HomeMy WebLinkAboutResolution - 4130 - Grant Application - TDOT - Tenchincal Studies, Capital, & Operating Assistance - 04_22_1993Resolution No. 4130
April 22, 1993
Item #26
RESOLUTION
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK:
THAT the Mayor of the City of Lubbock BE and is hereby
authorized and directed to execute for and on behalf of the City of
Lubbock an application for a grant, under the Department of
Transportation, Federal Transit Act, as amended, to provide for
Technical Studies, Capital, and Operating Assistance for the period
from June 1, 1993, through September 30, 1994, which shall be
spread upon the minutes of the Council and as spread upon the
minutes of this Council shall constitute and be a part of this
Resolution as if fully copied ei in detail.
Passed by the City Council this 22nd A day bf Apej --- , _2993.
r
VID R. LANGSTON,
ATTEST:
ett M. Jo nson,
City Secretary
AP P OVED AS TO C TENT:
Larry Hoffma D rector of
Transpbttation
APPROVED AS TO FORM:
a old Willard
Assistant City Attorney
THE STATE OF TEXAS
COUNTY OF LUBBOCK
CITY OF LUBBOCK
I, Betty M. Johnson, City Secretary for the City of Lubbock,
Texas, hereby certify that the attached document is a true and
correct copy of Resolution No. 4130 as it appears in
Volume No. 52A of the Minutes record and as remains on
file in the Office of the City Secretary. The Resolution was
authorized on April 22, 1993
If I were called upon to testify, I would testify as to my
position as City Secretary and that these records accurately
reflect the records on file in this office.
(Seal)
TO CERTIFY WHICH, witness my hand
and seal of the City of Lubbock,
Texas, this 22nd day of
April , 1993.
&Zt"' �-k cll�
Betty . Johnsf n
City Secretary
61
Artli.JVA Il 1UN ruts
2. DATE SUBMITTED
Applicant Identifier
FEDERAL ASSISTANCE
March 31, 1993
1. TYPE OF SUBMISSION:
3. DATE RECEIVED BY STATE
State Application Identifier
Application Preaaprlcatrort
❑ Construction ❑ Construction
�. DATE RECEIVED BY FEDERAL AGENCY
FFedwal Identifier
® Non -Construction ❑ Non -Construction
L APPLICANT INFORMATION
Legal Name:
Organizational Unit:
City of Lubbock
Transit Department
Address (give city. county. stare. and Zrp code):
Name and telephone number of the person to be contacted on nutters invalmv
P. 0. Box 2000
this application (give area code)
Lubbock, Lubbock County
John Wilson
Texas 79457
(806) 767-2380
L EMPLOYER IDENTIFICATION NUMBER IEIN):
7. TYPE OF APPLICANT: (enter appropriate letter in bon)
A. State H. Independent School Dist.
7 5 0 0 0 5 9 0
B. County I. State Controlled Institution of Nigher Learning
C. Municipal J. Pnvate University
L TYPE OF APPLICATION:
0. Township K Indian Tribe
0 New ❑ Continuation ❑ Revision
E. Interstate L. Individual
F. Intermunicipal M Profit Organization
a Revision, enter appropriate letter(s) in box(es)
G. Special District N. Other (SpecifV)
A Increase Award B Decrease Award C Increase Duration
0. Decrease Duration Other (specify):
a. NAME OF FEDERAL AGENCY:
Federal Transit Administration
10. CATALOG OF FEDERAL DOMESTIC
11. DESCRIPTIVE TITLE OF APPLICANTS PROJECT.
ASSISTANCE NUMBER: •
Capital Assistance for the period June 1,
wme Section 9 Capital Projects, Operating
1993, through September 30, 1994
and Technical Studies Assistance
Operating Assistance for the period of
October 1, 1993, through September 30, 1994Technical
12 AREAS AFFECTED BY PROJECT (abet. counties. stares erc.)
Studies Assistance for the period
Lubbock, Lubbock County, Texas
of October 1, 1993, through September 30,199
13. PROPOSED PROJECT:
14. CONGRESSIONAL DISTRICTS OF:
Start Oats
Ending Oats
a. Applicant : b Project
6/01/93
9/30/94
19 19
IL ESTIMATED FUNDING'
19. IS APPLICATION SUBJECT TO REVIEW BY STATE EXECUTIVE ORDER 12372 PROCESS?
a. YES. THIS PREAPPLICATIONtAPPLICAAT10N WAS MADE AVAILABLE TO THE
a. Federal
3 00
1,614,920
STATE EXECUTIVE ORDER 12372 PROCESS FOR REVIEW ON
DATE
b NO. ax PROGRAM IS NOT COVERED BY E.O. 12372
OR PROGRAM HAS NOT BEEN SELECTED BY STATE FOR REVIEW
b. Appiicant
t
c State
f 300,000 Q0
d. Local
f 1,113,920 Q0
e Other
S AG
f Program Income
f .00
17. IS THE APPLICANT DELINOUENT ON ANY FEDERAL DEBT7
Yes If -Yes.- attach an explanation. ® No
g TOTAL
s 3,028,840 'Q0
1L TO THE BEST OF MY KNOWLEDGE AND BELIEF. ALL DATA IN THIS APPLICATION PREAPPLICATiON ARE TRUE AMC CORRECT. THE DOCUMENT HAS BEEN DULY
AUTHORIZED BY THE GOVERNING BODY OF THE APPLICANT AND THE APPLICANT WILL COMPLY WITH THE ATTACHED ASSURANCES IF THE ASSISTANCE IS AWARDED
a. of Authorized Representative
b Title
c Telephone number
avid RX Lan n
Mayor
806 767-2009
d n f uthonred Re sentairve
a Date Signed
•
April 22, 1993
do
taneare
germ 424 IAEV 4.88.
Attest: roved s o nt: Approved as to Form: 0-esaroec
JbhP r
neon arry nffm aro i a r
oV 70.1E l,�r'.�•a� A• 102
Resolution No. 4130
April 22, 1993
Item #26
AUTHORIZING RESOLUTION
Resolution No. 4130
Resolution authorizing the filing of an application with the
Department of Transportation, United States of America, for a grant
under the Federal Transit Act, as amended:
WHEREAS, the Secretary of Transportation is authorized to make
grants for a mass transportation program of projects;
WHEREAS, the contract for financial assistance will impose certain
obligations upon the applicant, including the provision by it of
the local share of the project costs in the program;
WHEREAS, it is required by the U.S. Department of Transportation in
accord with the provision of Title VI of the Civil Rights Act of
1964, that in connection with the filing of an application for
assistance under the Federal Transit Act, as amended, the applicant
gives 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
enterprises be utilized to the fullest extent possible in
connection with this project, and that definite procedures shall be
established and administered to ensure that minority businesses
shall have the maximum construction contracts, supplies, equipment
contracts, or consultant or other services,
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF LUBBOCK,
TEXAS, ON THIS 22nd DAY OF April , 1993, AS FOLLOWS:
1. That the MAYOR is authorized to execute and file an
application on behalf of the CITY OF LUBBOCK, TEXAS, with the
U. S. Department of Transportation to provide aid in the
financing of, capital projects for the period of June 1, 1993,
through September 30, 1994, and technical study and operating
assistance for the period of October 1, 1993, through
September 30, 1994, pursuant to Section 9 of the Federal
Transit Act, as amended.
2. That the MAYOR is authorized to execute and file with such
application an assurance of any other document required by the
U. S. Department of Transportation effectuating the purposes
of Title VI of the Civil Rights Act of 1964.
3. That the GENERAL MANAGER of CITY TRANSIT MANAGEMENT COMPANY,
INC., is authorized to furnish such additional information as
the U. S. Department of Transportation may require in
connection with the application for the program of projects.
4. That the MAYOR is authorized to set forth and execute
affirmative minority business policies in connection with the
program of project's procurement needs.
5. That the MAYOR is authorized to set forth and execute grant
agreements on behalf of the CITY OF LUBBOCK, TEXAS, with the
U. S. Department of Transportation for aid in the financing of
the planning, capital, and/or operating assistance program of
projects.
6. That the RESOLUTION shall take effect immediately upon its
--� adoption.
CITY IL THIS 22nd DAY OF April 1993.
('A�
avdR. L
Mayor
ATTEST:
8etty M. Jo son
City Secretary
APPROVED AS TO CONTENT:
Larry V offma
Direct of Tra sportation
APPROVED AS TO FORM:
H;atold Willard
Assistant City Attorney
CITY OF LUBBOCK/CITIBUS
SECTION 9 GRANT SUBMISSION
TABLE OF CONTENTS
Item
rage
I.
Resolution.........................0.................
--
II.
Authorizing Resolution ...............................
--
III.
Application for Federal Assistance (SF 424)..........
1
IV.
Program of Projects and Budget .......................
2
V.
Expenditure Detail ...................................
3
VI.
Statement of Continued Validity ......................
4
VII.
City Secretary Certification .........................
5
VIII.
Annual Submission Status .............................
6
IX.
Intergovernmental Review Certification ...............
7
X.
Drug -Free Workplace Certification ....................
8
XI.
Pre -Award and Post -Delivery Audit Certification......
10
XII.
Certification of Restrictions on Lobbying............
11
XIII.
Notice of Public Hearing .............................
12
XIV.
FY 1994 Project Budget ...............................
15
XV.
Proposed Capital Project Description .................
16
XVI.
Proposed Capital Project Implementation Schedule.....
19
XVII.
Attachment A (Charter Service Agreement) .............
20
XVIII.
Attachment B (Title VI Program Approval) .............
21
XIX.
Attachment C (EEO Program Approval) ..................
22
XX.
Attachment D (Maintenance Facility Map) ..............
23
XXI.
Attachment E (Citibus Fleet Roster) ..................
24
SECTION 9
PROGRAM OF PROJECTS AND BUDGET
Urbanized Area: Lubbock, Texas
Designated Recipient: City of Lubbock
Grantee: City of Lubbock
Program Number: Section 9
Project Description
Local
Federal
Total
I. CAPITAL PROJECTS
(80/20 Funding)
a. Replacement Van
13,000
52,000
65,000
b. Passenger Amenities:
5 Bus Pullouts and
10 Shelters
47,000
1881000
235,000
Subtotal Capital
60,000
240,000
300,000
II. OPERATING ASSISTANCE
(up to 50% Funding)
operating Assistance for
10/01/93-09/30/94 1,346,920 1,346,920 2,693,840
Subtotal Operating 1,346,920 1,346,920 21693,840
III. PLANNING
(80/20 Funding) 7,000 28,000 35,000
Subtotal Planning 71000 28,000 35,000
TOTAL 1,413,920 1,614,920 3,028,840
2
SECTION 9
EXPENDITURE DETAIL
Urbanized Area: Lubbock, Texas
Designated Recipient: City of Lubbock
Grantee: City of Lubbock
Program Number: Section 9
Project Activities Budget Codes Federal
I. CAPITAL PROJECTS
(80/20 Funding)
a. Replacement Van 52,000
b. Passenger Amenities:
Bus Pullouts (5) 160,000
Shelters (10) 28,000
Subtotal Capital 2400000
II. OPERATING ASSISTANCE
(Up to 50% Funding)
10/01/93-09/30/94 1,346,920
Subtotal Operating 1,346,920
III. PLANNING
(80/20 Funding)
a. Comprehensive Operational Analysis
b. Computer Upgrade
Subtotal Planning
TOTAL
23,200
4,800
28,000
1,614,920
3
STATEMENT OF CONTINUED VALIDITY OF ONE-TIME SUBMISSIONS
The following documents (and dates submitted to/acknowledged by
FTA) have been submitted to FTA previously, continue to remain
valid and accurate, and do not require revisions or updating:
• Standard Assurances - August 19, 1985
• Transportation Planning Certification - March 30, 1988
• Opinion of Counsel - May 6, 1988
• Charter Bus Agreement - February 12, 1993 (see Attachment A)
• Primary Nonprocurement Debarment and Suspension
Certification - June 22, 1989
• DOT Title VI Assurance - June 14, 1985
• Self -Certification - May 8, 1986
• Private Enterprise Description - May 8, 1986
• Intergovernmental Cooperation Certification - June 12, 1986
• Dispute Resolution Process - March 20, 1987
• Section 504 Plan Approval - September 28, 1987
• MPO Certification - August 5, 1986
The applicant understands and agrees that the use of FTA funds
approved for this project shall be consistent with the applicable
sections of the Federal Transit Act, as amended, Sections 3,
3(a)(1)(C), 4(1), 6, 8, 9, 9B, 10, 16(b)(2), 18, or 20, or 23
U.S.C. Sections 103(3)(4) and 142; pertinent Federal laws; and
pertinent Federal rules, regulations, or circulars; and that the
use of FTA funds is subject to audit and review. Such funds shall
be returned to FTA if, after audit, it is found that they have been
used improperly. Further, the applicant certifies or affirms the
truthfulness and accuracy of this contents of the statements
submitted on or with this statement and understands that the
provisions of 31 U.S.C. Sec. 3801 et sea, are applicable thereto.
The applicant's eligibility to receive FTA grants, as originally
certified in the Opinion of Counsel, remains in effect. Further
signature of the attorney is certification that there is no pending
or threatened litigation or other action which might adversely
affect the ability of the grantee to carry out the project/program.
John L. Wilson
Citibus General Manager
�//z
tg�
Dae
Harold Willard
Assistant City Attorney
yV/Y/93
Date
ATTENTION: Whoever, in any manner within the jurisdiction of any
department or agency of the Untied States knowingly and willfully
falsifies or conceals a material fact, or makes any false,
fictitious, or fraudulent statements or representations, or makes
or uses any false writing or document, knowing the same to contain
any false, fictitious, or fraudulent statement or entry, shall be
fined not more than $10,000 or imprisoned not more than 5 years, or
both. 18 U.S.C., Section 1001 (1982).
4
SECTION 9
ANNUAL SUBMISSION STATUS
I. Section 15 Reports - Submitted January 1993
II. TIP/BE - Approved in FY 1993; Amended FY 1993
III. Title VI Plan - Updated July 1990
(see Attachment B)
IV. EEO Plan - Updated July 1990
(see Attachment C)
V. 504 Plan - Approved September 28, 1987
VI. ADA Update/93 Plan - Submitted January 1993
6
INTERGOVERNMENTAL REVIEW CERTIFICATION
Certification is given by the recipient named herein -
e City of Lubbock - with respect to its application for
assistance pursuant to Section 9 of the Federal Transit
Act, as amended (49 U.S.C., Section 1601, et seq.) filed
with the Federal Transit Administration that the
recipient has complied with the provisions of 49 CFR 17,
Intergovernmental Review of Department of Transportation
Programs and Activities.
John L. Wilson
General Manager
�'/j Z �i-
Dat
DRUG -FREE WORK PLACE ACT CERTIFICATION
FOR A PUBLIC OR PRIVATE ENTITY
1. The City of Lubbock/Citibus
certifies that it will provide a drug -free work place
by•
(a) Publishing a statement notifying employees that
unlawfully manufacturing, distributing,
dispensing, possessing or using a controlled
substance in the Recipientfs work place is
prohibited and specifying the actions that will be
taken against employees for violation of such
prohibition.
(b) Establishing a drug -free awareness program to
inform employees about:
(1) The dangers of drug abuse in the work place;
(2) The Recipientfs policy of maintaining a drug -
free work place;
(3) Any drug counseling, rehabilitation, and
employee assistance programs that are
available; and
(4) The penalties that may be imposed upon
employees for drug abuse violations occurring
in the work place.
(c) Making it a requirement that each employee to be
engaged in the performance of the grant or
cooperative agreement be given a copy of the
statement required by paragraph (a).
(d) Notifying the employee in the statement required
by paragraph (a) that, as a condition of
employment under the grant or cooperative
agreement, the employee will:
(1) Abide by the terms of the statement; and
(2) Notify the employer of any criminal drug
statute conviction for a violation occurring
in the work place no later than five days
after such a conviction.
(e) Notifying the Federal sponsoring agency within ten
days after receiving notice under subparagraph (d)
(2), from an employee or otherwise receiving
actual notice of such conviction.
8
(f) Taking one of the following actions, within 30
days of receiving notice under subparagraph (d)
(2), with respect to any employee so convicted:
(1) Taking appropriate personnel action against
such an employee, up to and including
termination; or
(2) Requiring such an employee to participate
satisfactorily in a drug abuse assistance or
rehabilitation program approved for such
purposes by a Federal, State or local health,
law enforcement, or other appropriate agency.
(g) Making a good faith effort to continue to maintain
a drug -free work place through implementation of
paragraphs (a), (b), (c), (d), (e), and (f).
2. The Recipient's headquarters is located at the
following address.
Name of Recipient:
Street Address:
City:
County:
State:
Zip Code:
Contact:
John L. Wilson
Citibus General Manager
z///,./rI3
Date I
City of Lubbock/Citibus
801 Texas Avenue
Lubbock
Lubbock
Texas
79401
John Wilson, General Manager
HArb1dWillard
Assistant City Attorney
Date
9
PRE -AWARD AND POST -DELIVERY AUDIT CERTIFICATION
The City of Lubbock/Citibus
certifies that it will:
(a) Conduct a pre -award and post -delivery audit, as
required by 49 CFR, Part 663, Pre -Award and Post -
Delivery Audits of Rolling Stock Purchases; Final
Rule, to assure compliance with related bid
specifications, Buy America, and Federal Motor
Vehicle Safety requirements.
(b) Will keep on file separate certifications made
from the City of Lubbock/Citibus and/or
manufacturer regarding compliance with Buy
America, bid specifications, and Federal Motor
Vehicle Safety Standards requirements for review
by the Federal Transit Administration.
t
John L. Wilson
Citibus General Manager
Z//l1/r$
Date
10
CMMFICATION
OF
MM=C=ONS ON LOBBYING
I John L. Wilson, General Manager hereby certify on
(name and title of grantee official)
behalf of City of Lubbock/Citibus, Lubbock, Texas that:
(name of grantee)
(1) No Federal appropriated funds have been paid or will be paid,
by or on behalf of the undersigned, to any person for influencing
or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in connection with the awarding
of any Federal contract, the making of any Federal grant, the
making of any Federal loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or cooperative
agreement.
(2) If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting
to influence an officer or employee of any agency, a Member of
Congress, an officer or employee, of Congress, or an employee of a
Member of Congress in connection with this Federal contract,
grant, loan, or cooperative agreement, the undersigned shall
completes and submit Standard Form-LLL, "Disclosure Form to Report
Lobbying," in accordance with its instructions.
(3) The undersigned shall require that the language of this
certification be included in the award documents for all subawards
at all tiers (including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which
reliance is placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31,
V. S. Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
Executed this nth day of Anril , 19 93 .
By
(signature of authorized official)
General Manager
(title of authorized official)
11
NOTICE OF THE OPPORTUNITY FOR A PUBLIC HEARING
RE: City of Lubbock/Citibus Section 9 Capital, Technical Studies, and
Operating Assistance Grant Application
Notice is hereby given that an opportunity for a public hearing will be
afforded, IF REQUESTED, in the Citibus Conference Room, 801 Texas
Avenue, on April 9, 1993, at 12:00 noon for the purpose of considering
projects for which financial assistance is being sought from the Federal
Transit Act of 1964, as amended. The financial assistance requested is
as follows:
CAPITAL ASSISTANCE GRANT Program of Projects: This project will consist
of the following: the construction of five bus pullouts, the purchase
and installation of ten bus shelters, and the purchase of one
replacement van for the Demand Response Service as required by the
Americans with Disabilities Act.
Cost of this project is estimated at $300,000. Of this amount, $240,000
will be provided by the Federal Transit Administration (FTA) Section 9
funds, $47,000 will be provided by Texas Tech University, and $13,000
will be provided by the City of Lubbock. This project is proposed to
begin June 1, 1993, and be completed by September 30, 1994.
TECHNICAL STUDY GRANT Program of Projects: This project will consist of
the following: conduct a comprehensive operational analysis, and
purchase software and hardware for computer upgrade.
Cost of this portion of the grant
amount, $28,000 will be provided by
be provided by the City of Lubbock.
October 1, 1993.
is estimated at $35,000. Of this
FTA Section 9 funds and $7,000 will
The project is proposed to begin
OPERATING ASSISTANCE GRANT Program of Projects: This project will
consist of providing the transportation services in the Lubbock
urbanized area provided by City Transit Management Company, Inc., d/b/a
Citibus, from October 1, 1993, through September 30, 1994.
Cost of this portion of the grant is estimated at $2,693,840 of which
$1, 346, 920 will be provided by FTA Section 9 funds, $626, 920 by the City
of Lubbock, $300,000 by TxDOT, and $420,000 by non-farebox revenues.
Interested persons or agencies may submit, orally or in writing,
evidence and recommendations with respect to said projects on or before
April 7, 1993. Request for a public hearing should be submitted to
Citibus, P. 0. Box 2000, Lubbock, TX 79457 on or before April 7, 1993.
If there is no request received for a public hearing by April 7, 1993,
one will not be held.
The preliminary program of projects is available to the public at the
Citibus offices at 801 Texas Avenue. The final program of projects will
also be available to the public at the Citibus offices.
General Manager
Citibus
P. O. Box 2000
Lubbock, TX 79457
12
NOTICE OF THE OPPORTUNITY
FOR A PUBLIC HEARING
RE: City of LubbockfClllbus Sec.
floe 9 Coolfal, Technical Studies,
and Operating Assistance Grant n�v A
Awueatlon ` Xus
Notice Is hereby given that an go- �EOCK
ortunirr fors public S► will
be afforded 1P REQUESTED, In t t i Tate Notary Public in and for Lubbock County, Texas on this day
b
Inc s Ave ue, an nco Roam, 10, Account Manager of the Southwestern Newspa-
Texos Avenue, on Horn 9, t991 at ed T _ _1 _ A u f i I I .
u� i jecor tss'for cchrpose afi on publishers of the Lubbock Avalanche -Journal - Morning, and Sunday, who being by me duly
from
the Federal
Is ra "no sought .8 % JTd'1 � 0-Ti % p y y p
Mom M• Fede►al Trortslf Act w and saythat sai4L. ed a r i� t! en published continuously for more than fifty-two weeks ri-
196e, as amended. The financial as..
elslenae requested Is as follows: ion of this
CAPITAL ASSISTANCE GRANT
Proerem of Proiectsl This sroled
will consist of the following:. the
construction of five bus pullouts,
the purchase and installation of ton
bus shellers. and the purchase of
One 4'"locoment von for the Do.
mend Response Service as re•
suired by the Americans with. Dis-
obulfissAd. ,
Cost of this Project Is esfimated.ot
$300.000. Of this amount, MI0,000
will be Provided by the Federal
Transit Administration (FTA) Sec.
Zion 9 funds, $47,000 win be Provld•
ed by Texas Tech University, and
$13=0 will be provided by the City
of Lubbock. This Project Is oro
posed to begin June 1, 1991 and be
Completed by September 30. 1994.
TECHNICAL STUDY GRANT Pro-
gram of Protects: This Project will
consist of the following; conduct o
COMM of ensive operational only.
Ills. and purchase software and
hardware For computer upgrade.
Cost of this portlon.af the grant is
estimated of $35,000. Of this
amount, S28.000 will be provided by
FTA Section 9 funds and SIAM will
be Provided by the City of Lubbock.
The Project Is proposed to begin
October 1. 1993.
OPERATING ASSISTANCE
GRANT Program of Projects: This
Protect will consist of Providing the
transportation services In the LLb•
back urbanized area provided by
City Transit ManagentenrCompa-
m, Inc.. d1bid Cnlbus, from octo•
bar 1, 1993. through September 30,
MAI.
Cost of thli portion of the grant Is
eitimofod at $2.693,140 Of which
11,3A6.920 will be Provided by FTA
Section 9 funds. S626,920 by the City
Of Lubbock, $300.000 by TxDOT,
and SA20AM by non•ferebox rev
snuet.
