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Home My WebLink AboutResolution - 2308 - Grant Application - USDOT - Capital Assistance, Citibus - 05_08_1986Resolution #2308 May 8, 1986 Agenda Item #18 Authorizing Resolution Resolution #2308 - A RESOLUTION OF THE CITY COUNCIL OF LUBBOCK, TEXAS, AUTHORIZING THE FILING OF AN APPLICATION WITH THE DEPARTMENT OF TRANSPORTATION, UNITED STATES OF AMERICA FOR A GRANT UNDER THE URBAN MASS TRANSPORTATION ACT OF 1964, AS AMENDED. WHEREAS, the Secretary of Transportation is authorized to make grants for mass transportation projects; and WHEREAS, the contract for financial assistance will impose certain obligations upon the applicant, including the provision by it of the local share of project costs; HEREAS, it is required by the United States Department of Transportation in ccordance with the provisions of Title VI of the Civil Rights Act of 1964, as mended, the applicant give an assurance that it will comply with Title VI of the ivil Rights Act of 1964 and the United States Department of Transportation equirements thereunder; and HEREAS, it is the goal of the applicant that disadvantaged business enterprise be tilized to the fullest extent possible in connection with this project, and that efinitive procedures shall be established and administered to ensure that isadvantaged businesses shall have the maximum feasible opportunity to compete for ontracts when procuring construction contracts, supplies, equipment contracts or onsultant and other services: NOW THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF LUBBOCK, TEXAS, ON THIS DAY OF MAY, 1986, AS FOLLOWS: 1. That the MAYOR is authorized to execute and file applications on behalf of the City of Lubbock with the United States Department of Transportation to aid in the financing of planning, capital, and/or operating assistance projects pursuant to Section 5 of the Urban Mass Transportation Act of 1964, as amended. That the MAYOR is authorized to execute and file with such applications an assurance or any other document required by the United States Department of Transportation effectuating the purposes of Title VI of the Civil Rights Act of 1964. That the GENERAL MANAGER of CITY TRANSIT MANAGEMENT COMPANY, INC., is authorized to furnish such additional information as the United States Department of Transportation may require in connection with the application for the program of projects. The the MAYOR is authorized to set forth and execute affirmative minority business policies in connection with the program of projects' procurement needs. 7. That the MAYOR is authorized to execute grant agreements on behalf of Lubbock, Texas, with the United States Department of Transportation for aid in the financing of the planning, capital and/or operating assistance program of projects. 6. That this resolution shall take effect immediately upon its adoption. Passed by the City Council this 8th day of May, 1986. C e B.C. McMinn, Mayor ATTEST: Ranette Boyd, City Secretary Approved as to Content: Larry Ho f£ n, Dire o of Transp ation Approved as to Form K J. Wor Fullingim,�Assistant City ttorney No Text Resolution #2308 APPLICATION FOR OPERATING ASSISTANCE UNDER SECTION 5 PROVISIONS OF THE NATIONAL MASS TRANSPORTATION ACT OF 1964, AS AMENDED SECTION III In Behalf of THE CITY OF LUBBOCK, TEXAS For the Year Beginning October 1, 1986 Prepared by The City of Lubbock - Transit Department Resolution #2308 OMB Apormal N- 2-RO2L FEDERAL ASSISTANCE L Ar u - WYSLN L IITAM ~ Ir<wt1EN '' CAM'S ATIO JMPLICA- QfR wTM ► DAa Tsar MOWA de, L a ❑ rWArrltuno!! R MR da.. eta day ® &.R. Txw CATION C fTilt AssIC11ED 1! (NAPS es Q RMFIGTION