920
$10,673,357
Charter
1,589,227
1,426,112
Other
562,194
1,102,527
Total Operating Expense
$17,127,635
$19,319,963
Net Public Operating
$ 5,772,294
$ 6,117,967
Cost
Public Capital Cost
$ 126,149
$ 5,100,030
Federal
$ 100,919
$ 3,048,560
State
14,823
663,004
Local
10,407
1,388,466
TOTAL PUBLIC EXPENSE
$ 5,898,443
$11,217,997
•
Total Passengers
1977
EL PASO
1978
8,843,284
8,696,204
Regular Route
8,391,958
8,226,670
Transfers
451,326
469,534
Total Vehicle Miles
3,839,350
3,983,601
Regular Route
3,826,426
3,973,097
Charter/Other
12,924
10,504
Total Vehicle Hours
-
440,198
Regular Route
442,909
434,432
Charter/Other
-
5,766
Average No. of Buses
69
69
on Regular Routes
Average No. of Total
89
89
Serviceable Buses
Average No. Employees
220
245
Total Operating Revenues
$2,725,091
$2,875,613
Farebox
$2,648,508
$2,836,547
Charter
75,950
39,066
Other
633
-0-
Total Operating Expense
$2,769,224
$4,064,834
Net Public Operating
$ 44,133
$1,189,221
Cost
Public Capital Cost
$2,227,643
$7,415,856
Federal
$1,782,114
$5,932,684
State
278,308
964,061
Local
167,221
519,111
TOTAL PUBLIC EXPENSE
$2,271,776
$8,605,077
NOTE:
(1) The City of E1 Paso receives revenue from a toll bridge which is not reflected
in these transit statistics.
B-10
r � r
Total Passengers
1977
FORT WORTH
1978
5,070,943
5,205,118
Regular Route
4,164,444
4,282,548
Transfers
906,499
922,570
Total Vehicle Miles
3,040,422
3,089,734
Regular Route
2,883,974
2,908,379
Charter/Other
156,448
181,355
Total Vehicle Hours
-
246,486
Regular Route
226,483
229,538
Charter/Other
-
16,948
Average No. of Buses
85
86
on Regular Routes
Average No. of Total
106
106
Serviceable Buses
Average No. Employees
215
206
Total Operating Revenues
$2,666,755
$2,930,431
Farebox
$1,361,024
$1,390,748
Charter
244,914
304,875
Other
1,060,817
1,234,808
Total Operating Expense
$3,678,887
$4,134,836
Net Public Operating
$1,012,132
$1,204,405
Cost
Public Capital Cost
$ 454,446
$ 41,731
Federal
$ 302,964
$ 27,820
State
98,463
9,042
Local
53,019
4,869
TOTAL PUBLIC EXPENSE
$1,466,578
$1,246,136
B-11
Total Passengers
1977
GALVESTON
1978
19224,627
1,341,083
Regular Route
1,224,627
1,051,880
Transfers
-0-
289,203
Total Vehicle Miles
509,862
533,370
Regular Route
486,597
508,224
Charter/Other
23,265
25,146
Total Vehicle Hours
-
55,007
Regular Route
-
50,193
Charter/Other
-
4,814
Average No. of Buses
15
11
on Regular Routes
Average No. of Total
15
15
Serviceable Buses
Average No. Employees
54
32
Total Operating Revenues
$377,993
$371,111
Farebox
$350,678
$343,102
Charter
25,532
25,539
Other
1,783
2,470
Total Operating Expense
$619,160
$647,196
Net Public Operating
$241,167
$276,085
Cost
Public Capital Cost
$ 48,016
$ 3,182
Federal
$ 38,413
$ 2,545
State
6,242
414
Local
3,361
223
TOTAL PUBLIC EXPENSE
$289,183
$279,267
B-12
HOUSTON
Total Passengers
1977
HOUSTON(1)
29J1
.1 Ottt
39,863,600
Regular Route
30,136,100
32,913,708J21
2
Transfers
9,727,500
10,338,472
Total Vehicle Miles
16,136,312
16.908,385
Regular Route
15,936,521
16,583,188(3)
Charter/Other
199,791
325,197(3)
Total Vehicle Hours
-
1,296.594(4)
1.268,208 (4)
Regular Route
1,184,991
Charter/Other
-
28.386(4)
Average No. of Buses
362
371(5}
on Regular Routes
Average No. of Total
429
500(5)
Serviceable Buses
Average No. Employees
1,079
1,227(5)
Total Operating Revenues
$11,667,455
$13,292,367
Farebox
$11,285,661
$12,617,348
Charter
381,794
601,801
Other
-0-
73,218
Total Operating Expense
$25,726,324
$36,333,257
Net Public Operating
$14,058,869
$23,040.890
Cost
Public Capital Cost
-0-
$14.935,428
Federal
-0-
$11,793.177
State
-0-
2,042,463
Local
-0-
1,099,788
TOTAL PUBLIC EXPENSE
$14,058,869
$37,976,318
NOTES:
(1) The Metropolitan Transit Authority assumed financial responsibility for
transit service October 1, 1978; however, did not assume operation control
until January 1, 1979. Reports including operating data were discontinued
at the October 1 date. Therefore, due to this transition problem, some
operating data had to be estimated for the last three months of 1978.