Interested persons or agencies
may Submit, orally Or In wtrting,
evidence and recommendations
With respect to sold projects an or
before April 7. 1993. Request for a
Public hearing should be submitted
to Cillbus, P.O. Box 2000, Lubbock,
TX 7907 on or before APrII 7, 1992.
If there is no request received for a
Public hearing by April 7, 1993, one
will not be held..
The Preliminary Program of pro. .
sods Is available to the Public at
the CItlbus offices at 801 Texas
Avenue. The final Program of Pro-
lads will oleo be available to the
Public at the Cttibus aft,ces.
General Manager
Cltibus
P.O. Box 2000
Lubbock, TX 79457
No. - at Lubbock County, Texas and the attached print-
L e 9 a I N o t i C 6s a true copy of the original and was printed in the Lubbock
tl on the following dates:
445 wa .55 = 244.75
-6o
Manager
ANCHE-JOURNAL
yspaper Corporation
5
NOTARY PUBLIC in and for the State of Texas
My Commission Expires ..................
April
before me this day of 19
PATTI TATE
Notary Pubtic, State at Texas
My Commis. -on Expires 6-30.96
93
13
THE STATE OF TEXAS
COUNTY OF LUBBOCK
Before me Patti Tate a Notary Public in and for Lubbock County, Texas on this day
personally appeared T_ I_ A u f i I 1 e Account Manager of the Southwestern Newspa-
pers Corporation, publishers of the Lubbock Avalanche -Journal - Morning, and Sunday, who being by me duly
sworn did depose and say that saitimmapRioitlal Len published continuously for more than fifty-two weeks pri-
or to the first insertion of this
No. -4423 at Lubbock County, Texas and the attached print-
ed copy of the Legal Not i c Os a true copy of the original and was printed in the Lubbock
Avalanche -Journal on the following dates:
445 wa .55 =
Account Manager
LUBBOCK AVALANCHE -JOURNAL
Southwestern Newspaper Corporation
pa-d-1 Jo_�-
NOTARY PUBLIC in and for the State of Texas
My Commission Expires ..................
Apri
Subscribed and sworn to before a this day of 19
PATTI TATE
Notary Public State of Texas
FORM U-tp •� My Commwon Expires 6.30.96
publrc bearing vr'rmr .r..�.•
win not be held...— , '—
The vreilminarr program of Oro-
lable 10 the
IM CitibbufioffiCes at SoluTlxos i
Avenue.
ell also be available to gram of Pr -
lads e
public at the Citibus offices.
General Manager
Cnibus
PA. Box 2000
Lubbock. TX 791S7
93
14
PROJECT BUDGET
For
the Period: October
1, 1993, to September
30, 1994
Transit Operator: City Transit Management Company, Inc.
Designated Recipient: City of
Lubbock, Texas
1.
Contract Costs
Labor
$1,605,000
Fringe Benefits
545,000
Services
204,000
Materials & Supplies
7040840
Utilities
50,000
Casualty & Liability
195,000
Taxes
900000
Miscellaneous
104,000
Interest Expense
5,800
Total Operating Costs
$3,503,640
$3,503,640
2.
Less Eliminations Non -Mass
Transportation Expenses
Technical Studies
$ 125,000
125,000
3.
Eligible Operating Expenses
$3,378,640
4.
Less Farebox Revenue
684,800
5.
Net Project Costs
$216938840
6.
Local Share
City of Lubbock
$ 626,920
University Student Funds
401,600
Route Guarantee
18,400
State PTF
300,000
Total Local Share
$1,346,920
1,346,920
7. Net Expenses Advance on
Operations Before Applying
FTA Funds $18346,920
8. FTA Funds Requested $1,346,920
Prepared by: John L. Wilson
Title: General Manager
Date: 03/19/93
15
CITIBUS PROPOSED CAPITAL PROJECTS
PROJECT DESCRIPTION
FY 1994
One Replacement Van:
During the public participation process of the preparation of
the Americans With Disabilities Act (ADA) compliance plan,
estimates for the ADA eligible demand for paratransit service
was identified. In order to meet the demand and come into
compliance with ADA, additional hours of service and
additional vehicles are necessary. Therefore., lift -equipped
vans for paratransit service are being maintained for a longer
period of time to meet the demand. It is now necessary to
replace a 1986 van which has over 250,000 miles. The van will
be utilized by the paratransit service to assure it meets the
demand.
Proposed Schedule:
Project Bid July 1993
Award Project October 1993
Delivery of Vehicles January 1994
Passenger Amenities:
Five bus pullouts and ten bus shelters will be constructed and
located on the Texas Tech University campus in the following
locations:
• North side of 18th Street at Boston Avenue - a two -bus
pullout with pedestrian paving and one shelter to comply
with ADA guidelines
• North side of 18th Street near University Theater - one
bus pullout with one shelter to comply with ADA
guidelines
• North side of 18th Street near the Architecture
Building - one bus pullout with one shelter to comply
with ADA guidelines
• East on Flint Avenue at Main Street near the Physical
Plant - one bus pullout to comply with ADA guidelines
• West on Flint Avenue at Main Street - one bus pullout
with one shelter to comply with ADA guidelines
• High -traffic areas - six additional passenger shelters at
various high -traffic areas to comply with ADA guidelines
Proposed Schedule:
Project Bid
Award Project
Construction Completion
April and June 1993
May and July 1993
July -December 1993
C
CITIBUS PROPOSED TECHNICAL STUDIES
PROJECT DESCRIPTION
TRANSIT STATISTICAL STUDIES - SECTION 9
Objectives
The objectives of this task are as follows: to examine the transit
system operated by the subsidized private operator, City Transit
Management Company, Inc.; to prepare recommendations for action
which could improve service and/or reduce deficits; and to update
and review previous work with an ongoing process as may be required
by the Federal Transit Administration (FTA) for capital and
operating assistance programs.
Proposed Work 1993-1994
I. Comprehensive Operational Analysis
A. With major changes in city routes in FY 1992, a
comprehensive analysis of all routes is necessary. The
analysis will compare ridership patterns before and after
the route changes. It will assist in identifying the
effect on ridership of the route changes and identify
route adjustments if necessary. This project will also
allow a review of the paratransit service. An in-depth
review of scheduling, certification, and daily procedures
to assure compliance with all FTA and Americans with
Disabilities Act (ADA) requirements will be conducted.
A detailed review of all dispatching procedures will also
be conducted. An analysis of all dispatch functions (bus
scheduling, operator work assignment, operator attendance
documentation, the dissemination of public information,
and other information gathering procedures) will be
conducted to review for effectiveness and efficiency.
B. Funding
Total
II. Computer Upgrade
$29,000
A. The computer upgrade task will involve purchasing
software and hardware necessary to upgrade Citibus,' local
area network. The upgrade is necessary to increase
memory so that ridership data can be collected, ride
checks can be analyzed, and other planning functions can
be performed. A 1988 286-model computer that was
purchased with planning funds will be replaced.
17
B. Funding
Total $6,000
TOTAL FUNDING TASK 311.24 $35,000
unding Sources
FTA Section 9 Funds $28,000
City of Lubbock (Local Sources) $7,000
18
Jun 93 Jul 93
CAPITAL
Replacement Van
Bus Pullouts 100,000
Shelters
PLANNING
Comprehensive
Operational Analysis
Computer Upgrade
TOTAL
r
kO
0 100,000
PROJECT IMPLEMENTATION SCHEDULE FY 1993-1994
MONTHLY FEDERAL FUND OUTLAY
MONTHS FOLLOWING GRANT APPROVAL
Aug 93 Sep 93 Oct 93
7,000
0 7,000
0 0 0 0
0 100,000 0 7,000
7,000
7,000
Nov 93 Dec 93
Jan 94 Total
52,000 52,000
60,000
160,000
7,000 7,000
28,000
7,000 67,000
52,000 240,000
6,000 6,000
6,000 5,200 23,2D0
4,800
4,800
10,800 6,000
6,000 5,200 28,000
1T,800 13,000
� _57�,200 268,000
ATTACHMENT A
CHARTER SERVICE AGREEMENT
City Transit Management Company, Inc., d/b/a Citibus, 801 Texas
Avenue, Lubbock, Texas, wishes to enter into a charter service
agreement with Texas New Mexico and Oklahoma Coaches, Inc. (TNM&O),
1313 13th Street, Lubbock, Texas, in compliance with the Federal
Transit Administration (FTA) Charter Service Regulation (49 CFR
Part 604). This agreement will outline the charter service that
Citibus may lawfully provide in the Lubbock urbanized area.
Citibus proposes to provide charter service between April 30, 1993,
through September 30, 1994, Monday through Sunday, 24 hours a day,
within 50 miles of the Lubbock urbanized area, with GMC RTS II
coaches and lift -equipped vans and trolleys.
The terms of the agreement are as follows:
1. Citibus will provide charter service directly to governmental
entities and entities subject to or otherwise eligible for
exemptions from federal taxation under Section 501(c),
Subsections (1), (3), (4), and (19) of the Internal Revenue
Code (i.e., Texas Tech University and the City of Lubbock).
2. Citibus will continue to provide charter service directly to
Texas Tech University athletic events to current subscribers
(five subscribers for football games and one subscriber for
basketball games).
3. Citibus will continue to provide subscription charter service
directly to United Supermarkets, Furr's Supermarkets,
Century 21 Realtors, WestMark Realtors, and First Baptist
Church.
4. Citibus will charter directly to all parties requesting
trolley charter service in the Lubbock urbanized area.
5. Citibus will provide charter service directly to all parties
requesting service that is accessible to the handicapped.
6. Citibus will refer all other charter service requests to
TNM&O. Citibus wishes to be referred service from TNM&O when
they are not willing or able to provide such a service.
Robert Greenhill Date
TNM&O Coaches
1313 13th Street
Lubbock, TX 79401
John Wilson Date
Citibus _
P. O. Box 2000
Lubbock, TX 79457;-�� " -,�
<91
20 6,i
ATTACHMENT B
Ow
U5. Department '
of Transportation
Urban Mass
Transportation
Administration
Mr. John L. Wilson
General Manager
McDonald Transit Associates, Inc.
Citibus
P.O. Box 2000
801 Texas Avenue
b bbock, Texas 79457
Dear Mr. Wilson:
OFFICE OF CIVIL RIGHTS
Central/Mid-Western Area
Arkansas, Iowa. Kansas,
Louisiana, Missouri,
Nebraska. New Mexico,
Oklahoma, Texas
August 24, 1990
Re: Title VI Program Approval
;as City. 6issouri
1990 SEP
CI T I8us
RECEIVED
The Urban Mass Transportation Administration (UMPA) has ccupleted its review
of the Title VI program submitted by Citibus on July 15, 1990. This
submission is pursuant to Title VI of the Civil Rights Act of 1964;
implementing regulations; UMI'A Circular 4702.1, "Title VI Program Guidelines
for Urban Mass Transportation Administration Recipients," dated May 26, 1988;
and Part II, Section 114(c) of the Standard UMIA Grant Contract. Based on
our review, we have approved your program as of August 24, 1990. This
approval expires August 24, 1993. An update should be forwarded to this
office by July 24, 1993, 30 days prior to the expiration date. Please note
that should major. changes occur in your existing Title VI program, an update
must be submitted.
UIM may at a later date request additional information, if necessary.
Thank you for your continued cooperation. Should you have questions, or need
additional information or assistance, please contact me at (816) 926-5053.
s
Sincerely,
Gloria D. Dixon
Area Civil Rights Officer
21
ATTACHMENT C
W
U.S. Department
of Transportation
Urban Mass -
Transportation
Administration
Mr. John L. Wilson
General Manager
McDonald Transit Associates, Inc.
Citibus
P.O. Box 2000
801 Texas Avenue
Lubbock, Texas 79457
Dear Mr. Wilson:
OFFICE OF CIVIL_ RIGHTS
Central/Mid-Western Area
Arkansas, Iowa, Kansas,
Louisiana, Missouri.
Nebraska. New Mexico,
Oklahoma, Texas
August 27, 1990
6301 Rocitfilh-Road
Suite sd0
Kan as City, Mtissour164131
'
Re: Equal Employment Opportunity
Program Approval
The Urban Mass Transportation Administration (UMTA) has completed its
review of the equal employment opportunity program submitted by
Citibus on July 15, 1990. This submission is pursuant to UMTA
Circular 4704.1, "Equal Employment Opportunity Program Guidelines for
Grant Recipients," dated July 26, 1988; and Part II, Section 114(a)
of the Standard UMTA Grant Contract. Based on our review, we have
approved your program as of August 27, 1990. *#tfSippr'aeges
e t3tt� B iPclatWabbdrdatreffforwardac th:tiai¢f:rcii
-1993+; 30 days..prior to the expiration date. Please note
that should major.changes occur in your work force, or employment
conditions change, an update must be submitted. UMTA may at a later
date request additional information, if necessary.
Thank you for your continued cooperation. Should you have questions,
or need additional information or assistance, please contact me at
(816) 926-5053.
A.
Sinc rely,
G1 ria D. Dixon
Area Civil Rights Officer
22 ._._._
'.Mi EC ART ' lid ---ram' O U
J 72 p (33S) SPEECH
will
C�L NOVA* PSYCHOLOGY
(230)
(23q o o000
mjm
18 th. STREET • t3�
ILJOD �I n
c c /►L1.
x
H
� t7
L► O
r' Elli
U z
00 00
0
PROPOSED SUMMER 1993 BUS SYSTEM IMPROVEMENTS FOR EIGHTEENTH STREET,
TEXAS TECH UNIVERSITY MAIN CAMPUS AT LUBBOCK, TEXAS NORTH
1" = 200'
ATTACHMENT E
CITIBUS FLEET ROSTER
FIXED ROUTE VEHICLES
VEHICLE
MODEL
SIZE
IN SERVICE
DATE
SEATING STANDING
LENGTH CAPACITY CAPACITY
1001
GMC RTS T7W203
35 FT.
36
18
AUG. OF 80
1002
GMC RTS T7W203
35 FT.
36
18
AUG. OF 80
1003
GMC RTS T7W203
35 FT.
36
18
AUG. OF 80
1004
GMC RTS T7W203
35 FT,
36
18
AUG. OF 80
1005
GMC RTS T7W203
35 FT.
36
18
AUG. OF 80
1006
GMC RTS T7W203
35 FT.
36
18
AUG. OF 80
1007
GMC RTS T7W203
35 FT.
36
18
AUG. OF 80
1008
GMC RTS T7W203
35 FT.
36
18
AUG. OF 80
1009
GMC RTS T7W203
35 FT.
36
18
AUG. OF 80
1010
GMC RTS T7W203
35 FT.
36
18
AUG. OF 80
1011
GMC RTS T7W203
35 FT.
36
18
AUG. OF 80
1012
GMC RTS T7W203
35 FT.
36
18
AUG. OF 80
1013
GMC RTS T7W203
35 FT.
36
18
AUG. OF 80
1014
GMC RTS T7W203
35 FT.
36
18
AUG. OF 80
1015
GMC RTS T7W203
35 FT.
36
18
AUG. OF 80
1016
GMC RTS T7W203
35 FT.
36
18
AUG. OF 80
1017
GMC RTS T7W203
35 FT.
36
18
AUG. OF 80
1018
GMC RTS T7W203
35 FT.
36
18
AUG. OF 80
1019
GMC RTS T70204
35 FT.
39
20
FEB. OF 82
1020
GMC RTS T70204
35 FT.
39
20
FEB. OF 82
1021
GMC RTS T70204
35 FT.
39
20
FEB. OF 82
1022
GMC RTS T70204
35 FT.
39
20
FEB. OF 82
1023
GMC RTS T70204
35 FT.
39
20
FEB. OF 82
1024
GMC RTS T70204
35 FT.
39
20
FEB. OF 82
1025
GMC RTS T70204
35 FT.
39
20
FEB. OF 82
1026
GMC RTS T70204
35 FT.
39
20
FEB. OF 82
1027
GMC RTS T70204
35 FT.
39
20
FEB. OF 82
1028
GMC RTS T70204
35 FT.
39
20
FEB. OF 82
1029
GMC RTS T70204
35 FT.
39
20
FEB. OF 82
1030
GMC RTS T70204
35 FT.
39
20
FEB. OF 82
1031
GMC RTS T70204
35 FT.
39
20
FEB. OF 82
1032
GMC RTS T70204
35 FT.
39
20
FEB. OF 82
1033
GMC RTS T70204
35 FT.
39
20
FEB. OF 82
1034
GMC RTS T70204
35 FT.
39
20
FEB. OF 82
2101
EL DORADO AEROTECH 280
28 FT.
16
SEP. OF 92
2102
EL DORADO AEROTECH 280
28 FT.
16
SEP. OF 92
90
VS-24 CHANCE TROLLEY
26 FT.
20
DEC. OF 92
91
VS-24 CHANCE TROLLEY
26 FT.
20
DEC. OF 92
DEMAND RESPONSE VEHICLES
2007
FORD E221
12
0
MAY OF 86
2008
FORD E221
21
0
MAY OF 86
2009
FORD E221
12
0
FEB. OF 88
2010
FORD E221
21
0
FEB. OF 88
2011
IEL DORADO HAWK 200
8
0
FEB. OF 90
2012
ELDORADO HAWK 200
8
0
FEB. OF 90
2013
EL DORADO HAWK 200
8
0
FEB. OF 90
2014
EL DORADO HAWK 240
8
0
AUG. OF 92
2015
EL DORADO HAWK 240
8
0
AUG. OF 92
?,
GRANT PROPOSAL EVALUATION FORM
COVER SHEET
GRANT NAME: -Capital, Technical and Operating Assistance
GRANT AGENCY: Federal Transit Administration
GRANT FISCAL PERIOD: Capital 06/01/93 - 09/30f94, Technical
and Operating 10/01/93 - 09/30/94
CITY DEPARTMENT/INDIVIDUAL
PREPARING GRANT: Citibus/John L. Wilson
APPROVALS:
DEPA TMENT HEAD IDATt
�}'13"l3
DIVISION YRfCTOff DATE
Oct
A SI AN CITY MANAGER DATE
Aeaj L1' 14 - 9?
BUDGET AND RESEARCH DIRECTOR DATE
Coss/93
DEPUTY CITY MANAGER ATE
Upon completion of approvals, return to:
John L. Wilson / Transit by 04/14/93
INDIVIDUAL CITY DEPARTMENT OR SECTION DEADLINE DATE
CITY OF LUBBOCK
GRANT PROPOSAL EVALUATION FORM
1. State, as clearly as possible, the goals and objectives of the
proposed project for which a grant is being sought.
To provide Lubbock citizens with dependable and economical
public transportation, while maintaining the lowest feasible
fares and minimizing the need for local taxpayer support. To
provide the planning funds to justify the need for capital and
operating assistance. Specific goals are as follows: to
assist Texas Tech University (TTU) to meet the needs of the
disabled community by obtaining grant funding for the
construction of bus pullouts and shelters with accessibility
to meet the requirements on the TTU campus (City Council
Goal 4); to continue to provide Demand Response Service (DRS)
to meet the transportation needs of the disabled community
(City Council Goal 2).
A. Is this the fulfillment of an identifiable community
(Lubbock) goal? If so, list the source of the identified
goal.
Yes. City of Lubbock Council goals, Budget Manual FY93-
94: facilitate quality residential neighborhoods by
meeting the transportation needs of the mobility impaired
by replacing worn out DRS van.
Identify and pursue opportunity for intergovernmental
cooperation with TTU by obtaining Federal Transit
Administration (FTA) grant funds for the construction of
five bus pullouts and ten bus shelters (City Council
Goal 4).
B. Is this the fulfillment of an identifiable community
(Lubbock) need? If so, please provide quantifiable data
(studies, etc.) that illustrate the community need and
how this grant will meet that need:
Yes. The purchase of the replacement van will provide
transportation service to persons with disabilities.
This transportation is needed to allow persons with
disabilities the ability to be active members of the
community. Also Over 3,000,000 passengers utilized the
transportation services in FY 1992, the grant will
provide operating assistance to continue providing the
transportation services needed by the citizens of
Lubbock.
2. List at least three measures by which City Staff and City
Council might be able to evaluate the program in order to
determine that it has reached the goals and objectives
described in Question 1.
Passengers per hour (Fixed route and Demand Response Service)
Numbers of passengers trips per year on Fixed Route.
Numbers of passengers trips per year on Demand Response
Service
3. Will this program benefit the Lubbock community as a whole?
If not, please provide a detailed profile of the individuals
or groups that will benefit from the program.
Yes. The primary users of the transportation system are: low
income individuals without other means of transportation,
handicapped (both physical and mental), the elderly who are
unable to drive, school students, and college students. The
Demand Response Service is provided for passengers that
require special equipment to be able to be transported.
4. Are other agencies (other than the City of Lubbock) available
to administer this program? If so, list the agencies:
No. Not in the City of Lubbock.
S. Are other agencies administering similar programs? If so,
list the other agencies. If not, why not?
No other agencies currently provide mass transportation to the
citizens of Lubbock.
6. Is the program or activity provided by this grant required by
state or federal law or required as a condition of other
ongoing state or federal programs? Please explain:
To come into compliance with the Americans with Disabilities
Act (ADA), a transportation plan had to be prepared with
public input. The plan had to identify the demand for the
service and list a time frame to meet the demand. The
purchase of the replacement van is a part of the ADA plan in
an effort to meet the demand for the service.
7, Does the grant require a local match? If so, in what amount?
Is the match in the form of cash or an in -kind contribution?
Yes.
(1) Capital projects - A match of 20% of all the projects.
The van will require a City match of $13,000. Local
share for the five bus pullouts and the ten shelters will
be paid by TTU ($47,000).
(2) Operating Assistance - 50% share of net expenditures;
$626,920 by City of Lubbock; $401,600 by TTU; $18,400 by
route guarantee; and $300,000 by State. A portion of the
local match is provided by TTU, Texas Department of
Transportation and route guarantee; (FurrIs Supermarkets,
United Supermarkets and special services).
(3) Technical studies receive a 20% local match. $7,000 to
be paid by the City of Lubbock.
8. Is the grant for capital or operating programs? Please
describe specifically what the funds will be used for
(personnel, supplies, services, capital outlay, capital
projects, etc.).
Both capital and operating programs.
Capital:
Replacement van for 1986 DRS van, five bus pullouts, and
ten shelters for TTU
operating:
To maintain current level of service and increase
services to the citizens of Lubbock through a management
contract
A. If the grant is for capital outlay or a capital project,
will it result in ongoing City operational costs? If so,
explain in detail.
Yes. The replacement van will require operational costs
to the DRS.
B. If the grant is for an operating program or programs, is
it a one-time grant which will result in ongoing City
expenses, if the program is to be continued in the
future?
Yes. An operating grant is applied for annually.
C. Does the grant require continuation of the program, at
City expense, after grant funding has expired? If so,
how long will the City be obligated to expend local
funds, and in what areas? Be specific.
No. City would have to sell the capital purchased with
the assistance of the Federal Transit Administration and
return their portion if the service was discontinued.
9. Is the grant a one-time grant, a one-time grant with an option
to renew the grant, or an on -going grant? If the grant is
ongoing, how many years has the grant been provided to the
City, and what year does the upcoming period represent (end
year, Sth year, etc.). If the grant has an option to renew,
how often can it be renewed, and what are the terms of
renewal? Please explain.
The grant is a one-time grant, the capital portion of the
grant is for 16 months from June 1, 1993, to September 30,
1994, and the technical studies and operating portions of the
grant are for FY 94.
10. Are indirect costs reimbursed by the grant?
50% of indirect costs are reimbursed.
11. Are grant audit costs reimbursed by the grant?
50% of the audit costs are reimbursed.
12. What is the immediate (twelve-month) impact of the grant
program on City employee allocation and utilization? How will
this affect their work hours, productivity, etc. on City
programs and activities?