Of INIENI (003 z m, /. LEGAL APPLICANT/RECIPIENT L FEDERAL EMPLOYER IDENTIFICATION NO. a, Awioat ism : City of Lubbock 7506000-590 VT ►. arSaatatlesa Unit : Transit Department L SbOd/P.D. IN : P. 0. Box 2000 • 5 � •• mmut 1210 1 (I 0 f 7 L n4 : Lubbock a. aaar : Lubbock GRAY L ttriA t. stet. : Texas ti. w ode 79457 r ier.t L Ceatad Parson Wave John L. Wilson ��) Section 5 d lek;A&.e No.) _ Operating Assistance 7. TITLE AND DESCRIPTION OF APPLICANT'S PROJECT L TYPE OF APPLICANT/RECIPIENT Operating Assistance for the period of A-Sbta N-Coo-valtj AdL" 4&%T S-lotarsbls I- N!�De. £ducati.aal .aatihrum C-SubArls �- ladies Tribe October 1, 1986, through September 30, 1987 D�Bidri r K-O"w (Specify) I E-cih � Seld Dlatrtd s.te. apyroy++sta ktcar L TYPE Of ASSISTANCE A-aaiC Craaa D-4aateasa 11-UpOw - Wed E-Other C�aaa y.ia:a kttar(a) IL AREA OF PROJECT IMPACT (a N*mw af)664m. eowtias, 1L ESTIMATED TA U 1L TYPE OF APPLICATION DER f PE S DERE A4w 041mr da E-Auprw*t tI" Lubbock Urbanized Area 187, 901"""' °"" sst.r ayyroyriaLe Letter 13 ILL PROPOSED FUNDING 14. CONGRESSIONAL 015TRICT'S Of: 1L TYPE OF CHANGE (For tao or ins) -0wA—logAsa Daring F-0tlar (Specify)r S saaa Det4ra a. FEDERAL s 836,220 .DD L N'PUCW R. PMECT ' DD 19 G1-00w�ans "wvdo wvllM s4 APPLICANT E latbr a. STATE 1L PROJECT START 17. PROJECT .00 836,220 w DATE rmr UL"ta 4w 1986 10 01 DURATION x..w l.ter a�Pra- vrwf era) t_1._,U d. Lout ti OTHER pD IS. ESE Tt DATMED E TO row st..& day1S. EXISTING FEDERAL IDENTIFICATION NUMBER UeTMEw FEDERAL. AGENCY ► 19 A. TOM =1, 672, 440 .pp ZL FEDERAL AGENCY TO RECEIVE REQUEST (Maws, City. StW, =IP wds) 2L REMARKS ADDED DOT/UbTPA Region VI, Forth Worth Texas 76102 Ci Yes I7 No 2L a. To Ira bad at t*I taaadadp OW bsl(at, b M n :r IR WE C!m do A-* this aa�ap1tw(4a w w►nitb�d. Parwatrt I. la• Ndrs. Bseya.w praa dab to this pplicadas/apowaliar an as Distsia, It splwop ab dmL&Kbasm and W rsapawa an o tacbr: eiw++ss s "ew THE hw aM ON 69 tla mmot low Mar APPLICANT " aetLol':d b tin V on In Mb d ^^ (1) ❑ CERTIFIES the XWiud a1 VIA SWIM t will aan111 J THAT ► with tla attaebd asarnaoaa IT tba nda- ❑ ❑ aaae Is ap/rwM. (t) ❑ ❑ XL a TYPED RAPE AND TIM L SIWTIIRE - DATE SI¢N0 Cr=iYIN year mma day SENTTA ATIVE B. C. McMinn, l]Ia or � f _ 2986 5 8 2C AGENCY NAME n CA• rear wowth day RECErVEO It 2L ORGANIZATIONAL UNIT 27. ADMIMISTMTIVE OFFvA 2L FEDERAL APPLICATION WENTIFiCATION M ADDRESS W FEDERARALGRA NT IDENTIF?L ACTION TAKEN 2L FUNDING rear mm" da• 51., rear seaafa day 13 - ANAAM p L 111=0 Q • ETYRRED PO Q tL 13 • w"011m s PED 6. APP a. SU4 L LAC ! >w 3L I a to ImW4 sl n wilm a+ wmmmW it ago" fwp� it do auff CTI A46 AON SL CONTACT FOR ACDmONAL 11 {Mswe sad tlai.�b.ws sati hat 4 aw 6100ft A� , i APPROM) AS TO Rl u. rear men" &W V. REMARKS ADDip O v= t7me WMI.N. ti t-Ci PART III — BUDGET INFORMATION ' • Page 1 nu■ wn_ •o.wn.aaa ' • , SECTION A — BUDGET SUMMARY. G"m reoraffl. ction Function of Activity lal Federal Catalog Na Ibl Estimated Unobligated Funds New or Ravlsad Budget Federal lel Non -Federal Ids Federal Id Non•Faderal 111 Total bl ptan �• Assistance 20.507 S S S 836,220 $836,220 $4,672,440 2. 3. 4. - S. TOTALS $ S S 836, 220 S 836,220 $1, 672, 440 • SECTION B —.BUDGET CATEGORIES 6. Object Class Categories Grant Program, Function or Activity Total I51 Its (21 ill (4) a. Personnel S S $ S S b. Fringe Benefits c. Travel d. Equipment . e. Supplies ' f. Contractual 2,169, 550 2,169, 550 g. Construction ' h. Other i. Total Direct Charges j. Indirect Charges ; k. TOTALS' $ 2,169, 550 S S S $ 2,169, 550 7. Program Income S 447, 610 - S S S S 447, 6'10 PART 111— BUDGET INFORMATION Page 2 omo No. 00-ROSOG SECTION C — NON-FEDERAL RESOURCES la) GRANT PROGRAM (hl APPLICANT IA STATE Id) OMER SOURCES to) TOTALS o, Section 5 Operating Assistance S 836,220 S S S836,220 1�. 