(2) Metro provided this Depar*,ment with estimates of ridership for the last
three months of 1978.
(3) SDHPT estimated regular route and charter vehicle miles for the last three
months of 1978. However, total regular and charter miles were provided by
METRO for this time period.
(4) SDHPT estimated vehicle hours for the last three months of 1978.
(5) SDHPT estimated the number of buses and employees for the last three months
of 1978.
B-13
Total Passengers
1977
LAREDO
1978
2,444,796
2,787,304
Regular Route
2,385,038
2,659,324
Transfers
59,758
127,980
Total Vehicle Miles
657,215
734,265
Regular Route
657,215
733,075
Charter/Other
-0-
11190
Total Vehicle Hours
-
79,901
Regular Route
72,951
79,651
Charter/Other
-
250
Average -No. of Buses
16
16
on Regular Routes
Average No. of Total
18
19
Serviceable Buses
Average No. Employees
58
59
Total Operating Revenues
$525,458
$ 600,926
Farebox
$517,360
$585,071
Charter
-0-
2,428
Other
8,098
13,427
Total Operating Expense
$965,757
$1,032,206
Net Public Operating
$440,299
$ 431,280
Cost
Public Capital Cost
-0-
$ 184,650
Federal
-0-
$147,720
State
-0-
24,004
Local
-0-
12,926
TOTAL PUBLIC EXPENSE
$440,299
$ 615,930
B-14
B-15
i
LUBBOCK
1978
2,323,646
2,811,419
112,501
985,059
1,228,117
22,507
76,229
85,923
26
39
61
$298,033 $ 388,326
41,625
30
$ 992,681
$ 604,355
$ 2,083
$558,458
90,720
48,849
$ 606,438
Total Passengers
2,923,920
Regular Route
Transfers
Total Vehicle Miles
1,250,624
Regular Route
Charter/Other
Total Vehicle Hours
-
Regular Route
Charter/Other
Average No. of Buses
32
on Regular Routes
Average No. of Total
39
Serviceable Buses
Average No. Employees
72
Total Operating Revenues
$
339,688
Farebox
Charter
Other
Total Operating Expense
$
970,363
Net Public Operating
$
630,675
Cost
Public Capital Cost
$
698,027
Federal
State
Local
TOTAL PUBLIC EXPENSE
$1,328,702
B-15
i
LUBBOCK
1978
2,323,646
2,811,419
112,501
985,059
1,228,117
22,507
76,229
85,923
26
39
61
$298,033 $ 388,326
41,625
30
$ 992,681
$ 604,355
$ 2,083
$558,458
90,720
48,849
$ 606,438
Total Passengers
1977
SAN
ANGELO
1978
268,075
281,801
Regular Route
206,475
220,601
Transfers
61,600
61,200
Total Vehicle Miles
256,381
272,549
Regular Route
246,712
265,884
Charter/Other
9,669
6,665
Total Vehicle Hours
-
19,680
Regular Route
18,905
18,570
Charter/Other
-
1,110
Average No. of Buses
7
5
on Regular Routes
Average No. of Total
10
10
Serviceable Buses
Average No. Employees
12
11
Total Operating Revenues
$ 61,783
$ 53,731
Farebox
$ 42,537
$ 44,768
Charter
8,935
7,556
Other
10,311
1,407
Total Operating Expense
$188,243
$203,263
Net Public Operating
$126,460
$149,532
Cost