Citibus is managed by a private firm and has no City
employees.
13. What is the long-term (five-year) financial and manpower
impact of the grant program both on the community and on the
city organization?
The City of Lubbock would receive $1,614,920 in FY 1994 from
the Federal Transit Administration to assist in operating and
with technical and capital expenses. A like amount with some
increase can be expected in the future. City employees would
not be affected by the grant (see 112), but 93 Citibus
employees would be affected by the discontinuation of the
program.
14. Provide, in as much detail as possible, a 5-year Revenue and
Expenditure Projection for the grant related program beginning
with the current year or the first year this grant will be in
effect. show any on -going costs to the City, even if the
grant is only for one year. If the grant is renewable or
ongoing, show the estimated revenues and expenditures for
future years that you intend to renew/continue the grant (up
to five years) . Be sure to fully explain the source and types
of revenues (in -kind contribution, reimbursement of expenses,
etc.) and fully explain the specific types of expenditures
(payroll for 1/2 time clerk, purchase desk, capital project
construction, etc.). Attach additional sheets if necessary.
FOR GRANT FISCAL YEAR (From 1994 to 1998):
1994 1995 1996 1997 1998
Revenues
Federal Grant 1,614,920 2,460,000 3,342,000 3,712,000 3,812,000
State Grant 300,000 300,000 350,000 3501000 400,000
*Local Match
City -Operating
626,920
645,000
665,000
685,000
715,000
-Capital
13,000
252,000
460,000
540,000
540,000
-Technical
7,000
13,000
13,000
13,000
13,000
TTU -Operating
401,600
410,000
420,000
420,000
420,000
-Capital
47,000
0
0
0
0
Route Guarantee
18,400
20,000
20,000
20,000
20,000
Total Revenues 3,028,840 4,100,000 5,270,000 5,740,000 5,920,000
Expenditures
*Other Charges 2,728,840 2,840,000 2,970,000 3,040,000 3,220,000
Capital Project 300,000 1,260,000 2,300,000 2,700,000 2,700,000
----------------------------------------------
Total
Expenditures 3,028,840 4,100,000 5,270,000 5,740,000 5,920,000
*Citibus is managed by a private firm.
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
FEDERAL TRANSIT AnblrxrSTRATION
GRANT AGREEMENT
PART I OF II
NOTIFICATION OF GRANT APPROVAL and GENERAL PROVISIONS
For Projects Authorized Under
SECTIONS 3, 9, 9B, AND/OR 25 OF THE
FEDERAL TRANSIT ACT, AS AMENDED
49 U.S.C. APP. SECTIONS 1602, 1607a, 1607a-2, AND/OR 1621;
AND/OR TITLE 23, U.S.C. (HIGM4 iYS)
Form FTA 3&9 (B)
March 1993
NOTIFICATION OF GRANT APPROVAL
Grant No. TX-90-X283
Amendment No.
GRANTLubbock
DESIGNATED R_ of Lubbock
SECTIONMASS TRANSPORTATION SYSTEM: CITIBUS
OF
ESTIMATED-NE-T-MUMT COST OF THIS PROJECT OR ALL THE ..
PROGRAM: $31 1
EgiTIMA,TED FEDERAL SHME OE THIS AMENDMENT: -0-
MAXIMUM PERCENTAGE(S) OF FED M L PARTICIPATION:
Original Grant: 80 percent capital, 80 percent planning and 50 percent
operating
Amendment Number 1:
Amendment Number 2:
Original Grant or 13(c)
Grant Number Amendment Number Certification Date
TX-90-X283 Original Grant 6/7/93
1
2
See attached Approved Project Budget
SEP 3 Q 1993 _
OBLIGATION DATE
Attachment A
us ace) :a- •z
GRANT NUMBER: TX-90-X283
GRANTEE VENDOR DUMBER: 1993
IS THIS GRANT TO BE PAID ON THE ECHO SYSTEM? Yes X No
IF YES, PROVIDE NUMBER. 6022
IF YES, BUT YOU DO NOT KNOW THE NUMBER BECAUSE THE ECHO CONTROL
NUMBER IS CURRENTLY BEING ESTABLISHED BY THE ACCOUNTING DIVISION,
PLEASE INDICATE BY PLACING A CHECK IN THE FOLLOWING SPACE.
SOURCES OF FEDERAL FINANCIAL ASSISTANCE FOR THIS GRANT:
PREVIOUS THIS
E Y APPN SE9 TA FT-C OBLIGATION ACTS TOTAL
93 21 90 91 1 00 -0- $240,000 $240,000
93 21 90 91 1 02 -0- $28,000 $280,000
93 21 90 91 1 04 -0- $1,346,920 $1,346,920
APPROVAL DATE APPROVED PROJECT BUDGET PAGE 1
09/30/93
GRANTEE: CITY OF LUBBOCK
LUBBOCK, TEXAS
GRANT NO.: TX-90-X283-00 BUDGET NO.: Ol
FEDERAL AMOUNT
TOTAL AMOUNT
SCOPE
111-01 BUS -
ROLLING STOCK ......................$
52,000
$
65,000
ACTIVITY
11.12.15
BUY REPLACEMENT VAN
$ 52,000
$
65,000
SCOPE
113-01 BUS -
STATION/STOPS/TERMINALS............
$ 188,000
$
235,000
CTIVITY
11.33.02
CONST BUS STATION/TRF CENTER
$ 160,000
$
200,000
11.33.10
CONSTRUCT PASSENGER AMENITIES
$ 28,000
$
35,000
TOTAL CAPITAL
..................................$
240,000
$
300,000
SCOPE
300-01 OPERATING ASSISTANCE .....................$
1,346,920
$
2,693,840
ACTIVITY
30.09.00
OPERATING ASSISTANCE FOR THE
$ 1,346,920
$
2,693,840
PERIOD 10/1/93 TO 9/30/94
SCOPE
411-01 PLANNING -TECH CLASSIFICATIONS ............ $ 28,000 $ 35,000
ACTIVITY
41.11.00 PROGRAM SUPPORT/ADMINISTRATION $ 4,800 $ 6,000
41.12.00 GEN DEV & COMPREHENSIVE PLNG $ 23,200 $ 29,000
TOTAL ..........................................$ 1,614,920 $ 3,028,840
ESTIMATED NET PROJECT COST $ 3,028,840
FEDERAL SHARE $ 1,614,920
LOCAL SHARE $ 1,413,920
SOURCES OF FEDERAL FINANCIAL_ ASSISTANCE
FUNDING UZA: 481350 FUNDING UZA NAME: LUBBOCK, TX
ACCOUNTING
PREVIOUSLY
AMENDMENT
CLASSIFICATION
FPC
DESCRIPTION
APPROVED
AMOUNT
TOTAL
93.21.90.91.1
00
FY 1993, SEC 9
$ 0
$ 240,000 $
240,000
CAPITAL
93.21.90.91.1
02
FY 1993, SEC 9
$ 0
$ 28,000 $
28,000
PLANNING
93.21.90.91.1
04
FY 1993, SEC 9
$ 0
$ 1,346,920 $
4346,920
OPERATING
SUB TOTAL:
$ 0
$ 1,614,920 $
1,614,920
For Projects Authorized Under
SECTIONS 3, 9, 9B, AMID/OR 25 OF THE
FEDERAL TRANSIT ACT, AS AMENDED
49 U.S.C. APP. SECTIONS 1602, 1607a, 1607a-2, AND/OR 1621;
AMID/OR TITLE 23 , U.S.C. (HIGEM YS)
The U.S. Department of Transportation, Federal Transit
Administration (FTA) and the Grant Recipient named in the
Notification of Grant Approval have entered into this Grant
Agreement.
In consideration of the mutual covenants, promises, and
representations herein, the parties hereto agree as follows:
Section 1. Rrpose of Grant Agreement. The purpose of
this Grant Agreement is to set forth the terms and conditions
under which the Government will provide Federal financial
assistance to the Grant Recipient to carry out the public
transit project (Project) or program of projects (Program)
described in the Notification of Grant Approval.
Section 2. The Project/Program. The Grant Recipient
agrees to undertake and complete the Project or Program, and
to provide for the use of the Project or Program facilities
or 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 Agreement. The "Project/Program
Description" in the Notification of Grant Approval describes
the Project or Program to be funded by this Grant Agreement.
Section 3. Federal Financial Assistance. a. The
Government intends to assist the Grant Recipient in financing
that portion of the Project or Program that cannot reasonably
be financed from the Grant Recipient's revenues, i.e., "Net
Project Cost" of the Project or "Net Project Cost" of all
projects in the Program. The Estimated Net Project Cost
(which includes amendments) of all projects covered by this
Grant Agreement is set forth on the Notification of Approval,
and forms the basis for calculating the financial assistance
under this Grant Agreement. Accordingly, the Government will
provide Federal financial assistance in an amount equal to:
(1) the maximum amount permitted by Federal law and
regulations, or (2) the amount designated in the Notification
of Grant Approval as "Maximum Federal Funds Approved," or
(3) the amount designated in the Notification of Grant
Form FTA 3&9 (B)
March 1993
Page 1
Approval as "Maximum Percentage(s) of Federal Participation,"
whichever is the least.
b. For purposes of this Grant Agreement, "Net
Project Cost" must be in conformance with the requirements of
Office of Management and Budget Circular A-87, Revised, "Cost
Principles Applicable to Grants and Contracts with State and
Local Governments," and with applicable guidelines or
regulations issued by the Government.
c. The Government's obligation to make Federal
assistance payments is limited to the amounts set forth in
the Approved Project Budget.
Section 4. Local Share. The Grant Recipient 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 or Program
facilities or equipment (except as may otherwise be
authorized by Federal statute) or (c) revenues of the public
transit system in which such facilities or equipment are
used, funds in an amount sufficient, together with the
Federal financial assistance provided, to assure payment of
the actual Project Cost of each project covered under this
Grant Agreement. The Grant Recipient further agrees that no
refund or reduction of the amount provided by the Government
will be made at any time, unless there is at the same time a
refund to the Government of a proportional amount of the
Federal financial assistance provided, unless expressly
approved in writing by the Government. The Grant Recipient's
obligation to provide the Local Share is calculated on a
project -by -project basis for each project covered by this
Grant Agreement, whether or not the project is included
within a Program of Projects.
Section S. Labor Protection. The Grant Recipient
agrees to carry out the Project in conformance with 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 meet the requirements of
Section 13(c) of the Federal Transit Act, as amended,
49 U.S.C. app. Section 1609(c), and Department of Labor
(DOL), "Guidelines, Section 13(c), Federal Transit Act, as
Amended," 29 C.F.R. Part 215. These terms and conditions are
identified in the letter of certification from the DOL to the
FTA, the date of which letter is set forth in the
Notification of .Grant Approval. The Grant Recipient agrees
to carry out the Project in compliance with the conditions
stated in that DOL letter. That letter and any documents
cited in that letter are incorporated herein by reference and
made part of this Grant Agreement.
Page 2
Section 6. Special Requirements for Section 9 Proiects.
a. Fares and Services. The Grant Recipient
agrees that it will use its established administrative
process to solicit and consider public comment before raising
fares or implementing a major reduction of service.
b. Audit Requirement. The Government may, at
least annually, and more frequently in its discretion, either
conduct or require the Grant Recipient to have independently
conducted reviews and audits as the Government deems
appropriate, as authorized by the provisions of Section 9(g)
of the Federal Transit Act, as amended, 49 U.S.C. app.
Section 1607a(g), and applicable regulations or guidelines
that the Government may issue.
c. Half -Fare Requirement. The Grant Recipient
agrees and assures that the rates charged elderly and
handicapped persons during nonpeak hours for transportation
utilizing or involving the facilities and equipment financed
pursuant to this Grant Agreement 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 Grant Recipient or is by another entity under lease
or otherwise. The Grant Recipient agrees and assures that it
will give the rate required herein to any person presenting a
Medicare card duly issued to that person pursuant to Title II
or Title XVIII of the Social Security Act.
d. Sole Source Procurement. The Grant
Recipient may, without prior Government approval, procure an
associated capital maintenance item eligible under Section
9(j) of the Federal Transit Act, as amended, 49 U.S.C. app.
Section 1607a(j), by contract directly with the original
manufacturer or supplier of the item to be replaced, provided
that the Grant Recipient first certifies in writing to the
Government that: (1) such manufacturer or supplier is the
only source of such item; and (2) the price of such item is
no higher than the price paid for such item by like
customers; and provided that the Grant Recipient complies
with applicable Buy America statutory and regulatory
requirements.
e. Section 15 ReRorting Recuirements. For each
fiscal year, the Grant Recipient, and any mass transportation
operator to which the Grant Recipient provides FTA funds,
agrees to conform to the reporting system and the uniform
system of accounts and records as required by Section 15 of
the Federal Transit Act, as amended, 49 U.S.C. app.
Section 1611, and PTA regulations, "Uniform System of
Accounts and Records and Reporting System," 49 C.F.R.
Part 630.
Page 3
f. Annual Report on Advertising and Concession
Revenues. The Grant Recipient agrees to submit an annual
report to the FTA on advertising and concession revenues and
sales. The Grant Recipient may satifsy this requirement by
submitting the necessary data in its quarterly financial
reports.
g. Transit Security. For each fiscal year, the
Grant Recipient agrees to spend at least one percent of its
Section 9 funds for transit security projects, unless the
Grant Recipient has certified to the FTA that such
expenditures are not necessary.
h. Use of FTA Funds for Operating Assistance
Projects. Provided that the applicable operating assistance
limitation is not exceeded, the Federal financial assistance
provided under this Grant Agreement may be applied to the Net
Project Cost of operating assistance projects financed under
Section 9 of the Federal Transit Act, as amended, incurred
during the project time period specified in the Approved
Project Budget.
Section 7. Project Management Plan for Major Capital
Projects. For each major capital project, the Grant
Recipient agrees to implement a project management plan, as
approved by the Government, in accordance with the
requirements of Section 23 of the Federal Transit Act, as
amended, 49 U.S.C. app. Section 1619, and applicable
implementing regulations that may be issued thereunder.
Section 8. The Grant Agreement. This Grant Agreement
consists of two parts: this Part I of II, "Notification of
Grant Approval and General Provisions," Form FTA 3&9(B),
March 1993; and Part II of II, "Federal Transit
Administration Agreement, Terms and Conditions," Form
FTA II(B), March 1993. The latest Approved Project Budget is
incorporated herein by reference and made part of this Grant
Agreement. Should the Federal assistance award letter
include special conditions for the Project or the projects in
this Program, that letter is incorporated herein by reference
and made part of this Grant Agreement.
An amendment to any of these documents shall require a
formal amendment to this Grant Agreement, except that a
re -allocation of funds among budget items or fiscal years
without increasing the total amount of the Federal financial
assistance awarded may be made in accordance with all
applicable FTA circulars and regulations. Any amendment
granting additional financial assistance shall require the
issuance of a new Approved Project Budget.
Page 4
Section 9. Execution of Grant Agreement. This Grant
Agreement may be simultaneously executed in several
counterparts, each of which shall be deemed to be an original
having identical legal effect. After the Notification of
Grant Approval has been signed by the Government, this Grant
Agreement should be executed by the Grant Recipient. The
Government may withdraw its obligation hereunder if the Grant
Agreement is not executed within ninety (90) days after the
Obligation Date. The effective date of the Grant Agreement -
shall be the Obligation Date. The effective date of any
Amendment shall be the Obligation Date for that Amendment.
The Grant Recipient does hereby ratify and adopt all
statements, representations, warranties, covenants, and
materials submitted by it, and does hereby accept the
Government's award of Federal financial assistance and agrees
to all of the terms and conditions of this Grant Agreement.
ZA
Executed this day of 19�
Betty M. Johnson
City Secretary
City of Lubbock
TITLE AND ORGANIZATION
7ov'ed as to Content:
Larry/ . HoMialf
Direc or of TrAffisportation
City of Lubbock
Page 5
David R. Langston
Mayor
City of Lubbock
TITLE AND ORGANIZATION
Approved as to Form:
arold Willard
Assistant City Attorney
City of Lubbock
CERTIFICATION OF GRANT RECIPIENT'S AZTORNgY
I, Harold Willard , acting as Attorney for the
Grant Recipient do hereby certify that I have examined this
Grant Agreement and have ascertained that execution of the
Grant Agreement was authorized on the date of April 22, 1993
A copy of this authorization is attached or has previously
been submitted to the-FTA. The execution of this Grant
Agreement and the proceedings taken by the Grant Recipient
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 Agreement constitutes a legal and
binding obligation of the Grant Recipient 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 adversely affect the performance of
the Project in accordance with the terms of this Grant
Agreement.
Dated this day of 19�.
Assistant City Attorney
City of Lubbock
TITLE AND ORGANIZATION
Page 6
UNITED STATES OF AMRICA
DEPARTMENT OF TRANSPORTATION
FEDERAL TRANSIT ADMINISTRATION
SH329TON, D.C. 20590
PART II OF II
TERMS AMID CONDITIONS
For Mass Transportation Projects financed under the
Federal Transit Act, as amended, 49 U.S.C. app. §$ 1601 gJ
under Title 23, U.S.C. (Highways); or under other provisions of
the Intezmodal Surface Transportation Efficiency Act of 1991,
Pub. L. No. 102-240, Dec. 18, 1991
Form FTA II(B)
March 1993
TABLE OF CONTENTS
Section 101.
Definitions.......
............... ..........1
Section 102.
Accomplishment
of the Project................3
a.
General Requirements ............ .......3
b.
Application of Federal, State, and
Local Laws and Regulations.... ....... o.3
c.
Funds of the Recipient....... .... o ....... 4
d.
Changed Conditions of Performance
(Including Litigation)... .. ......4
e.
No Government Obligations to Third
Parties................................4
Section 103.
Ethics. .... .................. ..........5
a.
Code of Ethics........... ...
b.
Interest of Members of or Delegates to
Congress.... .. ........................6
c.
Bonus or Commission..... �
.... .. ....6
d.
Prohibition Against the Use of Federal
Funds for Lobbying............... ... o.o6
e.
Employee Political Activity... ...
f.
False or Fraudulent Statements or
Claims.................................6
Section 104.
Project Budget.......... .... oo.o..o oo .... 6
Section 105.
Accounting
Records ...........................7
a.
Project Accounts... ......... ...........7
b.
Funds Received or Made Available for
theProject.... ....... ...............7
c.
Documentation of Project Costs
andProgram Income .. ..................7
d.
Checks, Orders and Vouchers..............7
Section 106.
Record
Retention......... ..................7
a.
Submission of Proceedings, Contracts
and Other Documents....................7
b.
Audit and Inspection .....................6
Section 107.
Payments .... .......... .... ...............6
a.
Request by the Recipient for Payment ..... 8
b.
Payment by the Government................9
c.
Allowable Costs .........................il
d.
Disallowed Costs........ ..............12
e.
Bond Interest and Other Financing Costs.12
f.
Requirement to Remit Interest ........... 13
g.
De -obligation of Funds..................13
Section 108.
Right
of the Government to Terminate ........ 13
Section 109.
Project
Completion, Audit, Settlement, and
Close -Out .... ... ........................14
a.
Project Completion ......................14
b.
Audits..................................14
c.
Remittance of Excess Payments ........... 14
d.
Project Closeout.............. ........14
Section 110.
Real
Property, Equipment, and Supplies ...... 14
a.
Use of Property .........................15
i
b.
General Federal Requirements ............ 15
c.
Maintenance ................. ...........15
d.
Records..... .... ... ...................15
e.
Transfer of Project Property ............
15
f.
Withdrawn Property.. .................
.16
g.
Misused or Damaged Property ..............
17
h.
Obligations After Project Closeout ......
17
Section 111.
Encumbrance of Project Property.............17
Section 112.
Relocation and Land Acquisition.............IS
Section 113.
Flood Hazards...............................Is
Section 114.
Procurement.................................16
a.
Federal Standards.... ................18
b.
Exclusionary or Discriminatory
Specifications.... ... .... .........18
�Bidder
c.
Award to Other Than the Lowest
... 18
d.
Force Account.......... .... ..... o
... 18
e.
Capital Leases..... ..... o-018
f.
Buy America........ ..... ..... ......19
g.
Cargo Preference --Use of United
States -Flag Vessels.. ... .........19
h.
Preference for Recycled Products........19
i.
Project Management Oversight ... .........19
j.
Bus Testing....... ... o ..... o ..........20
k..
Pre -Award and Post -Delivery Audit ....
...20
1.
Notification Requirement........... .....
20
m.
Debarment and Suspension........ .... o_20
n.
Third Party Contract Disputes
or Breaches. .... oo ..... — ..... o ......
20
Section 115.
Patent Rights.... ....... .................
21
Section 116.
Rights in Data and Copyrights...............21
Section 117.
Civil Rights........... ... oo—o— ... __23
a.
Equal Employment Opportunity ............
23
b.
Disadvantaged Business Enterprise... ....
24
c.
Title VI of the Civil Rights Act
of 1964............ .... ... ..... .
... 25
d.
Access Requirements for Individuals
with Disabilities.............. .....
_26
Section 118.
Construction Contracts ......................27
a.
Nondiscrimination .......................27
b.
Specifications...........................29
c.
Notice.... oo—o—oo ...... .........
36
d.
Contract Security...... ................37
e.
Insurance During Construction... .....
...38
f.
Signs....... .....................
.38
g.
Safety Standards...... ................38
h.
Liquidated Damages..... ..... o .... oo ....
o38
Section 119.
Labor Provisions... .... o ...................38
a.
Construction Contracts .......... .......38
b.
Nonconstruction Contracts.... .......
.47
c.
State and Local Government Employees....48
ii
r-
Section 120.
Environmental, Resource Conservation, and
Energy Requirements .... ..................48
a. Environmental Protection................49
b. Air Pollution.... .....................49
c. Use of Public Lands. ..................49
d. Historic Preservation ...................49
e. Energy Conservation... ... ....... .....50
f. Mitigation of Adverse Environmental
Effects ......... .....................50
Section 121.
Charter Service 0perations..................50
Section 122.
School Bus Operations .......................51
Section 123.
Private Enterprise ..........................51
Section 124.
Metric System... ..... oo—.00 ...
Section 125.
Privacy......... ..... o ... oo.00 ....... ---51
Section 126.
Substance Abuse... ... .... ...
�........53
Section 127.
State Safety. Oversight ofRail Fixed
Guideway Public Systems............. ... —53
Section 128.
Severability................................53
Sections 114.g, 117.b, 118.a, 118.b, 118.c, 119.a, and 119.b
contain specific language that must be included in the Recipient's
third party contracts. Although other sections of this Agreement
may not contain specific language that must be included in third
party contracts, many sections do contain requirements applicable
to subrecipients and third party contractors.
iii
DEPARTMENT OF TRANSPORTATION
FEDERAL TRANSIT ADMINISTRATION
AGREEMENT
PART II OF II - TERMS AND CONDITIONS
Constituting part of the AGREEMENT providing for Federal
financial assistance under the provisions of the
Federal Transit Act, as amended, 49 U.S.C. app.