11. 12. TOTALS iS 836,220 �� S S 836, 220 SECTION D — FORECASTED CASH WEEDS Toul for 1st Year 1tt oua•ter Ind Guarter 3rd Ouarter 4th Ouarter 13. Ft derat S ' 836,220 $ 209, 055 S 209,055 S 209,055 s209,055 14. Nor.•Fedcral 836,220 209.055 209.055 15.TOTAL S'1,672,440 S 418,110 i—S _ 418,110 S 418,110 S-418 110 SECTION E — BUDGET ESTIMATES OF FEDERAL FUNDS NEEDED FOR BALANCE OF THE PROJECT _- _-- -- -1 MIMI. ! UNDING PERIODS (YEARS) lal GIIANT PROGRAM --• •- • ••-- - It.) f IH':f l 1.0 M.t:U:Y1) Idl TlIIRO (e) FOURTII if. _ S S S -�--- 20. ?OTALS S !S Is SECTION F — OTHER BUDGET INFORMATIOW (Attach addtooe.tl Sheets .1 Necev.tty) 21. 0;-w Charges: • t 22. ladireet Ch.trges: 23. Remarks: NOTICE OF PUBLIC HEARING RE: City of Lubbock Section 9 (A) Capital and Technical Assistanc- Grant Applications and Section 5 Operating Assistance Grant Application. Notice is hereby given that an opportunity for a public hearing will be afforded in the Citibus Conference Room, 801 Texas Avenue, at 12:.30 p.m., Tuesday, April 22, 1986, for the purpose of considering projects for which financial assistance is being .sought from the Urban Mass Transportation Act of 1964, as amended, generally described as follows: CAPITAL. GRANT Program of Projects: The project will consist of the purchase of two support vehicles; Ipressure washer; spare engine and transmission; bus route signs; and various shop tools/equipment. Total cost is estimated at $95,255. Of this amount, the City of Lubbock will provide 319,051 and 976,204 will come .from U.MTA Section 9 (A) funds. The project is proposed to begin October 1, 1996. TECHNICAL STUDIES GRANT.Program of Projects: The project will consist of fol.zr elements: alternative financial and operational scenarios; monitoring the system and service development; maintenance of eligibility; and private sector participation. Total cost is estimated at S45,000. Of this amount, the Citv of 'Lubbock will provide $9,000 and $36,0lnO will come from UMTA Section 9 (A) funds. The project is proposed to begin October 1, 1986. OPERATING ASSISTANCE GRANT Program of Projects: This program will consist of the transportation services in the Lubbock urbanized area provided by City Transit Management Company, Inc., from October 1, 1986, to September 30, 1987. Total cost is S1,672.,440, of which S836,220 will come from UMTA Section 5 funds, and S542,845 from the City of Lubbock and S293,375 from non-farebox revenues. No persons,.f.anilies, or businesses will be displaced by these projects. There will be no significant environmental impact upon the urban area. The proposed projects are in conformance with comprehensive land use and transportation plans for the area. The City of Lubbock will provide a demand -responsive system, which will service the needs of the elderly and handicapped, and half fare on all. regular transit routes. City Transit Management, Inc. provides the incidental charter service in the Lubbock urbanized area. Interested persons or agencies may submit orally or in writing evidence and recommendations with respect to said projects on or before April 22, 1986. Preliminary program of projects is also available to the public at the Citibus offices and final program of projects will also be available at the Citibus offices, 801 Texas .Avenue. General Manager Citibus P. O. Box 2000 Lubbock, Texas 79457 THE STATE OF TEXAS COUNTY OF LUBBOCK Before me Dorothy Russell a Notary Public in and for Lubbock County, Texas on this day personally appeared Twi I a Auf i I Ig