Public Capital Cost
-0-
-0-
Federal
-0-
-0-
State
-0-
-0-
Local
-0-
-0-
TOTAL PUBLIC EXPENSE
$126,460
$149,532
B-16
SAN ANTONIO
Total Passengers
SAN ANTONIO*
1977
1978
24,247,728
27,840,099
Regular Route
19,909,579
23,417,021
Transfers
4,338,149
_
4,423,078
Total Vehicle Miles
8,466,719
13,563,609
Regular Route
7,187,973
12,380,166
Charter/Other
1,278,746
1,183,443
Total Vehicle Hours
-
1,002,097
Regular Route
562,520
915,808
Charter/Other
-
86,289
Average No. of Buses
on Regular Routes
262
328
Average No. of Total
Serviceable Buses
277
382
Average No. Employees
598
788
Total Operating Revenues
$8,836,538
$7,106,090
Farebox
$4,455,888
$4,674,827
Charter
1,689,590
1,813,037
Other
2,691,060
618,226
Total Operating Expense
$11,149,901
$18,693,571
Net Public Operating Cost
$2,313,363
$11,587,481
Public Capital Cost
-0-
$9,834,247
Federal
-O-
$7,443,398
State
-0-
1,554,051
Local
-0-
836,798
TOTAL PUBLIC EXPENSE
$2,313,363
$21,421,728
* San Antonio Transit became the San Antonio Metropolitan Transit Authority in March
of .1978.
B-17
1k
Total Passengers
WACO
1977
1978
650,679
566,372
Regular Route
546,929
458,050
Transfers
103,750
-
108,322
Total Vehicle Miles
458,389
482,161
Regular Route
445,301
472,560
Charter/Other
13,088
9,601
Total Vehicle Hours
-
39,140
Regular Route
34,273
37,257
Charter/Other
-
1,883
Average- No. of Buses
11
13
on Regular Routes
Average No. of Total
16
16
Serviceable Buses
Average No. Employees
32
35
Total Operating Revenues
$213,809
$196,818
Farebox
$171,990
$165,561
Charter
36,593
29,816
Other
5,226
1,441
Total Operating Expense
$548,708
$556,414
Net Public Operating
$334,899
$359,596
Cost
Public Capital Cost
-0-
$ 26,456
Federal
-0_
$ 21,165
State
-0-
3,439
Local
-0-
1,852
TOTAL PUBLIC EXPENSE
$334,899
$386,052
B-18
a i ii
Total Passengers
Regular Route
285,886 1977
WICHITA
236,710
FALLS
1978
257,901
213,926
Transfers
49,176
43,975
Total Vehicle Miles
284,615
291,765
Regular Route
283,667
289,745
Charter/Other
948
2,020
Total Vehicle Hours
-
20,989
Regular Route
20,559
20,635
Charter/Other
-
354
Average No. of Buses
8
8
on Regular Routes
Average No. of Total
10
10
Serviceable Buses
Average No. Employees
16
17
Total Operating Revenues
$122,526
$113,356
Farebox
$118,618
$106,063
Charter
1,650
4,515
Other
2,258
2,778
Total Operating Expense
$221,323
$271,584
Net Public Operating
$ 98,797
$158,228
Cost
Public Capital Cost
-0-
_0_
Federal
-0-
State
_0_
-0_
Local
TOTAL PUBLIC EXPENSE
$ 98,797
$158,228
B-19
TABLE B-2: NET OPERATING INCOME PER
PASSENGER BY SYSTEM
Calendar Year 1978
System .
Total
Passengers
Total
Opr. Rev./
Passenger
Total
Opr. Exp./
Passenger
Net Opr.