SS 1601 pt IC2.; Title 23 U.S.C. (Highways); the
National Capital Transportation Act of 1969, as amended;
or the Intermodal Surface Transportation Efficiency Act
of 1991, Pub. L. No. 102-240, Dec. 18, 1991
Section 101. Definitions. As used in this Agreement:
a. Agreement means any Grant Agreement or Cooperative
Agreement.
b. Anolication 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 and accepted or approved by
the Government (FTA) by or on behalf of the Recipient.
c. Approval. Authorization. Concurrence. Waiver means a
conscious written act by an authorized official of the
Government granting permission to the Recipient to perform or
omit an action required pursuant to this Agreement, which
action may not be performed or omitted without such
permission. An approval, authorization, concurrence, or
waiver permitting the performance or omission of a specific
action does not constitute permission to perform or omit
other similar actions unless such permission is clearly
stated. Oral permission or interpretations have no legal
force or effect.
d. Approved Project Budget means the most recently dated
statement, approved by the Government, of the estimated total
cost of the Project or Program, the items to be deducted from
such total in order to calculate the estimated Net Project
Cost, the maximum amount of Federal assistance for which the
Recipient is currently eligible, the specific items
(including contingencies specified) for which the total may
be spent, and the estimated cost of each of such items.
e. Federal Transit Act, as amended, is the statutory
designation of the former Urban Mass Transportation Act of
1964, as amended, 49 U.S.C. app. S 1601 note. Any reference
in any law, map, regulation, document, paper, or other record
Page 1
of the United States to the Urban Mass Transportation Act of
1964, as amended, shall be deemed a reference to the Federal
Transit Act, as amended.
f. Federal Transit Administration is the statutory
designation of the former Urban Mass Transportation
Administration, 49 U.S.C. app. § 1601 note. Any reference in
any law, map, regulation, document, paper, or other record of
the United States to the Urban Mass Transportation
Administration shall be deemed a reference to the Federal
Transit Administration.
g. Federal Transit Administrator is the statutory
designation for the Urban Mass Transportation Administrator,
49 U.S.C. app. § 1601 note. Any reference in any law, map,
regulation, document, paper, or other record of the United
States to the Urban Mass Transportation Administrator shall
be deemed a reference to the Federal Transit Administrator.
h. FTA is the acronym for the Federal Transit Administration
of the U.S. Department of Transportation (U.S. DOT). FTA
replaces the acronym "UMTA."
i. FTA Directive includes FTA circulars, notices, or orders
providing information about the FTA's programs, application
processing procedures, and project management guidance. In
addition to FTA directives, certain U.S. DOT directives also
apply to the Project.
j. Government means the United States of America and any
executive department or agency thereof.
k. Maass Transportation means transportation by bus, rail, or
other conveyance, either publicly or privately owned, that
provides general or special transportation service (but not
school bus, charter or sightseeing service) to the public on
a regular and continuing basis. The term "mass
transportation" also includes "transit" and "public
transportation."
1. Project means the task or set of tasks set forth in the
Approved Project Budget which the Recipient carries out
pursuant to this Agreement. In the case of financial
assistance under Section 9, 16, or 18 of the Federal Transit
Act, as amended, the term "Project" encompasses both
"Program" and "each Project within the Program," as the
context may require, to effectuate the particular
requirements of this Agreement.
m. Recipient means any entity that receives Federal
assistance directly from the FTA for the accomplishment of
the Project. The term "Grant Recipient" means "Grantee."
Page 2
n. Secretary means the U.S. DOT Secretary or his or her duly
authorized designee.
o. Subrecipient means any entity that receives FTA
assistance from an FTA recipient, rather than from the FTA
directly. The term "subrecipient" also includes the term
Rsubgrantee," but does not include "third party contractor.
p. U.S. DOT is the acronym for the U.S. Department of
Transportation, including its operating administrations.
Section 102. Accomplishment of the Project.
a. General Requirements. The Recipient agrees to carry out
the Project in a sound, economical, and efficient manner, and
in accordance with the provisions of this Agreement, the
Application, Approved Project Budget, Project or Program
schedules, and all applicable laws, regulations, FTA
directives, and published policies. U.S. DOT regulations,
"Uniform Administrative Requirements for Grants and
Cooperative Agreements to State and Local Governments
(common grant management rule), 49 C.F.R. Part 18, apply to
Projects with governmental bodies. Office and Management
Budget (OMB) Circular A-110, Revised, "Uniform Administrative
Requirements for Grants and Agreements with Institutions of
Higher Education, Hospitals, and Other Nonprofit
Organizations," apply to Projects with institutions of higher
education and private nonprofit organizations. The FTA also
applies OMB Circular A-110 to grants and cooperative
agreements with private for -profit organizations.
b. AMlication of Federal, State, and Local Laws and
Regulations.
(1) Federal Laws and Regulations. The Recipient
understands that Federal laws, regulations, policies, and
related administrative practices applicable to this Agreement
on the date the Agreement was executed may be modified from
time to time. The Recipient agrees that the most recent of
such Federal requirements will govern the administration of
this Agreement at any particular time, except if there is
sufficient evidence in the Agreement of a contrary intent.
Such contrary intent might be evidenced by express language
in Part I of this Agreement, or a letter signed by the
Federal Transit Administrator the language of which modifies
or otherwise conditions the text of a particular provision of
Part II of this Agreement. Likewise, new Federal laws,
regulations, policies and administrative practices may be
established after the date the Agreement has been executed
and may apply to this Agreement. To achieve compliance with
changing Federal requirements, the Recipient agrees to
Page 3
include in all sub -assistance agreements and third party
contracts financed with Government (FTA) assistance specific
notice that Federal requirements may change and the changed
requirements will apply to the project as required. All
limits or standards set forth in this Agreement to be
observed in the performance of the Project are minimum
requirements.
(2) State or Territorial Law and Local Law. Except to
the extent that a Federal statute or regulation pre-empts
State or territorial law, 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; however, if any of the provisions of the Agreement
violate any applicable State or territorial law, or if
compliance with the provisions of the Agreement would require
the Recipient to violate any applicable State or territorial
law, the Recipient agrees to notify the Government (FTA)
immediately in writing in order that the Government and the
Recipient may make appropriate arrangements to proceed with
the Project as soon as possible.
c. Funds of the Recipient. Unless approved otherwise by the
FTA, the Recipient agrees to complete all proceedings
necessary to provide the local share of the Project costs at
or before the time that such funds are needed to meet Project
expenses.
d. Changed Conditions of Performance (Including Litigation).
The Recipient agrees to notify the Government (FTA)
immediately of any change in local law, conditions, or any
other event that may significantly affect its ability to
perform the Project in accordance with the terms of this
Agreement. In addition, the Recipient agrees to notify the
Government (FTA) immediately of any decision pertaining to
the Recipient's conduct of litigation that may affect the
Government's interests in the Project or the Government's
administration or enforcement of applicable Federal laws or
regulations. Before the Recipient may name the Government as
a party to litigation for any reason, the Recipient agrees
first to inform the Government; this proviso applies to any
type of litigation whatsoever, in any forum.
e. No Government Obligations to Third Parties. Absent the
Government's express written consent, and notwithstanding any
concurrence by the Government in or approval of the award of
any contract of the Recipient (third party contract) or
subcontract of the Recipient (third party subcontract) or the
solicitation thereof, the Government shall not be subject to
any obligations or liabilities to third party contractors or
third party subcontractors or any other person not a party to
Page 4
this Agreement in connection with the performance of this
Project.
Section 103. Ethics
a. Code of Ethics. The Recipient agrees to maintain a
written code or standards of conduct that shall govern the
performance of its officers, employees, board members, or
agents engaged in the award and administration of contracts
supported by Federal funds. The code or standards shall
provide that the Recipient's officers, employees, board
members, or agents may neither solicit nor accept gratuities,
favors or anything of monetary value from present or
potential contractors or subrecipients. The Recipient may
set minimum rules where the financial interest is not
substantial or the gift is an unsolicited item of nominal
intrinsic value. As permitted by State or local law or
regulations, such code or standards shall provide for
penalties, sanctions, or other disciplinary actions for
violations by the Recipient's officers, employees, board
members, or agents, or by contractors or subrecipients or
their agents.
(1) Personal Conflict of Interest. The Recipient's code
or standards must provide that no employee, officer, board
member, or agent of the Recipient may participate in the
selection, award, or administration of a contract supported
by Federal funds if a real or apparent conflict of interest
would be involved. Such a conflict would arise when any of
the parties set forth below has a financial or other interest
in the firm selected for award:
(a) The employee, officer, board member, or agent;
(b) Any member of his or her immediate family;
(c) His or her partner; or
(d) An organization that employs, or is about to
employ, any of the above.
(2) Organizational Conflicts of Interest. The
Recipient's code or standards of conduct must include
procedures for identifying and preventing real and apparent
organizational conflicts of interests. An organizational
conflict of interest exists when the nature of the work to be
performed under a proposed third party contract, may, without
some restrictions on future activities, result in an unfair
competitive advantage to the contractor or impair the
contractor's objectivity in performing the contract work.
Page 5
b. 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 Project or to
any benefit therefrom.
c. Bonus or Commission. The Recipient warrants that it has
not paid, and agrees not to pay, any bonus or commission for
the purpose of obtaining approval of its application for the
financial assistance hereunder.
d. Prohibition Against the Use of Federal Funds for
Lobbying. The Recipient agrees to comply with the provisions
of 31 U.S.C. 5 1352, which prohibit the use of Federal funds
for lobbying any official or employee of any Federal agency,
or member or employee of Congress; and requires the Recipient
to disclose any lobbying of any official or employee of any
Federal agency, or member or employee of Congress in
connection with Federal assistance. The Recipient agrees to
comply with U.S. DOT regulations, "New Restrictions on
Lobbying," 49 C.F.R. Part 20.
e. Employee Political Activity. The terms of the "Hatch
Act," 5 U.S.C. SS 1501 through 1508, and Office of Personnel
Management regulations, "Political Activity of State or Local
Officers or Employees," 5 C.F.R. Part 151, apply to State and
local agencies and their officers and employees to the extent
covered by the statute and regulations. The "Hatch Act"
restricts the political activity of an individual principally
employed by a State or local executive agency in connection
with a program financed in whole or in part by a Federal
loan, grant, or cooperative agreement. However, the "Hatch
Act" does not apply to a nonsupervisory employee of a transit
system (or of any other agency or entity performing related
functions) receiving FTA assistance to whom the "Hatch Act"
is otherwise inapplicable.
f. false or Fraudulent Statements or Claims. The Recipient
acknowledges that if it makes a false, fictitious, or
fraudulent claim, statement, submission, or certification to
the Government in connection with this Project, the
Government reserves the right to impose on the Recipient the
penalties of 18 U.S.C. 5 1001, 31 U.S.C. §S 3801 pt M., and
49 U.S.C. app. § 1607a(h), as the Government may deem
appropriate. The terms of U.S. DOT regulations, "Program
Fraud Civil Remedies," 49 C.F.R. Part 31, apply to this
Project
Section 104. Project Budget.
The Recipient agrees to prepare and maintain a Project
Budget. The Recipient agrees to incur obligations against
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and make disbursements of Project funds only as authorized in
the latest Approved Project Budget. The Approved Project
Budget may be revised to the extent permitted by and in
conformance with applicable Government requirements.
Section 105. Accounting Records.
a. Protect Accounts. The Recipient agrees to establish and
maintain for the Project either a separate set of accounts or
accounts within the framework of an established accounting
system, in a manner consistent with 49 C.F.R. § 18.20, or OMB
Circular A-110, as amended, whichever is applicable.
b. Funds Received or Made Available for the Project.
Consistent with the provisions of 49 C.F.R. S 18.21, or
OMB Circular A-110, as amended, whichever is applicable, the
Recipient agrees to record in the Project Account, and
deposit in a financial institution all Project payments
received by it from the Government pursuant to this Agreement
and all other funds provided for, accruing to, or otherwise
received on account of the Project (Project Funds). The
Recipient is encouraged to use financial institutions owned
at least 50 percent by minority group members.
c. Documentation of Project Costs and -Program. Income. All
costs charged to the Project, includinganyapproved services
contributed by the Recipient or others, shall be supported by
properly executed payrolls, time records, invoices,
contracts, or vouchers describing in detail the nature and
propriety of the charges. The Recipient also agrees to
maintain accurate records of all Program Income derived from
Project implementation; this requirement, however, does not
apply to income of the Recipient that is determined by the
Government to be private.
d. Checks. Orders, and Vouchers. The Recipient agrees to
refrain from drawing checks or orders for goods or services
to be charged against the Project Account until it has on
file in its office a properly signed voucher describing in
proper detail the purpose of the expenditure. The Recipient
agrees that all checks, payrolls, invoices, contracts,
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 from documents not pertaining to the Project.
Section 106. Record Retention.
a. Submission of Proceedings. Contracts and Other Documents.
During the course of the Project and for three years
Page 7
thereafter, the Recipient agrees to retain intact and to
provide any data, documents, reports, records, contracts, and
supporting materials relating to the Project as the
Government may require. Reporting and record -keeping
requirements for governmental recipients are set forth in
49 C.F.R. Part 18. Reporting and record -keeping requirements
for private non-profit and for -profit recipients, are set
forth in OMB Circular A-110. Project closeout does not alter
these requirements
b. Audit and Inspection.
(1) General Audit Reauirements. A Recipient that is a
State, local government or Indian tribal government agrees to
comply with the audit requirements of 49 C.F.R. § 18.26 and
OMB Circular A-128, and any revision or supplement thereto.
A Recipient that is an institution of higher education or
nonprofit organization agrees to comply with the audit
requirements of OMB Circular A-110 and OMB Circular A-133,
and any revision or supplement thereto. A Recipient that is
a private for -profit organization agrees to comply with the
audit requirements of OMB Circular A-133. The Government may
waive the OMB Circular A-128 audit requirement or substitute
a requirement for a project audit performed in accordance
with the Comptroller General's standards. The Recipient
agrees to obtain any other audits required by the Government.
Project closeout will not alter the Recipient's audit
responsibilities. Audit costs for Project administration and
management are allowable under this Project to the extent
authorized by OMB Circular A-87, Revised; OMB Circular A-21,
Revised; or OMB Circular A-122, Revised.
(2) Inspection by Federal Officials. The Recipient
agrees to permit the Secretary and the Comptroller General of
the United States, or their authorized representative, to
inspect all Project work, materials, payrolls, and other
data, and to audit the books, records, and accounts of the
Recipient and its contractors pertaining to the Project. The
Recipient agrees to require each third party -contractor whose
contract award is not based on competitive bidding procedures
as defined by the Secretary to permit the Secretary of
Transportation and the Comptroller General of the United
States, or their duly authorized representative, to inspect
all work, materials, payrolls, and other data and records
involving that contract, and to audit the books, records, and
accounts involving that contract as it affects the Project.
Section 107. payments.
a. Request by the Recipient for Payment. The Recipient's
request for payment of the Federal share of allowable costs
Page 8
will be honored by the Government as set forth in this
Section. Each payment made to the Recipient must comply with
Department of the Treasury regulations, "Rules and Procedures
for Funds Transfers," 31 C.F.R. Part 205. To receive a
Federal assistance payment, the Recipient must:
(1) Have demonstrated or certified that it will provide
local funds adequate, when combined with Federal payments, to
cover all costs to be incurred under the Project. A
Recipient required by Federal statute or this Agreement to
provide a local share agrees: (a) to refrain from requesting
or obtaining Federal funds in excess of the amount justified
by the local share that has been provided; and (b) to refrain
from taking any action that would cause the proportion of
Federal funds made available to the Project at any time to
exceed the percentage authorized under the Agreement. A
Recipient may defer provision of the local share only to the
extent expressly permitted by the Government.
(2) Have submitted to the Government (PTA) all
financial and progress reports required to date under this
Agreement; and
(3) Have identified the source(s) of financial
assistance provided under this Project or Program from which
the payment is to be derived.
b. Payment by the Government.
The Government (FTA) makes all payments by the Automated
Clearing House (ACH) method of payment, regardless of the
money amount involved.
(1) Electronic Clearing House Operation (ECHO)
Payments. If payment is made under the Electronic
Clearinghouse Operation (ECHO), by means of an ECHO Control
Number (ECN), the Recipient agrees to comply with the
following ECHO requirements pursuant to U.S. Department of
the Treasury Circular 1075, Part 205, "Withdrawal of Cash
from the Treasury for Advances Under Federal Grants and Other
Programs," and as established by the "Guidelines for
Disbursements" set forth in the Government (FTA) ECHO System
Operations Manual:
(a) The Recipient may initiate cash drawdowns only
when actually needed for immediate disbursement required for
Project purposes. Unless provided otherwise by Federal
law or regulation, the Recipient agrees to expend all Federal
funds obtained under the Project for Project purposes no
later than three (3) days after receipt of those funds.
Failure to expend those Federal funds within three (3) days
Page 9
of their receipt or to return the funds to the Government
within a reasonable period, the failure by the Recipient to
establish procedures that will minimize the time elapsing
between cash advances and the disbursement shall cause the
Government to revoke or temporarily suspend the Recipient's
ECHO Control Number and the Recipient's access to the ECHO
System. In addition, a Recipient's failure to adhere to
these requirements may result in other remedies authorized by
Federal law or regulation.
(b) The Recipient agrees to report its cash
disbursements and balances in a timely manner as required by
the Government.
(c) The Recipient agrees to provide for control
and accountability for all Project funds consistent with
Federal requirements and procedures for use of ECHO system.
(d) The Recipient may not draw down funds for a
project in an amount that would exceed the sum obligated by
the Government or the current available balance for that
Project.
(e) The Recipient agrees to limit drawdowns to
eligible Project costs and to refrain from drawing down
Federal funds before they are needed for disbursement.
(f) The Recipient agrees to adhere to and impose
on its subrecipients all applicable requirements of
Part II, Subsections 107.b (1) (a) , (b) , (c) , (d) , and (e) of
this Agreement.
(g) If the Recipient fails to adhere to the
requirements of Part II, Subsections 107.b(1)(a), (b), (c),
(d), or (e) of this Agreement, the Government may revoke the
portion of the Recipient's funds that has not been
obligated.
(2) Requisition. If the requisition method of payment
is used, the Recipient agrees to:
(a) Complete and submit Standard Form 3881,
"Payment Information Form - ACH Payment Vendor Payment
System," to the FTA's Accounting Division.
(b) Complete and submit Standard Form 270,
"Request for Advance or Reimbursement," to the designated FTA
office.
Upon receipt of a payment request and adequate accompanying
information, the Government will authorize payment by direct
deposit if the Recipient is complying with its obligations
Page 10
under this Agreement, has satisfied the Government that it
needs the requested Federal funds during the requisition
period, and is making adequate and timely progress toward
Project completion. If all these circumstances are present,
the Government may reimburse apparent allowable costs
incurred (or to be incurred during the requisition period) by
the Recipient up to the maximum amount of Federal funds
payable through the fiscal year in which the requisition is
submitted, as stated in the Project Budget.
c. Allowable Costs. The Recipient's expenditures will be
reimbursed if they meet all requirements set forth below:
(1) Conform with the Project Description and the
Approved Project Budget and all other terms of this
Agreement;
(2) Be necessary in order to accomplish the Project;
(3) Be reasonable 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, excluding Program
Income);
(5) Be incurred (and be for work performed) after the
date of this Agreement, unless specific authorization from
the Government to the contrary is received;
(6) Unless permitted otherwise by Federal statute or
regulation, conform with Federal guidelines or regulations
and Federal cost principles as set forth below:
(a) For Recipients that are governmental
organizations, the standards of OMB Circular A-87, Revised,
"Cost Principles for State and Local Governments" apply;
(b) For Recipients that are institutions of higher
education, the standards of OMB Circular A-21, Revised, "Cost
Principles for Educational Institutions" apply;
(c) For Recipients that are private nonprofit
organizations, the standards of OMB Circular A-122, Revised,
"Cost Principles for Nonprofit Organizations" apply;
(d) For Recipients that are for -profit
organizations, the standards of the Federal Acquisition
Regulation, 48 C.F.R. Chapter I, Subpart 31.2, "Contracts
with Commercial Organizations" apply;
Page 11
(7) Be satisfactorily documented; and
(8) Be treated uniformly and consistently under
accounting principles and procedures approved and prescribed
by the Government for the Recipient; and those approved or
Prescribed by the Recipient for its contractors.
d. Disallowed Costs. In determining the amount of Federal
assistance the FTA will provide, the FTA will exclude:
(1) Any Project costs incurred by the Recipient before
the Obligation Date of this Agreement or Amendment thereof,
whichever is later, unless otherwise permitted by Federal law
or regulation, or unless an authorized representative of the
Government states in writing to the contrary;
(2) Any costs incurred by the Recipient that are not
included in the latest Approved Project Budget; and
(3) Any costs attributable to goods or services received
under a contract or other arrangement that is required to be,
but has not been, concurred in or approved in writing by the
Government.
The Recipient agrees that reimbursement of any cost under
Part 11, Section 107 of this Agreement does not constitute a
final Government decision about the allowability of that cost
and does not constitute a waiver of any violation by the
Recipient of the terms of this Agreement. The Recipient
understands that the Government will not make a final
determination about the allowability of any cost until an
audit of the Project has been completed. If the Government
determines that the Recipient is not entitled to receive any
part of the Federal funds requested, the Government will
notify the Recipient stating the reasons therefor. Project
closeout will not alter the Recipient's obligation to return
any funds due to the Government as a result of later refunds,
corrections, or other transactions. Nor will Project
closeout alter the Government's right to disallow costs and
recover funds on the basis of a later audit or other review.
Unless prohibited by law, the Government may offset any
Federal assistance funds to be made available under this
Project as needed to satisfy any outstanding monetary claims
that the Government may have against the Recipient.
Exceptions pertaining to disallowed costs are set forth in
FTA directives or in other written Federal guidance.
e. Bond Interest and Other Financing Costs. To the extent
permitted in writing by the FTA, bond interest and other
financing costs are allowable.
Page 12
(1) Any interest earned by the Recipient on Federal
funds must be remitted to the Government, except as provided
by 31 U.S.C. § 6503, or the Indian Self -Determination Act,
25 U.S.C. S 450 V_t sea., and any regulations thereunder that
may be issued by the U.S. Secretary of the Treasury.
(2) Irrespective of whether the Recipient has deposited
. funds in an interest -bearing account, the Recipient agrees to
pay to the Government interest on any Federal funds that the
Recipient has drawn down and failed to spend for eligible
Project activities. Unless waived by the Government,
interest will be calculated at rates imposed by the U.S.
Secretary of the Treasury beginning on the fourth day after
the funds were deposited in the Recipient's bank or other
financial depository. This requirement does not apply to any
Recipient that is a state, state instrumentality, or Indian
Tribal Government, except as permitted by regulations that
may be issued by the U.S. Secretary of the Treasury.
(3) Upon notice by the Government to the Recipient of
specific amounts due, the Recipient agrees to promptly remit
to the Government any excess payment of amounts or disallowed
costs, including any interest due thereon.
g. De -obligation of Funds. The Government reserves the
right to de -obligate unspent Federal funds prior to Project
closeout.
Section 108. Right of the Government to Terminate.
Upon written notice, the Recipient agrees that the Government
may suspend or terminate all or part of the financial
assistance provided herein if the Recipient has violated the
terms of this Agreement, or if the Government determines that
the purposes of the statute under which the Project is
authorized would not be adequately served by continuation of
Federal financial assistance for the Project. Any failure to
make reasonable progress on the Project or other violation of
the Agreement that significantly endangers substantial
performance of the Project shall provide sufficient grounds
for the Government to terminate this Agreement.
In general, termination of any financial assistance under
this Agreement will not invalidate obligations properly
incurred by the Recipient and concurred in by the Government
before the termination date, to the extent those obligations
cannot be cancelled. However, if the Government determines
Page 13
that the Recipient has willfully misused Federal assistance
funds by failing to make.adequate progress, failing to make
reasonable use of the Project real property, facilities, or
equipment, or failing to adhere to the terms of this
Agreement, the Government reserves the right to require the
Recipient to refund the entire amount of Federal funds
provided under this Agreement or any lesser amount as may be
determined by the Government.
Expiration of any Project Time Period established for this
Project does not, by itself, constitute an expiration or
termination of this Agreement.
Section 109. Project Completion, Audit. Settlement. and
Closeout.
a. Project Completion. Within 90 days of the Project
completion date or termination by the Government, the
Recipient agrees to submit a final Financial Status Report
(Standard Form 269), a certification or summary of Project
expenses, and third party audit reports, as applicable.
b. Audits. Each Governmental Recipient agrees to undertake
the audits required by 49 C.F.R. § 18.26 and OMB Circular
A-128 or any revision or supplement thereto. Each
Nongovernmental Recipient covered agrees to undertake the
audits required by OMB Circular A-133 or any revision or
supplement thereto.
c. Remittance of Excess Payments. If the Government has
made payments to the Recipient in excess of the total amount
of the Federal assistance due, the Recipient agrees to
promptly remit that excess and interest as may be required by
Part II, Subsections 107.b and 107.f of this Agreement.
d. Project Closeout. Project closeout occurs when the
Government notifies the Recipient and forwards the final
Federal assistance payment or when the Government
acknowledges the Recipient's remittance of the proper
refund. Project closeout shall not invalidate any continuing
obligations imposed on the Recipient by this Agreement or by
the Government's final notification or acknowledgment.
Section 110. Real Property. Ecgi�ipment. and Supplies.
Unless otherwise approved by the Federal Transit
Administrator, the following conditions apply to real
property, equipment, and supplies financed under this
Agreement:
Page 14
a. Use of Property. The Recipient agrees that Project real
property, equipment, and supplies shall be used for the
provision of transit service for the duration of their useful
life, as determined by the PTA. Should the Recipient
unreasonably delay or fail to use Project real property,
equipment, or supplies during their useful life, the
Recipient agrees that the PTA may require the Recipient to
return the entire amount of the Federal assistance expended
on that real property, equipment, or supplies. The Recipient
further agrees to notify the PTA immediately when any Project
real property or equipment is withdrawn from use in transit
service or when real property or equipment is used in a
manner substantially different from the representations made
by the Recipient in its Application or the text of the
Project Description.
b. General Federal Requirements. A Recipient that is a
governmental entity agrees to comply with the property
management standards of 49 C.F.R. §§ 18.31, 18.32, and 18.33,
including any amendments thereto, and other applicable
guidelines or regulations that the Government may issue. A
Recipient that is not a governmental entity agrees to comply
with ONE Circular A-110, Attachment N, including any
amendments thereto, and other applicable guidelines or
regulations that the Government may issue. Exceptions to the
requirements of 49 C.F.R: §§ 18.31, 18.32, and 18.33, and to
OMB Circular A-110, Attachment N must be specifically
approved by the Government.
c. Maintenance. The Recipient agrees to maintain the
Project real property and equipment in good operating order,
and in accordance with any guidelines, directives, or
regulations that the FTA may issue.
d. Records. The Recipient agrees to keep satisfactory
records with regard to the use of the real property,
equipment, and supplies, and submit to the Government upon
request such information as may be required to assure
compliance with this Section of this Agreement
(1) Recipient Reguest. The Recipient may transfer
assets financed under the Federal Transit Act, as amended, to
a public body to be used for any public purpose with no
further obligation to the Government, provided that transfer
is authorized by the Federal Transit Administrator and meets
the requirements of Section 12(k) of the Federal Transit Act,
as amended, 49 U.S.C. app. § 1608(k).
(2) Government Direction. The Recipient agrees that the
Government may require the Recipient to transfer title to
Page 15
any real property, equipment, or supplies financed with
Federal assistance made available by this Agreement as
permitted by 49 C.F.R. § 18.32(g) or OMB Circular A-110,
Attachment N, whichever may be applicable. The Recipient
also agrees that the Government may direct the disposition of
real property or equipment financed with Federal assistance
funds made available under this Agreement, as set forth by
49 C.F.R. §§ 18.31 and 18.32 or OMB Circular A-110,
Attachment N, whichever may be 'applicable.
f. Withdrawn Property. If any Project real property,
equipment, or supplies are not used in transit service for
the duration of their useful life as determined by the FTA,
whether by planned withdrawal, misuse or casualty loss, the
Recipient agrees to notify the FTA immediately.
(1) Federal Interest in Property. Unless otherwise
approved by the Government, the Recipient agrees to remit to
the Government the Federal interest in the fair market value,
if any, of the real property, equipment, or supplies whose
aggregate value exceeds $5,000. The amount of that Federal
interest shall be determined on the basis of the ratio of the
Federal assistance awarded by the Government for the Project
to the actual cost of the Project.
(2) Fair Market Value. The following requirements apply
to the calculation of fair market value:
(a) Equipment and Supplies. Unless otherwise
approved in writing by the FTA, the fair market value of
equipment and supplies will be the value of that property at
the time immediately before the occurrence that prompted the
withdrawal of the equipment or supplies from transit use.
The fair market value shall be calculated on straight line
depreciation of the equipment or supplies, based on a useful
life approved by the FTA, irrespective of the reason for
withdrawal of equipment or supplies from transit use. The
fair market value of equipment or supplies lost or damaged by
casualty or fire will be calculated on the basis of the
condition of the equipment or supplies immediately before the
casualty or fire, irrespective of the extent of insurance
coverage.
(b) Meal Property. The fair market value of real
property shall be determined by competent appraisal based on
an appropriate date as determined by the Government
consistent with the standards of 49 C.F.R. Part 24.
(c) Exceptional Circumstances. The Government,
however, reserves the right to require another method of
Page 16
valuation to be used if determined to be in the best
interests of the Government. In unusual circumstances, the
Recipient may request that another reasonable method of
determining fair market value be used, including but not
limited to accelerated depreciation, comparable sales, or
established market values. In determining whether to approve
an alternate method, the Government may consider any action
taken, omission made, or unfortunate occurrence suffered by
the Recipient with respect to the preservation or
conservation of the value of the real property, equipment, or
supplies that, for any reason, have been withdrawn from
service.
g. Misused or Damaged Property. If any damage to Project
real property, equipment, or supplies results from abuse or
misuse that has taken place with the Recipient's knowledge
and consent, the Recipient agrees that the Government may
require the Recipient to restore that real property or
equipment to its original condition or refund the value of
the Federal interest in the damaged property.
h. Obligations After Project Closeout. A Recipient that is
a governmental entity agrees that project closeout will not
alter its property management obligations set forth in
Section 110 of this Agreement and 49 C.F.R. §§ 18.31 and
18.32. A Recipient that is an institution of higher
education or a private organization agrees that project
closeout will not alter its property management obligations
set forth in Section 110 of this Agreement and OMB Circular
A-110, Attachment N.
Section 111. Encumbrance of Project Property.
a. Unless expressly authorized in writing by the Government,
the Recipient agrees to refrain from:
(1) Executing any transfer of title, lease, lien,
pledge, mortgage, encumbrance, contract, grant anticipation
note, alienation, or other obligation that in any way would
affect the Federal interest in any Project real property or
equipment; or
(2) Obligating itself in any manner to any third party
with respect to Project real property or equipment.
b. The Recipient agrees to refrain from taking any action or
acting in a manner that would adversely affect the Federal
interest or impair the Recipient's continuing control over
the use of Project real property or equipment.
Page 17
Section 112. Relocation and Land Acquisition.
The Recipient agrees to comply with the Uniform Relocation
Assistance and Real Property Acquisition Policies Act of
1970, as amended, 42 U.S.C. §§ 4601 pt &=.; and U.S. DOT
regulations, "Uniform Relocation and Real Property
Acquisition for Federal and Federally Assisted Programs,"
49 C.F.R. Part 24.
Section 113. Flood Hazards.
The Recipient agrees to comply with the flood insurance
purchase requirements of Section 102(a) of the Flood
Disaster Protection Act of 1973, 42 U.S.C. S 4012a(a), with
respect to any construction or acquisition Project.
Section 114. Procurement.
a. Federal Standards. The Recipient agrees to comply with
the Procurement Standards requirements set forth at 49 C.F.R.
S 18.36 or OMB Circular A-110, Attachment O, whichever may be
applicable; and with applicable supplementary directives or
regulations including FTA Circular 4220.1B and any changes or
revisions thereto; and other applicable guidance that the FTA
or the U.S. DOT may issue. If determined necessary for
proper Project administration, the FTA reserves the right to
review the Recipient's technical specifications and
requirements.
b. Exclusionary or Discriminatory Specifications. The
Recipient further agrees that, notwithstanding the Buy
America requirements of Part II, Subsection 114.f of this
Agreement, no Federal funds shall be used to support -
procurements utilizing exclusionary or discriminatory
specifications.
c. Award to Other Than the Lowest Bidder. In accordance
with Section 12(1)(3) of the Federal Transit Act, as amended,
49 U.S.C. app. § 1608(1)(3), a Recipient may award a third
party contract to other than the lowest bidder in connection
with a procurement, when such award furthers objectives that
are consistent with the applicable regulations guidance that
the FTA may issue.
d. Force Account. The FTA reserves the right to determine
the extent of its participation in force account costs.
e. Capital Leases. As may be applicable, the Recipient
agrees to comply with FTA regulations, "Capital Leases,"
49 C.F.R. Part 639, and any revision thereto.
Page 18
f. Buy America. Each third party contract utilizing PTA
assistance must conform with Section 165 of the Surface
Transportation Assistance Act of 1982, as amended by Section
337 of the Surface Transportation and Uniform Relocation
Assistance Act of 1987, and Section 1048 of the Intermodal
Surface Transportation Efficiency Act of 1991, and FTA
regulations, "Buy America Requirements - Surface
Transportation Assistance Act of 1982," 49 C.F.R. Part 661
and applicable revisions thereto.
g. Cargo Preference -- Use of United States -Flag Vessels.
Pursuant to Maritime Administration regulations, "Cargo
Preference -- U.S.-Flag Vessels," 46 C.F.R. Part 381, the
Recipient shall insert the following clauses in contracts let
by the Recipient in which equipment, materials or commodities
may be transported by ocean vessel in carrying out the
Project:
AS REQUIRED BY 46 C.F.R. PART 381, THE CONTRACTOR AGREES --
(1) 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
CONTRACT TO THE EXTENT SUCH VESSELS ARE AVAILABLE AT FAIR AND
REASONABLE RATES FOR UNITED STATES -FLAG COMMERCIAL VESSELS.
(2) TO FURNISH WITHIN 20 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 -LADING
IN ENGLISH FOR EACH SHIPMENT OF CARGO DESCRIBED IN PARAGRAPH
(1) ABOVE TO THE RECIPIENT (THROUGH THE PRIME CONTRACTOR IN
THE CASE OF SUBCONTRACTOR BILLS -OF -LADING) AND TO THE
DIVISION OF NATIONAL CARGO, OFFICE OF MARKET DEVELOPMENT,
MARITIME ADMINISTRATION, 400 SEVENTH STREET, S.W.,
WASHINGTON, D.C. 20590, 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.
h. Preference for Recycled Products. The Recipient agrees
to give preference to the purchase of recycled products for
use in this Project pursuant to the various Environmental
Protection Agency (EPA) guidelines contained in 40 C.F.R.
Parts 247-254.
i. Project Management Oversight. To the extent applicable,
the Recipient agrees to comply with FTA regulations, "Project
Page 19
Management Oversight," 49 C.F.R. Part 633, and any revision
thereto, with respect to a major capital project.
j. Pus Testing. To the extent applicable, the Recipient
agrees to comply with FTA regulations, "Bus Testing,"
49 C.F.R. Part 665, and any revision thereto.
k. pre -Award and Post -Delivery Audit. To the extent
applicable, the Recipient agrees to comply with FTA
regulations, "Pre -Award and Post -Delivery Audits of Rolling
Stock Purchases," 49 C.F.R. Part 663, and any revision
thereto.
1. Notification Requirement. With respect to any
procurement for goods and services (including construction
services) having an aggregate value of $500,000 or more, the
Recipient agrees to: (1) specify in any announcement of the
awarding of the contract for such goods or services the
amount of Federal funds that will be used to finance the
acquisition; and (2) express the said amount as a percentage
of the total costs of the planned acquisition.
m. Debarment and Suspension. The Recipient agrees to obtain
certifications on debarment and suspension from its third
party contractors and subrecipients and otherwise comply with
U.S. DOT regulations, "Governmentwide Debarment and
Suspension (Nonprocurement) and Governmentwide Requirements
for Drug -Free Workplace (Grants)," 49 C.F.R. Part 29.
n. Third Party Contract Disputes or Breaches.
(1) General. The Government has a vested interest in
the settlement of any dispute, default, or breach involving
any federally -assisted third party contract. Therefore the
Recipient agrees to pursue all legal rights available under
any third party contract. The Government reserves the right
to concur in any compromise or settlement of any claim by the
Recipient involving any third party contract.
(2) Notification Requirement. The Recipient agrees to
notify the Government of any current or prospective major
dispute, breach, or litigation pertaining to any third party
"contract. If the Recipient seeks to name the Government as a
party to litigation for any reason, the Recipient agrees
first to inform the Government before doing so; this proviso
applies to any type of litigation whatsoever, in any forum.
(3) Federal Interest in Recovery. The Government retains
the right to a proportionate share, based on the percentage
of the Federal share committed to the Project, of any
proceeds derived from any third party recovery. If the third
party contract at issue contains a liquidated damages
Page 20
I I ,
provision, the Recipient agrees to credit any liquidated
damages recovered to the Project account unless the
Government permits otherwise.
(4) Alternative Dispute Resolution. The Government
encourages the Recipient to use alternative dispute
resolution, as may be appropriate.
Section 115. Patent Rights.
a. If any invention, improvement, or discovery of the
Recipient or any of its third party contractors is conceived
or first actually reduced to practice in the course of or
under this Project, and that invention, improvement, or
discovery is patentable under the laws of the United States
of America or any foreign country, the Recipient agrees to
notify the FTA immediately and provide a detailed report.
The rights and responsibilities of the Recipient, third party
contractors and the Government with respect to such
invention, improvement, or discovery will be determined in
accordance with applicable Federal laws, regulations,
policies, and any waiver thereof.
b. The Recipient agrees to include the requirements of
Part II, Subsection 115.a of this Agreement in its third
party contracts for planning, research, development, or
demonstration under this Project.
Section 116. Rights in Data and Copyrights.
a. The term "subject data" used in this Section 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 punched cards, magnetic tape, or computer memory
printouts; and information retained in computer memory.
Examples include, but are not limited to: computer software,
engineering drawings and associated lists, 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 Project administration.
b. The following restrictions apply to all subject data
first produced in the performance of this Agreement:
(1) Except for its own internal use, the Recipient may
not publish or reproduce such data in whole or in part, or in
Page 21
any manner or form, nor may the Recipient authorize others to
do so, without the written consent of the Government, until
such time as the Government may have either released or
approved the release of such data to the public; this
restriction on publication, however, does not apply to
Agreements with academic institutions.
(2) As authorized by 49 C.F.R. S 18.34, the Government
reserves a royalty -free, non-exclusive and irrevocable
license to reproduce, publish or otherwise use, and to
authorize others to use, for Federal Government purposes:
(a) Any work developed under a grant, cooperative
agreement, sub -grant, sub -agreement, or third party contract,
irrespective of whether or not a copyright has been obtained;
and
(b) Any rights of copyright to which -a Recipient,
subrecipient, or a third party contractor purchases ownership
with Federal assistance.
c. When the FTA provides assistance to a Recipient for a
Project involving planning, research, development, or a
demonstration, it is generally the FTA's intent to increase
the body of mass transit knowledge, rather than to limit the
benefits of the Project to those parties that have
participated therein. Therefore, unless the FTA determines
otherwise, the Recipient of FTA assistance to support
planning, research, development, or a demonstration financed
under the Federal Transit Act, as amended, understands and
agrees that, in addition to the rights set forth in
Part II, Subsection 116.b(2) of this Agreement, the FTA may
make available to any FTA recipient, subrecipient, third
party contractor, or third party subcontractor, either the
FTA's license in the copyright to the "subject data" derived
under this Agreement or a copy of the "subject data" first
produced under this Agreement. In the event that such a
Project, which is the subject of this Agreement, is not.
completed, for any reason whatsoever, all data developed
under that Project shall become subject data as defined in
Part II, Subsection 116.a of this Agreement and shall be
delivered as the Government may direct. This subsection of
Part II of the Agreement, however, does not apply to
adaptations of automatic data processing equipment or
programs for the Recipient's use which costs are financed
with capital funds (Section 3, 9, 16, 18 of the Federal
Transit Act, as amended, or Title 23 funds).
d. Unless prohibited by State law, the Recipient agrees to
indemnify, save and hold harmless the Government, its
officers, agents, and employees acting within the scope of
their official duties against any liability, including costs
Page 22
and expenses, resulting from any willful or intentional
violation by the Recipient of proprietary rights, copyrights,
or right of privacy, arising out of the publication,
translation, reproduction, delivery, use, or disposition of
any data furnished under this Agreement. The Recipient shall
not be required to indemnify the Government for any such
liability arising out of the wrongful acts of employees or
• agents of the Government.
e. Nothing contained in this Section on rights in data 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. The requirements of Part II, Subsections 116.b, 116.c
and 116.d of this Agreement do not apply to material
furnished to the Recipient by the Government and incorporated
in the work carried out under the Agreement, provided that
such incorporated material is identified by the Recipient at
the time of delivery of such work.
g. Unless the FTA determines otherwise, the Recipient agrees
to include the requirements of Part II, Subsections 116.a
through 116.f of this Agreement in its third party contracts
for planning, research, development, or demonstration under
this Project.
Section 117. Civil Rich
a. Equal Employment Opportunity. The following requirements
apply to the Project:
(1) In implementing the Project, the Recipient may not
discriminate against any employee or applicant for employment
because of race, color, creed, sex, disability, age, -or
national origin. The Recipient agrees to take affirmative
action to ensure that applicants are employed, and that
employees are treated during employment, without regard to
their race, color, creed, sex, disability, age, 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
Recipient shall insert the foregoing provision (modified only
to show the particular contractual relationship) in all its
- third party contracts for Project implementation, except
contracts for standard commercial supplies or raw materials
and construction contracts, and shall require all such
contractors to insert a similar provision in all
Page 23
subcontracts, except subcontracts for standard commercial
supplies or raw materials.
(2) 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
employment opportunity program shall be treated as a
violation of this Agreement. .Upon notification to the
employment opportunity program shall be treated as a
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
financial assistance as set forth in Part II, Section 108 of
this Agreement or other measures that may affect the ability
of the Recipient to obtain future financial assistance under
the Federal Transit Act, as amended; Title 23, United States
Code (Highways), or the Intermodal Surface Transportation
Efficiency,Act of 1991, Pub. L. 102-240, Dec. 18, 1991.
b. Disadvantaged Business Enterprise. The Recipient agrees
to facilitate participation of disadvantaged business
enterprises (DBE) as follows:
(1) The Recipient agrees to comply with current U.S. DOT
regulations at 49 C.F.R. Part 23, including any amendments
that may be made to those regulations during the term of this
Agreement.
(2) The Recipient agrees that it shall not discriminate
on the basis of race, color, national origin, or sex in the
award and performance of any U.S. DOT -assisted contract.
The Recipient.agrees to take all necessary and reasonable
steps under 49 C.F.R. Part 23 to ensure that eligible DBEs
have the maximum feasible opportunity to participate in U.S.
DOT -assisted contracts. The Recipient's DBE program, if
required by 49 C.F.R. Part 23 and as approved by the U.S.
DOT, is incorporated by reference in this Agreement.
Implementation of this program is a legal obligation and
failure to carry out its terms shall be treated as a
violation of this Agreement. Upon notification to the
Recipient of its failure to carry out its -approved program,
the U.S. DOT may impose sanctions as provided for under
49 C.F.R. Part 23.
(3) The Recipient agrees to include the following clause
in all agreements between the Recipient and subrecipients and
in all third party contracts assisted by the Government (FTA)
between the Recipient or subrecipients and third party
contractors:
Page 24
THE (CONTRACTOR, SUBRECIPIENT, OR SUBCONTRACTOR)
SHALL NOT DISCRIMINATE ON THE BASIS OF RACE, COLOR, NATIONAL
ORIGIN, OR SEX IN THE PERFORMANCE OF THIS (CONTRACT OR
AGREEMENT). THE REQUIREMENTS OF 49 C.F.R. PART 23 AND THE
RECIPIENT'S U.S. DOT -APPROVED DISADVANTAGED BUSINESS'
ENTERPRISE (DBE) PROGRAM (WHERE REQUIRED) ARE INCORPORATED IN
THIS (CONTRACT OR AGREEMENT) BY REFERENCE. FAILURE BY THE
(CONTRACTOR, SUBRECIPIENT, OR SUBCONTRACTOR) TO CARRY OUT
THESE REQUIREMENTS IS A MATERIAL BREACH OF THE (CONTRACT OR
AGREEMENT), WHICH MAY RESULT IN THE TERMINATION OF THIS
(CONTRACT OR AGREEMENT) OR SUCH OTHER REMEDY AS THE RECIPIENT
DEEMS APPROPRIATE.
(4) The Recipient agrees to treat lessees as follows:
(a) The Recipient agrees not to exclude DBE's from
participation in business opportunities by entering into
long-term, exclusive.agreements with non-DBE's for the
operation of major transportation -related activities for the
provision of goods and services to the facility or to the
public on the facility.
(b) A Recipient required to submit an affirmative
action program under 49 C.F.R. Part 23 that has business
opportunities for lessees shall submit for approval to the
U.S. DOT overall goals for the participation as lessees of
firms -owned and controlled by DBE's. These goals shall be
for a specified period of time and shall be based on the
factors listed in 49 C.F.R. Part 23. The Recipient agrees to
review these goals at least annually and whenever they
expire, analyzing projected versus actual DBE participation
during the period covered by the review and any changes in
factual circumstances affecting the selection of goals.
Following each review, the Recipient agrees to submit new
overall goals to the U.S. DOT for approval. A Recipient that
fails to meet its goals for DBE lessees agrees to demonstrate
to the Government in writing that it made reasonable efforts
to meet the goals.
(c) Except as provided in this Section, the
Recipient agrees to include lessees in affirmative action
programs. The requirements of 49 C.F.R. Part 23, do not
apply to lessees, except for the requirement that lessees
avoid discrimination against DBE's.
C. Title VI of the Civil Rights Act of 1964. The Recipient
agrees to comply with, and assure the compliance by its third
party contractors and subcontractors under this Project, with
all requirements of Title VI of the Civil Rights Act of
1964, 42 U.S.C. § 2000d; U.S. DOT regulations,
"Nondiscrimination in Federally -Assisted Programs of the
Page 25
Department of Transportation -- Effectuation of Title VI of
the Civil Rights Act," 49 C.F.R. Part 21.
d. Access Requirements for Individuals with Disabilities.
The Recipientagrees to comply with, and assure that any
subrecipient, or 'third party contractor under this Project
complies with all applicable requirements of the Americans
with Disabilities Act of 1990 (ADA)., 42 U.S.C. §§ 12101 =
-.M. and 49 U.S.C. 5 322; Section 504 of the Rehabilitation
Act of 1973, as amended, 29 U.S.C.`S 794; Section 16 of the
Federal Transit Act, as amended, 49 U.S.C. app. 5 1612; and
the following regulations and any amendments thereto:
(1) U.S. DOT regulations, "Transportation Services for
Individuals with Disabilities (ADA),* 49 C.F.R. Part 37;
(2) U.S. DOT regulations,'"Nondiscrimination on the
Basis of Handicap in Programs and Activities Receiving or
Benefitting from Federal Financial Assistance," 49 C.F.R.
Part 27;
(3) U.S. DOT regulations, "Americans With Disabilities
(ADA) Accessibility Specifications for Transportation
Vehicles," 49 C.F.R. Part 38;
(4) Department of Justice (DOJ) regulations,
"Nondiscrimination on the Basis of Disability in State and
Local Government Services," 28 C.F.R. Part 35;
(5) DOJ regulations, "Nondiscrimination on the Basis of
Disability by Public'Accommodations and in Commercial
Facilities," 28 C.F.R. Part 36;
(6) General Services Administration regulations,
"Construction and Alteration of Public Buildings,"
"Accommodations for the'Physically Handicapped," 41-C.F.R.