Income/
Passenger
Abilene
288,750
$ .17
$ .83
($ .66)
Amarillo
626,647
.40
1.21
( .81)
Austin
6,016,524
.17
.61
( .44)
'Beaumont
1,238,641
.21
.53
( .32)
:Brownsville*
801,146
.45
.52
( .07)
Corpus Christi
1,810,691
.59
1.06
( .47)
'Dallas
32,918,560
.40
.59
( .19)
`El Paso
8,696,204
.33
.47
( .14)
Fort Worth
.5,205,118
.56
.79,
( .23)
Galveston
1,341,083
.28
.48
( .20)
Houston
43,252,180
.31
.84
( .53.)
Laredo
2,787,304
.22
.37
( .15)
Lubbock
2,323,646
.17
.43
( .26)
San Angelo
281,801
.19
.72
( .53
San Antonio
27,840,099
.26
.67
( .411
Waco
566,372
.35
.98
( .63)
Wichita Falls
257,901
.44
1.05
( .61)
*' Private until July of 1978.
B-20
i
At
t
1
TABLE B-3:.NET
OPERATING INCOME PER
VEHICLE
MILE BY SYSTEM
f
Calendar Year 1978
r
Total
Total Opr.
Total Opr.
Pass./Veh. Rev./Veh.
Exp./Veh.
System
Mile
Mile
Mile
Abilene
0.9
$ .15
$ .76
Amarillo
0.7
.30
.89
Austin
2.1
.36
1.28
Beaumont
2.2
.47
1.18
Brownsville*
1.6
..74
.85
Corpus Christi
1.4
.83
1.50
Dallas
2.4
.96
1.40
E1 Paso
2.2
.72
1.02
Fort Worth
1.7
.95
1.34
Galveston
2.5
.70
1.21
Houston
2.6
.79
2.15
Laredo
3.8
.82
1.41
Lubbock
2.4
.39
1.01
San Angelo
San Antonio
1.0
2.1
.20
.52
.75
1.38
Waco
1.2
.41
1.15
Wichita Falls
0.9
.39
.93
* Private until July
of 1978.
s
B-21
Net Opr.
Income/
Veh. Mile
($ .59)
( .92)
( .71)
( .67)
( .44)
( .39)
( .51)
( 1.36)
( .59)
( .62)
( .55)
( •874)
( .54)
a + r
TABLE B-4: NET OPERATING INCOME PER
VEHICLE HOUR BY SYSTEM
Calendar Year 1978
Total
Total
Total
Net Opr.
TABLE B-4: NET OPERATING INCOME PER
VEHICLE HOUR BY SYSTEM
Calendar Year 1978
* 'Private until July of 1978..
B-22
Total
Total
Total
Net Opr.
Pass./Veh.
Opr. Rev./
Opr. Exp./
Income/
S stem
Hour
Veh. Hr.
Veh. Hr.
Veh. Hr.
Abilene
14.0
$ 2.32
$ 11.65
($ 9.33)
Amarillo
10.4
4.19
12.57
( 8.38)
Austin
26.1
4.43
15.80
( 11.37)
Beaumont
23.1
4.92
12.33
( 7.41)
Brownsville*
18.6
8.35
9.60
( 1.25)
Corpus Christi
19.2
11.23
20.38
( 9.15)
Dallas
32.3
12.96
18.97
( 6.01)
El Paso
19.8
6.53
9.23
( 2.70)
Fort Worth
21.1
11.89
16.78
( 4.89)
Galveston
24.4
6.75
11.77
( 5.02)
Houston
33.4
10.25
28.02
( 17.77)
Laredo
34.9
7.52
12.92
( 5.40)
Lubbock
30.5
5.09
13.02
( 7.93)
San Angelo
14.3
2.73
10.33
( 7.60)
San Antonio
27.8
7.09
18.65
( 11.56)
Waco
14.5
5.03
14.22
( 9,19)
Wichita Falls
12.3
5,40
12.94
( 7.54)
* 'Private until July of 1978..
B-22
a
W
3—
N
N
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