Part 101-19;
(7) Equal Employment Opportunity Commission (EEOC)
"Regulations to Implement the Equal Employment Provisions of
the Americans with Disabilities Act," 29 C.F.R. Part 1630;
(8) Federal Communications Commission regulations,
RTelecommunications Relay Services and Related Customer
Premises Equipment for the Hearing and Speech Disabled,"
47 C.F.R. Part 64, Subpart F; and
(9) FTA regulations, "Transportation for Elderly and
Handicapped Persons," 49 C.F.R. Part 609.
Page 26
..
Section 118. Construction Contracts.
The following provisions apply to the Recipient's third party
construction contracts:
a. Nondiscrimination. Pursuant to Department of Labor
regulations at 41 C.F.R. §§ 60-1.4(b)(1) and 60-1.4(c):
(1) The Recipient agrees that it will incorporate or
cause to be incorporated into any contract for construction
work, or modification thereof, as defined in Department of
Labor regulations, "Office of Federal Contract Compliance
Programs, Equal Employment Opportunity, Department of Labor,
41 C.F.R. Chapter 60, that is paid for in whole or in part
with funds obtained from the Federal Government or borrowed
on the credit of the Federal Government pursuant to a grant,
cooperative agreement, contract, loan, insurance, or
guarantee, or undertaken pursuant to a Federal program
involving the grant, cooperative agreement, contract, loan,
insurance, or guarantee, the following equal opportunity
clause:
DURING THE PERFORMANCE OF THIS CONTRACT, THE CONTRACTOR
AGREES AS FOLLOWS:
(a) THE CONTRACTOR WILL NOT DISCRIMINATE AGAINST
ANY EMPLOYEE OR APPLICANT FOR EMPLOYMENT BECAUSE OF RACE,
COLOR, RELIGION, SEX, DISABILITY, 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, DISABILITY 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.
(b) THE CONTRACTOR WILL, IN ALL SOLICITATIONS OR
ADVERTISEMENTS FOR EMPLOYEES PLACED BY OR ON BEHALF OF THE
CONTRACTOR, STATE THAT ALL QUALIFIED APPLICANTS WILL RECEIVE
CONSIDERATION FOR EMPLOYMENT WITHOUT REGARD TO RACE, COLOR,
RELIGION, SEX, DISABILITY, OR NATIONAL ORIGIN.
(-c) THE CONTRACTOR -WILL SEND TO EACH LABOR UNION
OR REPRESENTATIVE OF WORKERS WITH WHICH IT HAS A COLLECTIVE
BARGAINING AGREEMENT OR OTHER CONTRACT OR UNDERSTANDING, A
NOTICE TO BE PROVIDED ADVISING THE LABOR UNION OR WORKERS'
REPRESENTATIVE OF THE CONTRACTOR'S COMMITMENTS UNDER SECTION
Page 27
202 OF EXECUTIVE ORDER NO. 11246 OF SEPTEMBER 24,- 1965, AND
SHALL POST COPIES OF THE NOTICE IN CONSPICUOUS PLACES
AVAILABLE TO EMPLOYEES AND APPLICANTS FOR EMPLOYMENT.
(d) THE CONTRACTOR WILL COMPLY WITH ALL PROVISIONS
OF EXECUTIVE ORDER NO. 11246 OF SEPTEMBER 24, 1965, AND OF
THE RULES, REGULATIONS, AND RELEVANT ORDERS OF THE SECRETARY
OF LABOR.
(e) THE CONTRACTOR WILL FURNISH ALL INFORMATION
AND REPORTS REQUIRED,BY EXECUTIVE ORDER NO. 11246 OF
SEPTEMBER 24, 1965, AND BY THE RULES, REGULATIONS, AND ORDERS
OF THE SECRETARY OF LABOR, OR PURSUANT THERETO, AND WILL
PERMIT ACCESS TO ITS BOOKS, RECORDS AND ACCOUNTS BY THE
SECRETARY OF LABOR AND THE FTA FOR PURPOSES OF INVESTIGATION
TO ASCERTAIN COMPLIANCE WITH SUCH RULES, REGULATIONS, AND
ORDERS.
(f) IN THE EVENT OF THE CONTRACTOR'S NONCOMPLIANCE
WITH THE NONDISCRIMINATION CLAUSES OF THIS AGREEMENT OR WITH
ANY OF SUCH RULES, REGULATIONS, OR ORDERS, THIS AGREEMENT MAY
BE CANCELLED, TERMINATED, OR SUSPENDED IN WHOLE OR IN PART
AND THE CONTRACTOR MAY BE DECLARED INELIGIBLE FOR FURTHER
FEDERAL OR FEDERALLY ASSISTED CONTRACTS IN ACCORDANCE WITH
PROCEDURES AUTHORIZED IN EXECUTIVE ORDER NO. 11246 OF
SEPTEMBER 24, 1965, AND SUCH OTHER SANCTIONS MAY BE IMPOSED
AND REMEDIES INVOKED AS PROVIDED IN EXECUTIVE ORDER NO. 11246
OF SEPTEMBER 24, 1965, OR BY RULE, REGULATION, OR ORDER OF
THE SECRETARY OF LABOR, OR AS OTHERWISE PROVIDED BY LAW.
(g) THE CONTRACTOR WILL INCLUDE THE PROVISIONS OF
PARAGRAPHS (a) THROUGH (g) OF THIS SUBSECTION IN EVERY
SUBCONTRACT OR PURCHASE ORDER UNLESS EXEMPTED BY RULES,
REGULATIONS, OR ORDERS OF THE SECRETARY OF LABOR ISSUED
PURSUANT TO SECTION 204 OF EXECUTIVE ORDER NO. 11246 OF
SEPTEMBER 24, 1965, SO THAT SUCH PROVISIONS SHALL BE BINDING
UPON EACH SUBCONTRACTOR OR VENDOR. THE CONTRACTOR WILL TAKE
SUCH ACTION WITH RESPECT TO ANY SUBCONTRACT OR PURCHASE ORDER
AS THE SECRETARY OF LABOR OR THE FTA MAY DIRECT AS A MEANS OF
ENFORCING SUCH PROVISIONS, INCLUDING SANCTIONS FOR
NONCOMPLIANCE; PROVIDED, HOWEVER, THAT IF A CONTRACTOR
BECOMES INVOLVED IN, OR IS THREATENED WITH, LITIGATION WITH A
SUBCONTRACTOR OR VENDOR AS A`RESULT OF SUCH DIRECTION, THE
CONTRACTOR MAY REQUEST THE UNITED STATES TO ENTER INTO SUCH
LITIGATION TO PROTECT THE INTERESTS OF THE UNITED STATES.
(2) The Recipient agrees to assure that each nonexempt
prime contractor and subcontractor shall include in each
nonexempt contract the requirements of Part II, Subsections
118.a(1)(a) through (g) of this Agreement.
Page 26
i
(3) The Recipient further agrees that it will be bound
by this 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 government, this equal
opportunity clause does not apply to any agency,
instrumentality or subdivision of such government that does
• not participate in work under the Agreement.
(4) The Recipient agrees that it will assist -and
cooperate actively with the FTA and the Secretary of Labor in
obtaining compliance by contractors and subcontractors with
the equal opportunity clause and the rules, regulations, and
relevant orders of the Secretary of Labor; that it will
provide the FTA and the Secretary of Labor such information
as they may require for the supervision of such compliance;
and that it will otherwise assist the FTA in discharging its
primary responsibility for securing compliance.
(5) The Recipient further agrees that it will refrain
from entering into any contract or contract modification
subject to Executive Order No. 11246 of September 24, 1965,
as amended, "Equal Employment Opportunity," 30 Fgd. Req.
12319 gt sea. with any contractor that is debarred from or
has not demonstrated 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 FTA
or the Secretary of Labor pursuant to Part II, Subpart D of
the Executive Order. In addition, the Recipient agrees that
if it fails or refuses to comply with these undertakings, the
FTA may take any or all of the following actions: Cancel,
terminate, or suspend in whole or in part this Agreement;
refrain from extending any further assistance to the
Recipient under the program with respect to which the failure
or refusal occurred until the Recipient provides satisfactory
assurance of future compliance; and refer the case to the
Department of Justice for appropriate legal proceedings.
b. Specifications. The Recipient agrees that it will
incorporate or cause to be incorporated the specifications
set forth below into all federally assisted construction
contracts, or modifications thereof, 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 pursuant to Department of Labor
regulations at 41 C.F.R. 5 60-4.3 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 No. 11246:
Page 29
STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION
CONTRACT SPECIFICATIONS (EXECUTIVE ORDER NO. 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 DEPARTMENT
FORM 941;
(d) RMINORITY" INCLUDES:
(i) BLACK (ALL PERSONS HAVING ORIGINS IN ANY
OF THE BLACK AFRICAN RACIAL GROUPS NOT OF HISPANIC ORIGIN);
(ii) HISPANIC (ALL PERSONS OF MEXICAN,
PUERTO RICAN,.CUBAN, CENTRAL OR SOUTH AMERICAN, OR OTHER
SPANISH CULTURE OR ORIGIN, REGARDLESS OF RACE);
(iii) ASIAN AND PACIFIC ISLANDER (ALL PERSONS
HAVING ORIGINS IN ANY OF THE ORIGINAL PEOPLES 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 PEOPLES 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
CONSTRUCTION TRADE, IT SHALL PHYSICALLY INCLUDE IN EACH
SUBCONTRACT IN EXCESS OF $10,000 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 A HOMETOWN PLAN APPROVED BY THE U.S.
DEPARTMENT OF LABOR IN THE COVERED AREA, EITHER INDIVIDUALLY
OR THROUGH AN ASSOCIATION, ITS AFFIRMATIVE ACTION OBLIGATIONS
Page 30
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 OBLIGATIONS 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
SUBCONTRACTOR'S FAILURE TO MAKE GOOD FAITH EFFORTS TO ACHIEVE
THE PLAN'GOALS AND TIMETABLES.
(4) THE CONTRACTOR SHALL IMPLEMENT THE SPECIFIC
AFFIRMATIVE ACTION STANDARDS PROVIDED IN PARAGRAPHS (7)(a)
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 COVERED AREA. COVERED
CONSTRUCTION CONTRACTORS PERFORMING CONSTRUCTION WORK IN
GEOGRAPHICAL AREAS WHERE THEY DO NOT HAVE A FEDERAL OR
FEDERALLY ASSISTED CONSTRUCTION CONTRACT SHALL APPLY THE
MINORITY AND FEMALE GOALS ESTABLISHED FOR THE GEOGRAPHICAL
AREA WHERE THE WORK IS,BEING PERFORMED. GOALS ARE PUBLISHED
PERIODICALLY IN THE FEDERAL REGISTER IN NOTICE FORM, AND SUCH
NOTICES MAY BE OBTAINED FROM ANY OFFICE OF FEDERAL CONTRACT
COMPLIANCE PROGRAMS OFFICE OR FROM FEDERAL PROCUREMENT
CONTRACTING OFFICERS. THE CONTRACTOR IS EXPECTED TO MAKE
SUBSTANTIALLY UNIFORM PROGRESS TOWARD ITS GOAL IN EACH CRAFT
•DURING THE PERIOD SPECIFIED.
(5) 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
NO. 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.
Page 31
IN
(7) THE CONTRACTOR SHALL TARE SPECIFIC AFFIRMATIVE
ACTIONS TO ENSURE EQUAL EMPLOYMENT OPPORTUNITY. THE
EVALUATION OF THE CONTRACTOR'S COMPLIANCE WITH THESE
SPECIFICATIONS SHALL 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 -SITE 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.
(b) ESTABLISH AND MAINTAIN A CURRENT LIST OF
MINORITY AND FEMALE RECRUITMENT SOURCES, PROVIDE WRITTEN
NOTICE TO MINORITY AND FEMALE 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 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-JOB TRAINING OPPORTUNITIES
AND/OR PARTICIPATE IN TRAINING PROGRAMS FOR THE AREA WHICH
EXPRESSLY INCLUDE MINORITIES AND WOMEN, INCLUDING UPGRADING
Page 32
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 SHALL 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 THEIRCOOPERATIONIN ASSISTING THE
CONTRACTOR IN MEETING ITS EEO OBLIGATIONS; BY INCLUDING IT IN
ANY POLICY MANUAL AND COLLECTIVE 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.
(g) REVIEW, AT LEAST ANNUALLY, THE COMPANY'S EEO
POLICY AND AFFIRMATIVE ACTION OBLIGATIONS UNDER THESE
SPECIFICATIONS WITH ALL EMPLOYEES HAVING RESPONSIBILITY FOR
HIRING, ASSIGNMENT, LAYOFF, TERMINATION OR OTHER EMPLOYMENT
DECISIONS INCLUDING SPECIFIC REVIEW OF THESE ITEMS WITH
ON -SITE 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 NEWS MEDIA,
AND PROVIDING WRITTEN NOTIFICATION TO AND DISCUSSING THE
CONTRACTOR'S EEO POLICY WITH OTHER CONTRACTORS AND
SUBCONTRACTORS WITH WHOM THE CONTRACTOR DOES OR ANTICIPATES
DOING BUSINESS.
(i) DIRECT RECRUITMENT EFFORTS, BOTH ORAL AND
WRITTEN, TO MINORITY, FEMALE, AND COMMUNITY 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 NOTICE
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,
Page 33
WHERE REASONABLE, PROVIDE AFTER SCHOOL, SUMMER AND VACATION
EMPLOYMENT TO MINORITY AND FEMALE YOUTH, BOTH ON THE SITE AND
IN OTHER AREAS OF THE CONTRACTOR'S WORK FORCE.
(k) VALIDATE ALL TESTS AND OTHER SELECTION
REQUIREMENTS WHERE THERE IS AN OBLIGATION TO DO SO UNDER
41 C.F.R. PART 60-3.
(l) CONDUCT, AT LEAST ANNUALLY, AN INVENTORY AND
i:. EVALUATION -AT LEAST OF ALL MINORITY AND FEMALE PERSONNEL FOR
PROMOTIONAL OPPORTUNITIES AND ENCOURAGE THESE EMPLOYEES TO
SEER OR TO PREPARE FOR, THROUGH APPROPRIATE TRAINING, ETC.,
SUCH OPPORTUNITIES.
(m) ENSURE THAT SENIORITY PRACTICES, JOB
CLASSIFICATIONS, 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
SINGLE -USER TOILET AND NECESSARY CHANGING FACILITIES SHALL BE
PROVIDED TO ASSURE PRIVACY BETWEEN SEXES.
(0) DOCUMENT AND MAINTAIN A RECORD OF ALL
SOLICITATIONS OF OFFERS FOR SUBCONTRACTS FROM MINORITY AND
FEMALE CONSTRUCTION CONTRACTORS AND SUPPLIERS, INCLUDING
CIRCULATION OF SOLICITATIONS TO MINORITY AND FEMALE
CONTRACTOR ASSOCIATIONS 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 OBLIGATIONS.
(8) CONTRACTORS ARE ENCOURAGED TO PARTICIPATE IN
VOLUNTARY ASSOCIATIONS THAT ASSIST IN FULFILLING ONE OR MORE
OF THEIR AFFIRMATIVE ACTION OBLIGATIONS SET FORTH IN
PARAGRAPHS (7)(a) THROUGH (p). THE EFFORTS OF A CONTRACTOR
ASSOCIATION, JOINT CONTR.ACTOR-UNION, CONTRACTOR -COMMUNITY, OR
OTHER SIMILAR GROUP OF WHICH THE CONTRACTOR IS A MEMBER AND
PARTICIPANT, MAY BE ASSERTED AS FULFILLING ANY ONE OR MORE OF
ITS OBLIGATIONS UNDER PARAGRAPHS (7)(a) THROUGH (p) OF THESE
SPECIFICATIONS, PROVIDED THAT THE CONTRACTOR ACTIVELY
PARTICIPATES IN THE GROUP, MAKES EVERY EFFORT TO ASSURE THAT
THE GROUP HAS A POSITIVE 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 WORK FORCE PARTICIPATION,
MARES A GOOD.FAITH EFFORT TO MEET ITS INDIVIDUAL GOALS AND
Page 34
TIMETABLES, AND CAN PROVIDE ACCESS TO DOCUMENTATION THAT
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 AND FEMALE, AND ALL 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 SUBSTANTIALLY DISPARATE MANNER (EVEN THOUGH THE
CONTRACTOR HAS ACHIEVED ITS GOAL 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 SHALL 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 NO. 11246.
(12) THE CONTRACTOR SHALL 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 NO. 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 SHALL BE IN VIOLATION
OF THESE SPECIFICATIONS AND EXECUTIVE ORDER NO. 11246, AS
AMENDED.
(13) THE CONTRACTOR, IN FULFILLING 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 SHALL PROCEED IN ACCORDANCE WITH
41 C.F.R. § 60-4.8.
(14) THE CONTRACTOR SHALL DESIGNATE A RESPONSIBLE
OFFICIAL TO MONITOR ALL EMPLOYMENT RELATED ACTIVITY TO ENSURE
Page 35
4
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 MG., MECHANIC, APPRENTICE
TRAINEE, HELPER, OR LABORER), DATES OF CHANGES IN STATUS,
HOURS WORKED PER WEEK 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 EXTENT THAT EXISTING RECORDS SATISFY
THIS REQUIREMENT, CONTRACTORS SHALL NOT BE REQUIRED TO
MAINTAIN SEPARATE RECORDS.
(15) NOTHING HEREIN PROVIDED SHALL BE CONSTRUED AS A
LIMITATION UPON THE APPLICATION OF OTHER LAWS THAT 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. The Recipient hereby agrees that it will ensure
that the notice set forth below shall be included in, and
shall be a part of, all solicitations for offers and bids on
all 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.
§ 60-4.2:
NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL
EMPLOYMENT OPPORTUNITY (EXECUTIVE ORDER NO. 11246):
(1) THE OFFEROR'S OR BIDDER'S ATTENTION IS,CALLED TO THE
"EQUAL OPPORTUNITY CLAUSE" AND THE "STANDARD FEDERAL EQUAL
EMPLOYMENT SPECIFICATIONS" SET FORTH HEREIN.
(2) (a) THE GOALS AND THE TIMETABLES FOR MINORITY AND
FEMALE PARTICIPATION, EXPRESSED IN PERCENTAGE TERMS FOR
THE CONTRACTOR'S AGGREGATE WORK FORCE IN EACH TRADE ON ALL
CONSTRUCTION WORK IN THE COVERED AREA, ARE AS FOLLOWS:
TIMETABLES
GOALS FOR MINORITY
PARTICIPATION IN
EACH TRADE
GOALS FOR FEMALE
PARTICIPATION IN
EACH TRADE
INSERT GOALS FOR INSERT GOALS FOR
EACH YEAR EACH YEAR
Page 36
(b) THESE GOALS ARE APPLICABLE TO ALL THE
CONTRACTOR'S CONSTRUCTION WORK (WHETHER OR NOT IT IS FEDERAL
OR FEDERALLY ASSISTED) PERFORMED IN THE COVERED AREA. IF THE
CONTRACTOR PERFORMS CONSTRUCTION WORK IN A GEOGRAPHICAL AREA
LOCATED OUTSIDE OF THE COVERED AREA, IT SHALL APPLY THE GOALS
ESTABLISHED FOR SUCH GEOGRAPHICAL AREA WHERE THE WORK IS
ACTUALLY PERFORMED. WITH REGARD TO THIS SECOND AREA, THE
CONTRACTOR ALSO IS SUBJECT TO THE GOALS FOR BOTH ITS
' FEDERALLY INVOLVED AND NONFEDERALLY INVOLVED CONSTRUCTION.
(c) THE CONTRACTOR'S COMPLIANCE WITH THE EXECUTIVE
ORDER AND THE REGULATIONS AT 41 C.F.R. PART 60-4 SHALL BE
BASED ON ITS IMPLEMENTATION OF THE EQUAL OPPORTUNITY CLAUSE,
SPECIFIC AFFIRMATIVE ACTION OBLIGATIONS REQUIRED BY THE
SPECIFICATIONS SET FORTH AT 41 C.F.R. S 60-4.3(a), AND ITS
EFFORTS TO MEET THE GOALS. THE HOURS OF MINORITY AND FEMALE
EMPLOYMENT AND TRAINING MUST BE SUBSTANTIALLY UNIFORM
THROUGHOUT THE LENGTH OF THE CONTRACT, AND IN EACH TRADE, AMID
THE CONTRACTOR SHALL MAKE A GOOD FAITH EFFORT TO EMPLOY
MINORITIES AND WOMEN EVENLY ON EACH OF ITS PROJECTS. THE
TRANSFER OF MINORITY OR FEMALE EMPLOYEES 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 AT C.F.R. PART 60-4. COMPLIANCE WITH THE
GOALS WILL BE MEASURED AGAINST THE TOTAL WORK HOURS
PERFORMED.
(3) THE CONTRACTOR SHALL PROVIDE WRITTEN NOTIFICATION
TO THE DIRECTOR OF THE OFFICE OF FEDERAL CONTRACT COMPLIANCE
PROGRAMS WITHIN 10 WORKING DAYS OF AWARD OF ANY CONSTRUCTION
SUBCONTRACT IN EXCESS OF $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
OF THE SUBCONTRACTOR; ESTIMATED DOLLAR AMOUNT OF THE
SUBCONTRACT; ESTIMATED STARTING AND COMPLETION DATES OF THE
SUBCONTRACT; AND THE GEOGRAPHICAL AREA IN WHICH THE
SUBCONTRACT 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. Contract Security. The Recipient agrees to follow the
requirements of 49 C.F.R. § 18.36(h) or OMB Circular A-110,
Attachment B, as applicable, and Federal (FTA) guidelines
with regard to bid guarantees and bonding requirements.
Page 37
v
e: Insurance During Construction. At a minimum, the
Recipient agrees to comply with the insurance requirements
normally imposed by its State and local governments.
f. Sicros. The Recipient agrees to cause to be erected at
the site of construction, and maintained during construction,
signs satisfactory to the U.S. DOT identifying the Project
and indicating that the Government is participating in the
development of the Project.
g. Safety -Standards. Pursuant to Section 107 of the
Contract Work Hours and Safety Standards Act and Department
of Labor regulations, "Safety and Health Regulations for
Construction," 29 C.F.R. § 1926, no laborer or mechanic
working on a construction contract shall be required to work
in surroundings or under working conditions that 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.
h. Liquidated Damages. If appropriate, the Recipient agrees
to include a clause providing for liquidated damages in its
third party contracts for construction. Liquidated damages
clauses are appropriate if the parties may reasonably expect
to suffer damages (increased costs on the Project involved)
from the late completion of the construction and the extent
or amount of such damages would be difficult or impossible to
determine. The assessment for damages shall be at a specific
rate per day for each day of overrun in contract time; and
the rate must be specified in the third party contract. Any
liquidated damages recovered shall be credited to the Project
account involved unless the Government permits otherwise.
Section 119. Labor Provisions.
a. Construction Contracts. Pursuant to,Department of Labor
regulations, "Labor Standards Provisions Applicable to
Contracts Covering Federally Financed and Assisted
Construction (Also Labor Standards Provisions Applicable to
Nonconstruction Contracts Subject to the Contract Work Hours
and Safety Standards Act)," 29 C.F.R. Part 5, the following
.provisions shall be incorporated in each construction
contract of $2,000 or more let by the Recipient in carrying
out the Project
(1) MINIMUM WAGE
(a) ALL LABORERS AND MECHANICS EMPLOYED OR WORKING
-UPON THE SITE OF THE WORK (OR UNDER THE UNITED STATES HOUSING
ACT OF 1937 OR UNDER THE HOUSING ACT OF 1949 IN THE
Page 38
CONSTRUCTION OR DEVELOPMENT OF THE PROJECT), 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 REGULATIONS
ISSUED BY THE SECRETARY OF LABOR UNDER THE COPELAND ACT,
29 C.F.R. PART 3), THE FULL AMOUNT OF WAGES AND BONA FIDE
FRINGE BENEFITS (OR CASH EQUIVALENTS THEREOF) DUE AT THE TIME
OF PAYMENT COMPUTED AT RATES NOT LESS THAN THOSE CONTAINED IN
THE WAGE DETERMINATION OF THE SECRETARY OF LABOR WHICH IS
ATTACHED HERETO AND MADE A PART HEREOF, REGARDLESS OF ANY -
CONTRACTUAL RELATIONSHIP WHICH MAY BE ALLEGED TO EXIST
BETWEEN THE CONTRACTOR AND SUCH LABORERS AND MECHANICS.
CONTRIBUTIONS MADE OR COSTS REASONABLY ANTICIPATED FOR BONA.
FIDE FRINGE BENEFITS UNDER SECTION 1(b)(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. S 5.5(a)(1)(iv); ALSO, REGULAR CONTRIBUTIONS
MADE OR COSTS INCURRED FOR MORE THAN A WEEKLY PERIOD (BUT NOT
LESS OFTEN THAN QUARTERLY) UNDER PLANS, FUNDS, OR PROGRAMS
THAT COVER THE PARTICULAR WEEKLY PERIOD, ARE DEEMED TO BE
CONSTRUCTIVELY MADE OR INCURRED DURING SUCH WEEKLY PERIOD.
SUCH LABORERS AND MECHANICS SHALL BE PAID THE APPROPRIATE
WAGE RATE AND FRINGE BENEFITS ON THE WAGE DETERMINATION FOR
THE CLASSIFICATION OF WORK ACTUALLY PERFORMED, WITHOUT REGARD
TO SKILL, EXCEPT AS PROVIDED AT 29 C.F.R. S 5.5(a)(4).
LABORERS OR MECHANICS PERFORMING WORK IN MORE THAN ONE
CLASSIFICATION MAY BE COMPENSATED AT THE RATE SPECIFIED FOR
EACH CLASSIFICATION FOR THE TIME ACTUALLY WORKED THEREIN:
PROVIDED, THAT THE EMPLOYERPS PAYROLL RECORDS ACCURATELY SET
FORTH THE TIME SPENT IN EACH CLASSIFICATION IN WHICH WORK IS
PERFORMED. THE WAGE DETERMINATION (INCLUDING ANY ADDITIONAL
CLASSIFICATION AND WAGE RATES CONFORMED UNDER 29 C.F.R.
S 5.5(a)(1)(ii) AND THE DAVIS-BACON POSTER (WH-1321) SHALL BE
POSTED AT ALL TIMES BY THE CONTRACTOR AND ITS SUBCONTRACTORS
AT THE SITE OF THE WORK IN A PROMINENT AND ACCESSIBLE PLACE
WHERE IT CAN BE EASILY SEEN BY THE WORKERS.
(b) 1. THE CONTRACTING OFFICER SHALL REQUIRE THAT
ANY CLASS OF LABORERS OR MECHANICS, INCLUDING HELPERS, THAT
IS NOT LISTED IN THE WAGE DETERMINATION AND THAT IS TO BE
EMPLOYED UNDER THE CONTRACT SHALL BE CLASSIFIED IN
CONFORMANCE WITH THE WAGE DETERMINATION. THE CONTRACTING
OFFICER SHALL APPROVE AN ADDITIONAL CLASSIFICATION AND WAGE
RATE AND FRINGE BENEFITS THEREFOR ONLY WHEN THE FOLLOWING
CRITERIA HAVE BEEN MET:
�. EXCEPT.WITH RESPECT TO HELPERS AS
DEFINED IN 29 C.F.R. S 5.2(n)(4),. THE WORK TO BE PERFORMED BY
THE CLASSIFICATION REQUESTED IS NOT PERFORMED BY A
CLASSIFICATION IN THE WAGE DETERMINATION; AND
Page 39
h. THE CLASSIFICATION IS UTILIZED IN THE
AREA BY THE CONSTRUCTION INDUSTRY; AND
,g. THE PROPOSED WAGE RATE, INCLUDING ANY
BONA FIDE FRINGE BENEFITS, BEARS A REASONABLE RELATIONSHIP
TO THE WAGE RATES CONTAINED IN THE WAGE DETERMINATION.
�. WITH RESPECT TO HELPERS AS DEFINED IN
29 C.F.R. S 5.2(n)(4), SUCH A CLASSIFICATION PREVAILS IN THE
AREA IN WHICH THE WORK IS PERFORMED.
�. IF THE CONTRACTOR AND THE LABORERS AND
MECHANICS TO BE EMPLOYED IN THE CLASSIFICATION (IF KNOWN), OR
THEIR REPRESENTATIVES, AND THE CONTRACTING OFFICER AGREE ON
THE CLASSIFICATION AND WAGE RATE (INCLUDING THE AMOUNT
DESIGNATED FOR FRINGE BENEFITS WHERE APPROPRIATE), A REPORT
OF THE ACTION TAKEN SHALL BE SENT BY THE CONTRACTING OFFICER
TO THE ADMINISTRATOR OF THE WAGE AND HOUR DIVISION,
EMPLOYMENT STANDARDS ADMINISTRATION, U.S. DEPARTMENT OF
LABOR, WASHINGTON, D.C. 20210. THE ADMINISTRATOR, OR AN
AUTHORIZED REPRESENTATIVE, WILL APPROVE, MODIFY, OR
DISAPPROVE EVERY ADDITIONAL CLASSIFICATION ACTION WITHIN 30
DAYS OF RECEIPT AND SO ADVISE THE CONTRACTING OFFICER
OR WILL NOTIFY THE CONTRACTING OFFICER WITHIN THE 30-DAY
PERIOD THAT ADDITIONAL TIME IS NECESSARY.
3. IN THE EVENT THE CONTRACTOR, THE LABORERS
OR MECHANICS TO BE EMPLOYED IN THE CLASSIFICATION OR THEIR
REPRESENTATIVES, AND THE CONTRACTING OFFICER DO NOT AGREE ON
THE PROPOSED CLASSIFICATION AND WAGE RATE (INCLUDING THE
AMOUNT DESIGNATED FOR FRINGE BENEFITS, WHERE APPROPRIATE),
THE CONTRACTING OFFICER SHALL REFER THE QUESTIONS INCLUDING
THE VIEWS OF ALL INTERESTED PARTIES AND THE RECOMMENDATION OF
THE CONTRACTING OFFICER, TO THE ADMINISTRATOR FOR
DETERMINATION. THE ADMINISTRATOR, OR AN AUTHORIZED
REPRESENTATIVE, WILL ISSUE A DETERMINATION WITHIN 30 DAYS OF
RECEIPT AND SO ADVISE THE CONTRACTING OFFICER OR WILL NOTIFY
THE CONTRACTING OFFICER WITHIN THE 30-DAY PERIOD THAT
ADDITIONAL TIME IS NECESSARY.
4. THE WAGE RATE (INCLUDING FRINGE BENEFITS
WHERE APPROPRIATE) DETERMINED PURSUANT TO 29 C.F.R.
5 5.5 (a) (i) (1) (B) OR 29 C.F.R. S 5.5 (a) (i) (1) (C) SHALL BE
PAID TO ALL WORKERS PERFORMING WORK IN THE CLASSIFICATION
UNDER THIS CONTRACT FROM THE FIRST DAY ON WHICH WORK IS
PERFORMED IN THE CLASSIFICATION.
(C) 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 RATE, THE
CONTRACTOR SHALL EITHER PAY THE BENEFIT AS STATED IN THE WAGE
Page 40
DETERMINATION OR SHALL PAY ANOTHER BONA FIDE FRINGE BENEFIT
OR AN HOURLY CASH EQUIVALENT THEREOF.
(d) IF THE CONTRACTOR DOES NOT MAKE PAYMENTS TO A
• TRUSTEE OR OTHER THIRD PERSON, THE CONTRACTOR MAY CONSIDER AS
PART OF THE WAGES OF ANY LABORER OR MECHANIC THE AMOUNT OF
ANY COSTS REASONABLY ANTICIPATED IN PROVIDING BONA FIDE
FRINGE BENEFITS UNDER A PLAN OR PROGRAM, PROVIDED, THAT THE
SECRETARY OF LABOR HAS FOUND, UPON THE WRITTEN REQUEST OF TIME
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) WITHHOLDING. THE FEDERAL TRANSIT ADMINISTRATION
(FTA) SHALL UPON ITS OWN ACTION OR UPON WRITTEN REQUEST OF AN
AUTHORIZED REPRESENTATIVE OF THE DEPARTMENT OF LABOR WITHHOLD
OR CAUSE TO BE WITHHELD FROM THE CONTRACTOR, UNDER THIS
AGREEMENT OR ANY OTHER FEDERAL CONTRACT WITH THE SAME
RECIPIENT OR ANY OTHER FEDERALLY -ASSISTED CONTRACT SUBJECT TO
DAVIS-BACON PREVAILING WAGE REQUIREMENTS, WHICH IS HELD BY
THE SAME PRIME CONTRACTOR, SO MUCH OF THE ACCRUED PAYMENTS OR
ADVANCES AS MAY BE CONSIDERED NECESSARY TO PAY LABORERS AND
MECHANICS, INCLUDING APPRENTICES, TRAINEES, AND HELPERS,
EMPLOYED BY THE CONTRACTOR OR ANY SUBCONTRACTOR THE FULL
AMOUNT OF WAGES REQUIRED BY THE CONTRACT. IN THE EVENT OF
FAILURE TO PAY ANY LABORER OR MECHANIC, INCLUDING ANY
APPRENTICE, TRAINEE, OR HELPER, EMPLOYED OR WORKING ON THE
SITE OF THE WORK (OR UNDER THE UNITED STATES HOUSING ACT OF
1937 OR UNDER THE HOUSING ACT OF 1949 IN THE CONSTRUCTION OR
DEVELOPMENT OF THE PROJECT), ALL OR PART OF THE WAGES
REQUIRED BY THE CONTRACT, THE FTA 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) PAYROLLS AND BASIC RECORDS. (a) PAYROLLS AND
BASIC RECORDS RELATING THERETO SHALL BE MAINTAINED BY THE
CONTRACTOR 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 (OR UNDER THE
UNITED STATES HOUSING ACT OF 1937, OR UNDER THE HOUSING ACT
OF 1949, IN THE CONSTRUCTION OR DEVELOPMENT OF THE PROJECT).
SUCH RECORDS SHALL CONTAIN THE NAME, ADDRESS, AND SOCIAL
SECURITY NUMBER OF EACH SUCH WORKER, HIS OR HER CORRECT
CLASSIFICATION, HOURLY RATES OF WAGES PAID (INCLUDING RATES
OF CONTRIBUTIONS OR COSTS ANTICIPATED FOR BONA FIDE FRINGE
BENEFITS OR CASH EQUIVALENTS THEREOF OF THE TYPES DESCRIBED
IN SECTION 1(b)(2)(B) OF THE DAVIS-BACON ACT), DAILY AND
WEEKLY NUMBER OF HOURS WORKED, DEDUCTIONS MADE AND ACTUAL
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WAGES PAID. WHENEVER THE SECRETARY OF LABOR HAS FOUND UNDER
29 C.F.R. § 5.5(a)(1)(iv) THAT THE WAGES OF ANY LABORER OR
MECHANIC 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, 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 COSTS INCURRED IN PROVIDING SUCH
BENEFITS. CONTRACTORS EMPLOYING APPRENTICES OR TRAINEES
UNDER APPROVED PROGRAMS SHALL MAINTAIN WRITTEN EVIDENCE OF
THE REGISTRATION OF APPRENTICESHIP PROGRAMS AND CERTIFICATION
OF TRAINEE PROGRAMS, THE REGISTRATION OF THE APPRENTICES AND
TRAINEES, AND THE RATIOS AND WAGE RATES PRESCRIBED IN THE
APPLICABLE PROGRAMS.
(b) 1. THE CONTRACTOR SHALL SUBMIT WEEKLY FOR EACH
WEEK IN WHICH ANY CONTRACT WORK IS PERFORMED A COPY OF ALL
PAYROLLS TO THE FTA IF THE FTA IS A PARTY TO THE CONTRACT;
BUT IF THE FTA IS NOT SUCH A PARTY, THE CONTRACTOR WILL
SUBMIT THE PAYROLLS TO THE APPLICANT, SPONSOR, OR OWNER, AS
THE CASE MAY BE, FOR TRANSMISSION TO THE FTA. THE PAYROLLS
SUBMITTED SHALL SET OUT ACCURATELY AND COMPLETELY ALL OF THE
INFORMATION REQUIRED TO BE MAINTAINED UNDER 29 C.F.R.
§ 5.5(a)(3)(i). THIS INFORMATION MAY BE SUBMITTED IN ANY
FORM DESIRED. OPTIONAL FORM WH-347 IS AVAILABLE FOR THIS
PURPOSE AND MAY BE PURCHASED FROM THE SUPERINTENDENT OF
DOCUMENTS (FEDERAL STOCK NO. 029-005-00014-1), U.S.
GOVERNMENT PRINTING OFFICE, WASHINGTON, D.C. 20402. THE
PRIME CONTRACTOR IS RESPONSIBLE FOR THE SUBMISSION OF COPIES
OF PAYROLLS BY ALL SUBCONTRACTORS.
2. EACH PAYROLL SUBMITTED SHALL BE ACCOMPANIED
BY A "STATEMENT OF COMPLIANCE," SIGNED BY THE CONTRACTOR
OR SUBCONTRACTOR OR HIS OR HER AGENT WHO PAYS OR SUPERVISES
THE PAYMENT OF THE PERSONS EMPLOYED UNDER THE CONTRACT AND
SHALL CERTIFY THE FOLLOWING:
&. THAT THE PAYROLL'FOR THE PAYROLL
PERIOD CONTAINS THE INFORMATION REQUIRED TO BE MAINTAINED
UNDER 29 C.F.R. § 5.5.(a)(3)(i) AND THAT SUCH INFORMATION IS
CORRECT AND COMPLETE;
�. THAT EACH LABORER OR MECHANIC
(INCLUDING EACH HELPER, APPRENTICE, AND TRAINEE) EMPLOYED ON
THE CONTRACT DURING THE PAYROLL PERIOD HAS BEEN PAID THE FULL
WEEKLY WAGES EARNED, WITHOUT REBATE, EITHER DIRECTLY OR
INDIRECTLY, AND THAT NO DEDUCTIONS HAVE BEEN MADE EITHER
DIRECTLY OR INDIRECTLY FROM THE FULL WAGES EARNED, OTHER THAN
--PERMISSIBLE DEDUCTIONS AS SET FORTH AT 29 C.F.R. PART 3;
Page 42
c. THAT EACH LABORER OR MECHANIC HAS BEEN
PAID NOT LESS THAN THE APPLICABLE WAGE RATES AND FRINGE
BENEFITS OR CASH EQUIVALENTS.FOR THE CLASSIFICATION OF WORK
PERFORMED, AS SPECIFIED IN THE APPLICABLE WAGE DETERMINATION
INCORPORATED INTO THE CONTRACT.
3,. THE WEEKLY SUBMISSION OF A PROPERLY
EXECUTED CERTIFICATION SET FORTH ON THEREVERSE SIDE OF
OPTIONAL FORM WH-347 SHALL SATISFY THE REQUIREMENT FOR
SUBMISSION OF THE "STATEMENT'OF COMPLIANCE" REQUIRED BY
29 C.F.R. § 5.5 (a) (3) (ii) (B),.
A. THE FALSIFICATION OF ANY OF THE ABOVE
CERTIFICATIONS MAY SUBJECT THE CONTRACTOR OR SUBCONTRACTOR
TO CIVIL OR CRIMINAL PROSECUTION UNDER 18 U.S.C. S 1001 AND
31 U.S.C. S 231.
(c) THE CONTRACTOR OR SUBCONTRACTOR SHALL MAKE
THE RECORDS REQUIRED UNDER 29 C.F.R. S 5.5(a)(3)(i) AVAILABLE
FOR INSPECTION, COPYING, OR TRANSCRIPTION BY AUTHORIZED
REPRESENTATIVES OF THE FTA OR THE DEPARTMENT OF LABOR, AND
SHALL PERMIT SUCH REPRESENTATIVES TO INTERVIEW EMPLOYEES
DURING WORKING HOURS ON THE JOB. IF THE CONTRACTOR OR
SUBCONTRACTOR FAILS TO SUBMIT THE REQUIRED RECORDS OR MAKE
THEM AVAILABLE, THE FTA 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. FURTHERMORE,
FAILURE TO SUBMIT THE REQUIRED RECORDS UPON REQUEST OR MAKE
SUCH RECORDS AVAILABLE MAY BE GROUNDS FOR DEBARMENT ACTION
PURSUANT TO 29 C.F.R. § 5.12.
(4) APPRENTICES AND TRAINEES. (a) APPRENTICES.
APPRENTICES WILL BE PERMITTED TO WORK AT LESS THAN THE
PREDETERMINED RATE FOR THE WORK THEY PERFORMED V7HEN THEY ARE
EMPLOYED PURSUANT TO AND INDIVIDUALLY REGISTERED IN A BONA
FIDE APPRENTICESHIP PROGRAM REGISTERED WITH THE U.S.
DEPARTMENT OF LABOR, EMPLOYMENT AND TRAINING ADMINISTRATION,
BUREAU OF APPRENTICESHIP AND TRAINING, OR WITH A STATE
APPRENTICESHIP AGENCY RECOGNIZED BY THE BUREAU, OR IF A
PERSON IS EMPLOYED IN HIS OR HER FIRST 90 DAYS OF
PROBATIONARY EMPLOYMENT AS AN APPRENTICE IN SUCH AN
APPRENTICESHIP PROGRAM, WHO IS NOT INDIVIDUALLY 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
EMPLOYMENT AS AN APPRENTICE. THE ALLOWABLE RATIO OF
APPRENTICES TO JOURNEYMEN ON THE JOB SITE IN ANY CRAFT
CLASSIFICATION SHALL NOT BE GREATER THAN THE RATIO PERMITTED
TO THE CONTRACTOR AS TO THE ENTIRE WORK FORCE UNDER THE
REGISTERED PROGRAM. ANY WORKER LISTED ON A PAYROLL AT AN
APPRENTICE WAGE RATE, WHO IS NOT REGISTERED OR OTHERWISE
Page 43
EMPLOYED AS STATED ABOVE, SHALL BE PAID NOT LESS THAN THE
APPLICABLE WAGE ON THE WAGE DETERMINATION FOR THE
CLASSIFICATION OF WORK ACTUALLY PERFORMED. IN ADDITION, ANY
APPRENTICE PERFORMING WORK ON THE JOB SITE IN EXCESS OF THE
RATIO PERMITTED UNDER THE REGISTERED PROGRAM SHALL BE PAID
NOT LESS THAN THE APPLICABLE WAGE RATE ON THE WAGE
DETERMINATION FOR'THE WORK ACTUALLY PERFORMED. WHERE A
CONTRACTOR IS PERFORMING CONSTRUCTION ON A PROJECT IN A
LOCALITY OTHER THAN THAT IN WHICH ITS PROGRAM'IS REGISTERED,
THE RATIOS AND WAGE RATES (EXPRESSED IN PERCENTAGES OF THE
JOURNEYMAN'S HOURLY RATE) SPECIFIED IN THE CONTRACTOR'S OR
SUBCONTRACTOR'S REGISTERED PROGRAM SHALL BE OBSERVED. EVERY
APPRENTICE MUST BE PAID AT NOT LESS THAN THE RATE SPECIFIED
IN THE REGISTERED PROGRAM FOR THE APPRENTICE'S LEVEL OF
PROGRESS, EXPRESSED AS A PERCENTAGE OF THE JOURNEYMAN HOURLY
RATE SPECIFIED IN THE APPLICABLE WAGE DETERMINATION.
APPRENTICES SHALL BE PAID FRINGE BENEFITS IN ACCORDANCE WITH
THE PROVISIONS OF THE APPRENTICESHIP PROGRAM. IF THE
APPRENTICESHIP PROGRAM DOES NOT SPECIFY FRINGE BENEFITS,
APPRENTICES MUST BE PAID THE FULL AMOUNT OF FRINGE BENEFITS
LISTED ON THE WAGE DETERMINATION FOR THE APPLICABLE
CLASSIFICATION. IF THE ADMINISTRATOR DETERMINES THAT A
DIFFERENT PRACTICE PREVAILS FOR THE APPLICABLE APPRENTICE
CLASSIFICATION, FRINGE BENEFITS SHALL BE PAID IN ACCORDANCE
WITH THAT DETERMINATION. IN THE EVENT THE BUREAU OF
APPRENTICESHIP AND TRAINING, OR A STATE APPRENTICESHIP AGENCY
RECOGNIZED BY THE BUREAU, WITHDRAWS APPROVAL OF AN
APPRENTICESHIP PROGRAM, THE CONTRACTOR WILL NO LONGER BE
PERMITTED TO UTILIZE APPRENTICES AT LESS THAN THE APPLICABLE
PREDETERMINED RATE FOR THE WORK PERFORMED UNTIL AN ACCEPTABLE
PROGRAM IS APPROVED.
(b) TRAINEES. EXCEPT AS PROVIDED IN 29 C.F.R.
§ 5.16, TRAINEES WILL NOT BE PERMITTED TO WORK AT LESS THAN
THE PREDETERMINED RATE FOR THE WORK PERFORMED UNLESS THEY ARE
EMPLOYED PURSUANT TO AND INDIVIDUALLY REGISTERED IN A PROGRAM
WHICH HAS RECEIVED PRIOR APPROVAL, EVIDENCED BY FORMAL
CERTIFICATION BY THE U.S. DEPARTMENT OF LABOR, EMPLOYMENT AND
TRAINING ADMINISTRATION. THE RATIO OF TRAINEES TO JOURNEYMEN
ON THE JOB SITE SHALL NOT BE GREATER THAN PERMITTED UNDER THE
PLAN APPROVED BY THE EMPLOYMENT AND TRAINING ADMINISTRATION.
EVERY TRAINEE MUST BE PAID AT NOT LESS THAN THE RATE
SPECIFIED IN THE APPROVED PROGRAM FOR THE TRAINEE'S LEVEL OF
PROGRESS, EXPRESSED AS A PERCENTAGE OF THE JOURNEYMAN HOURLY
RATE SPECIFIED IN THE APPLICABLE WAGE DETERMINATION.
TRAINEES SHALL BE PAID FRINGE BENEFITS IN ACCORDANCE WITH THE.
PROVISIONS OF THE TRAINEE PROGRAM. IF THE TRAINEE PROGRAM
DOES NOT MENTION FRINGE BENEFITS, TRAINEES SHALL BE PAID THE
FULL AMOUNT OF FRINGE BENEFITS LISTED ON THE WAGE
DETERMINATION UNLESS THE ADMINISTRATOR OF THE WAGE.AND HOUR
DIVISION DETERMINES THAT THERE IS AN APPRENTICESHIP PROGRAM
ASSOCIATED WITH THE CORRESPONDING JOURNEYMAN WAGE RATE ON THE
Page 44
WAGE DETERMINATION THAT PROVIDES FOR LESS THAN FULL FRINGE
BENEFITS FOR APPRENTICES. ANY EMPLOYEE LISTED ON THE PAYROLL
AT A TRAINEE RATE WHO IS NOT REGISTERED AND PARTICIPATING IN
A TRAINING PLAN APPROVED BY THE EMPLOYMENT AND TRAINING
ADMINISTRATION SHALL BE PAID NOT LESS THAN THE APPLICABLE
WAGE RATE ON THE WAGEDETERMINATIONFOR THE CLASSIFICATION OF
WORK ACTUALLY PERFORMED. IN ADDITION, ANY TRAINEE PERFORMING
WORK ON THE JOB SITE IN EXCESS OF THE RATIO PERMITTED UNDER
THE REGISTERED PROGRAM SHALL BE PAID NOT LESS THAN THE
APPLICABLE WAGE RATE ON THE WAGE DETERMINATION FOR THE WORK
ACTUALLY PERFORMED. IN THE EVENT THE EMPLOYMENT AND TRAINING
ADMINISTRATION 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) EOUAL EMPLOYMENT OPPORTUNITY. THE UTILIZATION
OF APPRENTICES, TRAINEES, AND JOURNEYMEN UNDER
29 C.F.R. PART 5 SHALL BE IN CONFORMITY WITH THE EQUAL
EMPLOYMENT OPPORTUNITY REQUIREMENTS OF EXECUTIVE ORDER
NO. 11246, AS AMENDED, AND 29 C.F.R. PART 30.
(d) HELPERS. HELPERS WILL BE PERMITTED TO WORK ON
A PROJECT IF THE HELPER CLASSIFICATION IS SPECIFIED ON AN
APPLICABLE WAGE DETERMINATION OR IS APPROVED PURSUANT TO THE
CONFORMANCE PROCEDURE SET FORTH IN 29 C.F.R. § 5.5(a)(1)(ii).
THE ALLOWABLE RATIO OF HELPERS TO JOURNEYMEN EMPLOYED BY THE
CONTRACTOR OR SUBCONTRACTOR ON THE JOB SITE SHALL NOT BE
GREATER THAN TWO HELPERS FOR EVERY THREE JOURNEYMEN (IN OTHER
WORDS, NOT MORE THAN 40 PERCENT OF THE TOTAL NUMBER OF
JOURNEYMEN AND HELPERS IN EACH CONTRACTOR'S OR IN EACH
SUBCONTRACTOR'S OWN WORK FORCE EMPLOYED ON THE JOB SITE.)
ANY WORKER LISTED ON A PAYROLL AT A HELPER WAGE RATE, WHO IS
NOT A HELPER AS DEFINED IN 29 C.F.R. § 5.2(n)(4), SHALL BE
PAID NOT LESS THAN THE APPLICABLE WAGE RATE ON THE WAGE
DETERMINATION FOR THE CLASSIFICATION OF WORK ACTUALLY
PERFORMED. IN ADDITION, ANY HELPER PERFORMING WORK ON THE
JOB SITE IN EXCESS OF THE RATIO PERMITTED SHALL BE PAID NOT
LESS THAN THE APPLICABLE JOURNEYMAN'S (OR LABORER'S, WHERE
APPROPRIATE) WAGE RATE ON THE WAGE DETERMINATION FOR THE WORK
ACTUALLY PERFORMED.
(5) COMPLIANCE WITH COPELAND ACT REQUIREMENTS.
.THE CONTRACTOR SHALL COMPLY WITH_THE REQUIREMENTS OF
29 C.F.R. PART 3, WHICH ARE INCORPORATED HEREIN BY
REFERENCE
( 6 ) CONI'RACT TERMINATION: DEBARMENT. A BREACH OF THE
CONTRACT CLAUSES IN 29 C.F.R. § 5.5. MAY BE GROUNDS FOR
TERMINATION OF THE CONTRACT, AND FOR DEBARMENT AS A
CONTRACTOR AND A SUBCONTRACTOR AS PROVIDED IN 29 C.F.R.
§ 5.12.
-Page 45
(7) COMPLIANCE WITH-DAVIS-BACON AND RELATED ACT
REQUIREMENTS. ALL RULINGS AND INTERPRETATIONS OF THE
DAVIS-BACON AND RELATED ACTS CONTAINED IN 29 C.F.R. PARTS 1,
3, AND 5 ARE INCORPORATED HEREIN BY REFERENCE.
(8) DISPUTES CONCERNING LABOR STANDARDS. DISPUTES
ARISING OUT OF THE LABOR STANDARDS PROVISIONS OF THIS
CONTRACT SHALL NOT BE SUBJECT TO THE GENERAL DISPUTES CLAUSE
OF THIS CONTRACT. SUCH DISPUTES SHALL BE RESOLVED IN
ACCORDANCE WITH THE PROCEDURES OF THE DEPARTMENT OF LABOR SET
FORTH IN 29 C.F.R. PARTS 5, 6, AND 7. DISPUTES WITHIN THE
MEANING OF THIS CLAUSE INCLUDE DISPUTES BETWEEN THE
CONTRACTOR (OR ANY OF ITS SUBCONTRACTORS) AND THE CONTRACTING
AGENCY, THE U.S. DEPARTMENT OF LABOR, OR THE EMPLOYEES OR
THEIR REPRESENTATIVES.
(9) CERTIFICATION OF ELIGIBILITY. (a) BY ENTERING
INTO THIS AGREEMENT OR A THIRD PARTY CONTRACT FINANCED UNDER
THIS AGREEMENT, THE CONTRACTOR CERTIFIES THAT NEITHER IT (NOR
HE NOR SHE) NOR ANY PERSON OR FIRM THAT HAS AN INTEREST IN
THE CONTRACTOR'S FIRM IS A PERSON OR FIRM INELIGIBLE TO BE
AWARDED GOVERNMENT CONTRACTS BY VIRTUE OF SECTION 3(a) OF THE
DAVIS-BACON ACT OR 29 C.F.R. S 5.12(a)(1).
(b) NO PART OF THIS CONTRACT SHALL BE SUBCONTRACTED
TO ANY PERSON OR FIRM INELIGIBLE FOR AWARD OF A GOVERNMENT
CONTRACT BY VIRTUE OF SECTION 3(a) OF THE DAVIS-BACON ACT OR
29 C.F.R. S 5.12 (a) (1) .
(c) THE PENALTY FOR MAKING FALSE STATEMENTS IS
PRESCRIBED IN THE U.S. CRIMINAL CODE, 18 U.S.C. S 1001.
(10) OVERTIME REQUIREMENTS. NO CONTRACTOR OR
SUBCONTRACTOR CONTRACTING FOR ANY PART OF THE CONTRACT WORK
WHICH MAY REQUIRE OR INVOLVE THE EMPLOYMENT OF LABORERS OR
MECHANICS SHALL REQUIRE OR PERMIT ANY SUCH LABORER OR
MECHANIC IN ANY WORK WEEK IN WHICH HE OR SHE IS EMPLOYED ON
SUCH WORK TO WORK IN EXCESS OF FORTY HOURS IN SUCH WORK WEEK
UNLESS SUCH LABORER OR MECHANIC RECEIVES COMPENSATION AT A
RATE NOT LESS THAN ONE AND ONE-HALF TIMES THE BASIC RATE OF
PAY FOR ALL HOURS WORKED IN EXCESS OF FORTY HOURS IN SUCH
WORK WEEK.
(11) VIOLATION: LIABILITY FOR UNPAID WAGES: LIQUIDATED
DAMAGES. IN THE EVENT OF ANY VIOLATION OF THE REQUIREMENTS
OF 29 C.F.R. S 5.5(b)(1), THE CONTRACTOR AND ANY
SUBCONTRACTOR RESPONSIBLE THEREFOR SHALL BE LIABLE FOR THE
UNPAID WAGES. IN ADDITION, SUCH CONTRACTOR AND SUBCONTRACTOR
SHALL 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 SHALL BE
Page 46
COMPUTED WITH .RESPECT TO EACH INDIVIDUAL LABORER OR MECHANIC,
INCLUDING WATCHMEN AND GUARDS, EMPLOYED IN VIOLATION OF
29 C.F.R. S 5.5(b)(1) IN THE SUM OF $10 FOR EACH CALENDAR DAY
ON WHICH SUCH INDIVIDUAL WAS REQUIRED OR PERMITTED TO WORK IN
EXCESS OF THE STANDARD WORK WEEK OF FORTY HOURS WITHOUT
PAYMENT OF THE OVERTIME WAGES REQUIRED BY 29 C.F.R.
S 5.5 (b) (1) .
(12) WITHHOLDING FOR UNPAID WAGES AND LIQUIDATED
DAMAGES. THE FTA OR THE RECIPIENT SHALL UPON ITS OWN ACTION
OR UPON WRITTEN REQUEST OF AN AUTHORIZED REPRESENTATIVE OF
THE DEPARTMENT OF LABOR WITHHOLD OR CAUSE TO BE WITHHELD,
FROM ANY MONEYS PAYABLE ON ACCOUNT OF WORK PERFORMED BY THE
CONTRACTOR OR SUBCONTRACTOR UNDER ANY SUCH CONTRACT OR ANY
OTHER FEDERAL CONTRACT WITH THE SAME PRIME CONTRACTOR, OR ANY
OTHER FEDERALLY -ASSISTED CONTRACT SUBJECT TO THE CONTRACT
WORK HOURS AND SAFETY STANDARDS ACT, WHICH IS HELD BY THE
SAME PRIME CONTRACTOR, SUCH SUMS AS MAY BE DETERMINED TO BE
NECESSARY TO SATISFY ANY LIABILITIES OF SUCH CONTRACTOR OR
SUBCONTRACTOR FOR UNPAID WAGES AND LIQUIDATED DAMAGES AS
PROVIDED IN THE CLAUSE SET FORTH AT 29 C.F.R. S 5.5(b)(2).
(13) SUBCONTRACTS. THE CONTRACTOR OR SUBCONTRACTOR
SHALL INSERT IN ANY SUBCONTRACTS THE CLAUSES.SET FORTH IN
PART II, SUBSECTIONS 119.a(1) THROUGH (13) OF THIS AGREEMENT
AND ALSO A CLAUSE REQUIRING THE SUBCONTRACTORS TO INCLUDE
THESE CLAUSES IN ANY LOWER TIER SUBCONTRACTS. THE PRIME
CONTRACTOR SHALL BE RESPONSIBLE FOR COMPLIANCE BY ANY
SUBCONTRACTOR OR LOWER TIER SUBCONTRACTOR WITH THE CLAUSES
SET FORTH IN PART II, SUBSECTIONS 119.a(1) THROUGH 119.a(12)
OF THIS AGREEMENT..
b. Nonconstruction Contracts. Pursuant to Department of
Labor regulations, "Labor Standards Provisions Applicable to
Contracts Covering Federally Financed and Assisted
Construction (Also Labor Standards Provisions Applicable to'
Nonconstruction Contracts Subject to the Contract Work Hours
and Safety Standards Act)," 29 C.F.R. Part 5, the following
provisions shall be incorporated in all federally -assisted
non -construction contracts of $2,500 let by the Recipient in
carrying out the Project:
(1) NONCONSTRUCTION CONTRACTS. THE REQUIREMENTS OF THE
CLAUSES CONTAINED IN 29 C.F.R. S 5.5(b) OR PART II,
SUBSECTIONS 119.a(10) THROUGH 119.a(13) OF THIS AGREEMENT ARE
APPLICABLE TO ANY CONTRACT SUBJECT TO THE OVERTIME PROVISIONS
OF THE CONTRACT WORK HOURS AND SAFETY STANDARDS ACT AND NOT
TO ANY OF THE OTHER STATUTES CITED IN 29 C.F.R.
S 5.1. THE CONTRACTOR OR SUBCONTRACTOR SHALL MAINTAIN
PAYROLLS AND BASIC PAYROLL RECORDS DURING THE COURSE OF THE
WORK AND SHALL PRESERVE THEM FOR A PERIOD OF THREE YEARS FROM
THE COMPLETION OF THE CONTRACT FOR ALL LABORERS AND
Page 47
MECHANICS, INCLUDING GUARDS AND WATCHMEN, WORKING ON THE
CONTRACT. SUCH RECORDS SHALL CONTAIN THE NAME AND ADDRESS OF
EACH SUCH EMPLOYEE, SOCIAL SECURITY NUMBER, CORRECT
CLASSIFICATIONS, HOURLY RATES OF WAGES PAID, DAILY AND WEEKLY
NUMBER OF HOURS WORKED, DEDUCTIONS MADE, AND ACTUAL WAGES
PAID. THE RECORDS TO BE MAINTAINED UNDER THIS CLAUSE SHALL
BE MADE AVAILABLE BY THE CONTRACTOR OR SUBCONTRACTOR FOR
INSPECTION, COPYING, OR TRANSCRIPTION BY AUTHORIZED
REPRESENTATIVES OF THE FTA, THE U.S. DOT, OR THE DEPARTMENT
OF LABOR, AND THE CONTRACTOR OR SUBCONTRACTOR WILL PERMIT
SUCH REPRESENTATIVES TO INTERVIEW EMPLOYEES DURING WORKING
HOURS ON THE JOB.
(2) NONCONSTRUCTION SUBCONTRACTS. THE CONTRACTOR OR
SUBCONTRACTOR SHALL INSERT IN ANY SUBCONTRACTS THE CLAUSES
SET FORTH IN PART II, SUBSECTIONS 119.a(10) THROUGH (12) AND
SUBSECTION 119.b(2) OF THIS AGREEMENT AND ALSO A CLAUSE
REQUIRING THE SUBCONTRACTORS TO INCLUDE THESE CLAUSES IN ANY
LOWER TIER SUBCONTRACTS. THE PRIME CONTRACTOR SHALL BE
RESPONSIBLE FOR COMPLIANCE BY ANY SUBCONTRACTOR OR LOWER TIER
SUBCONTRACTOR WITH THE CLAUSES SET FORTH IN PART II,
SUBSECTIONS 119.a(10) THROUGH 119.a(12) AND SUBSECTION
119.b(2) OF THIS AGREEMENT.
c. State and Local Government Employees. The provisions of
the Fair Labor Standards Act, as amended by Pub. L. 99-150,
Nov. 13, 1985, and any further amendment, apply to State and
local government employees that participate in the FTA
assisted Project with the Recipient.
Section 120. Environmental, Resource Conservation. and
Energy Requirements.
The Recipient recognizes that many Federal and State statutes
imposing environmental, resource conservation, and energy
requirements may apply to the Project. Some, but not all, of
the major Federal laws that may affect the Project include:
the National Environmental Policy Act of 1969, 42 U.S.C.
§§ 4321 pt gec.; the Clean Air Act, as amended, 42 U.S.C.
§§ 7401 et &M. and scattered sections of 29 U.S.C.; the
Clean Water Act, as amended, scattered sections of 33 and
12 U.S.C.; the Resource Conservation and Recovery Act, as
amended, 42 U.S.C. §§ 6901 = sec.; and the Comprehensive
Environmental Response, Compensation, and Liability Act, as
amended, 42 U.S.C. §§ 9601 g='eec. The Recipient also
recognizes that the Environmental Protection Agency (EPA),
the Federal Highway Administration (FHWA) and other agencies
of the Federal Government have issued and are expected -in the
future to issue requirements in the form of regulations,_
guidelines, standards, orders,'or other directives that may
affect the Project.
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Accordingly, the Recipient agrees to adhere to, and impose on
its subrecipients, any such Federal requirements, as the
Government may now or in the future promulgate. Listed below
are requirements of particular concern to the FTA. The
Recipient expressly understands that this list does not
constitute the Recipient's entire obligation to meet Federal
requirements.
a. Environmental Protection. To the extent applicable, the
Recipient agrees to comply with the requirements of the
National Environmental Policy Act of 1969, as amended,
42 U.S.C. §§ 4321 gt =.; Section 14 of the Federal Transit
Act, as amended, 49 U.S.C. app. §§ 1610; the Council on
Environmental Quality regulations, 40 C.F.R. Part 1500
= g=.; and the joint FHWA/FTA regulations, "Environmental
Impact and Related Procedures," at 23 C.F.R. Part 771 and
49 C.F.R. Part 622.
b. Air Pollution. The Recipient agrees to comply with the
joint FHWA/FTA regulations, "Air Quality Conformity and
Priority Procedures for Use in Federal -Aid Highway and
49 C.F.R. Part 623. The Recipient agrees to obtain
satisfactory assurances that any facilities or equipment
acquired, constructed, or improved as a part of the Project
are or will be designed and equipped to limit air pollution
as provided in accordance with the following EPA regulations:
"Control of Air Pollution from Motor Vehicles and Motor
Vehicle Engines," 40 C.F.R. Part 85; "Control of Air
Pollution from New and In -Use Motor Vehicles and New and
In -Use Motor Vehicle Engines: Certification and Test
Procedures," 40 C.F.R. Part 86; and "Fuel Economy of Motor
Vehicles," 40 C.F.R. Part 600; in accordance with applicable
Federally -approved State Implementation Plan(s) (in
particular, the Transportation Control Measures); and in
accordance with applicable Federal regulations, directives
and other standards.
c. Use of Public Lands. No publicly owned land from a park,
recreation area, or wildlife or 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 may be used for the Project unless specific
findings required by 49 U.S.C. § 303 are made by the
U.S. DOT.
d. Historic Preservation. The Recipient agrees to assist
the Government to comply with Section 106 of the National
Historic Preservation Act, 16 U.S.C. § 470f, involving
historic and archaeological preservation by:
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(1) Consulting the State Historic Preservation Officer
on the conduct of investigations, in accordance with Advisory
Council on Historic Preservation regulations, "Protection of
Historic and Cultural Properties," 36 C.F.R. Part 800, to
identify properties and resources listed in or eligible for
inclusion in the National Register of Historic Places that
may be affected by the Project, and notifying the Government
(FTA) of the existence of any such properties; and
(2) Complying with all Federal requirements to avoid or
mitigate adverse effects upon such properties.
e. Energy Conservation. The Recipient and its third party
contractors shall comply with mandatory standards and
policies relating to energy efficiency that are contained in
applicable State energy conservation plans issued in
compliance with the Energy Policy and Conservation Act,
42 U.S.C. 55 6321 et sec.
f. Mitigation of Adverse Environmental Effects. Should the
proposed Project cause adverse environmental effects, the
Recipient agrees to take all reasonable steps to minimize
such effects pursuant to 49 U.S.C. app. 5 1610, all other
applicable statutes, and the procedures set forth in
23 C.F.R. Part 771 and 49 C.F.R. Part 622. The Recipient
agrees to undertake all environmental mitigation measures
that may be identified as commitments in applicable
environmental documents (such as environmental assessments,
environmental impact statements, memoranda of agreements, and
statements required by 49 U.S.C. S 303) and with any
conditions imposed by the Government as part of a finding of
no significant impact or a record of decision; all such
mitigation measures are incorporated in and made part of this
Agreement by reference. If some or all mitigation measures
are deferred, as soon as the Government and the Recipient
agree on those measures, those agreed -upon measures will be
incorporated into this Agreement. Such mitigation measures
may not be modified or withdrawn without the express written
approval of the Government.
Section 121. Charter Service Operations.
Neither the Recipient nor any mass.transit operator that acts
on behalf of a Recipient may engage in charter service
operations except as provided under Section 3(f) of the
Federal Transit Act, as amended, 49 U.S.C. app. 5 1602(f),
and FTA regulations "Charter Service," 49 C.F.R. Part 604.
Any charter service agreement entered into under these
regulations is incorporated into this Agreement by
reference.
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a
Section 122. School Bus Operations.
Neither the Recipient nor any mass transit operator that acts
on behalf of a Recipient may engage in school bus operations
exclusively for the transportation of students or school
personnel in competition with private school bus operators,
except as provided in Section 3(g) of the Federal Transit
Act, as amended, 49 U.S.C. app. 5 1602(g), and FTA
regulations "School Bus Operations," 49 C.F.R. Part 605, and
any amendments thereto that may be issued. Any school bus
agreement entered into under these regulations is
incorporated into this Agreement by reference.
Section 123. Private Enterprise.
The private enterprise provisions of Sections 3(e), 6(o), and
9(f) of the Federal Transit Act, as amended, 49 U.S.C. app.
SS 1602(e), 1607(o), and 1607a(f), and implementing guidance
in FTA Circular 7005.1, "Documentation of Private Enterprise
Participation Required for Sections 3 and 9 Programs," as may
be revised, and any other U.S. DOT or FTA guidance that may
be issued apply to Projects financed under Sections 3 and 9
of the Federal Transit Act, as amended, and Sections
103(e)(4) and 142 of Title 23, United States Code.
Section 124. Metric System
The Recipient agrees to use the metric system of measurement
in its Project activities, in conformance with applicable
regulations, guidelines, and policies that the U.S. DOT or
the FTA may issue.
Section 125. Privacy.
Should the Recipient, or any of its third party contractors,
subrecipients, or their employees administer any system of
records on behalf of the Federal Government, the Privacy Act
of 1974 (the Act), 5 U.S.C. § 552a, imposes information
restrictions on the party managing the system of records.
a._ For purposes of the Act, when the Agreement involves the
operation of a system of records on individuals to accomplish
a Government function, the Recipient and any third party
contractors, subrecipients and their employees involved
__-. therein are considered to be Government employees with
respect to the Government function. The requirements of the
Act, including the civil and criminal penalties for
violations of the Act, apply to those individuals involved.
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Failure to comply with the terms of the Act or this
Section 125 will make this Agreement subject to termination.
b. As used in this Section 125:
(1) "Operation of a system of records" means performance
of any of the activities associated with maintaining the
system of records on behalf of the Government 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 or her education, financial transactions,
medical history, and criminal, or employment history and that
contains his or her 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 some identifying number, symbol
or other identifying particular assigned to the individual.
c. The Recipient agrees:
(1) To comply with the Privacy Act of 1974, 5 U.S.C.
§ 552a, and regulations thereunder, when performance under
the Project involves the design, development, or operation of
any system of records on individuals to be operated by the
Recipient, its third party contractors, subrecipients, or
their employees to accomplish a Government function;
(2) To notify the Government when the Recipient or any
of its third party contractors, subrecipients, or their
employees anticipates operating a system of records on behalf
of the Government in order to implement the Project, if such
system contains information about individuals retrievable by
the individuals name or other identifier assigned to the
individual. A system of records subject to the Act may not
be used in carrying out this Project until the necessary and
applicable approval and publication requirements have been
met. The Recipient, its third party contractors,
subrecipients, and their employees agree to correct,
maintain, disseminate, and use such records as required by
the Act, and to comply with all applicable terms of the Act;
(3) To include in every solicitation and in every third party
contract and sub -agreement when the performance.of work under
that proposed third party contract or sub -agreement may
involve the design, development, or operation of a system of
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records on individuals to be operated under that third party
contract or sub -agreement to accomplish a Government
function, a Privacy Act notification informing the third
party contractor, or subrecipient that it will be required to
design, develop, or operate a system of records on
individuals to accomplish a Government function subject to
the Privacy Act of 1974, 5 U.S.C. 5 552a, and Federal agency
regulations, and that a violation of the Act may involve the
imposition of criminal penalties; and
(4) To include the text of Part II, Subsections 125.c(1)
through 125.c(3) of this Agreement, in all third party
contracts and sub -agreements 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
Government.
Section 126. Substance Abuse.
The Recipient agrees to comply with U.S. DOT regulations,
"Drug -Free Workplace Requirements (Grants)," 49 C.F.R.
Part 29, Subpart F; and other U.S. DOT and FTA regulations
and guidance pertaining to substance abuse (drugs and
alcohol) that may be promulgated.
Section 127. State Safety Oversight of Rail Fixed Guideway
Public Systems.
To the extent applicable, the Recipient agrees to comply with
any regulations issued pursuant to Section 128 of the Federal
Transit Act, as amended, 49 U.S.C. app. § 1624, and other
guidance that the FTA or the U.S. DOT may issue pertaining to
safety oversight of rail fixed guideway public systems.
Section 128. Severability.
If any provision of this Agreement is held invalid, the
remainder of this Agreement shall not be affected thereby if
such remainder would then continue to conform to the terms
and requirements of.applicable law.
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