Account Manager of the Southwestern Newspa- pers Corporation, publishers of the Lubbock Avalanche -.Journal - Morning, Evening and Sunday, who being by me duly sworn did depose and say that said newspaper has been published continuously for more than fifty-two weeks prior to the first insertion of this Legal Notice ed copy of the Legal Notice No. 749038 at Lubbock County, Texas and the attached print - is a true copy of the original and was printed in the Lubbock Avalanche -Journal on the following dates: April 8+ 1986 414 words 0 38t per word = $157.32 Account Manager LUBBOCK AVALANCHE -JOURNAL Southwestern Newspapers Corporation Subscribed and sworn to before me this 9 day of April 19 86 DOROiHY RU' LL Notary Public In ruut Far The State Of Texas, NORM 58-10 My Commission Expires Nov. 9, 1988 Citi-busof Notice Public Hearing RE: City of Lubbock Section 9 (A) Capital and Technical Assistance Grant Applications and Section. 5 Operating Assistance Grant Application. Notice is hereby given that an opportunity for a public hearing will be afforded in the Citibus Conference Room, 801 Texas Avenue, at 1230 p.m., Tuesday, April 22,1986, for the purpose of considering projects for which financial assistance is being sought from the Urban Mass Transportation Act of 1964, as amended, generally described as follows: CAPITAL GRANT Program of Projects: The project will consist of the purchase of two support vehicles; pressure washer; spare engine and transmission; bus route signs; and various shop tools/equipment. Total cost is estimated at $95,255.Of this amount, the City of Lubbock will provide $19.051 and $76204 will come from UMTA Section 9 (A) funds. The project is proposed to begin October 1, 19M TECHNICAL STUDIES GRANT Program of Projects. The project will consist of four elements: alternative financial and operational scenarios; monitoring the system and service development maintenance of eligibility, and private sector participation. Total cost is estimated at $45,000. Of this amount, the City of Lubbock will provide $9A00 and MOOD 'will come from UMTA Section 9 (A) funds. The project is proposed to. begin October 1, 1986. OPERATING ASSISTANCE GRANT Program of Projects: This program will consist of the transportation services in the Lubbock urbanized area provided by City Transit Management Company, Inc., from October 1, 1986, to September X 1987. Total cost is $1,672,440, of which $836220 will come from UMTA Section 5 funds, and $542,845 from the City of Lubbock and $293,375. from non-farebox revenues. : No person, families, or businesses will be displayed by these projects. There will be no significant environmental impact upon the urban area The proposed projects are in conformance with comprehensive land use and transportation plans for the area The City of Lubbock will provide a demand -responsive system, which will service the needs of the elderly and handicapped, and half fare on all regular transit routes. City Transit Management, Inc. provides the incidental charter service in the Lubbock urbanized area Interested persons or agencies may submit orally or in writing evidence and recommendations with respect to said projects on or before April 22,19M Preliminary Program of projects is also available to the public at the Citbus offices and final program of projects will also be available at the Citibus offices, 801 Texas Avenue. ,.. Notice submitted by General Manager, Citibus, P. 0. Box 2000, Lubbock, Texas 79457. Page 8. Southwest Bluest. Thursday, April 17, r------------- I I Notice of Public Hearing Re: city of Lubbock Section 9 (A) I EL EDITOR, Capital and Technical Assistance Grant Applications and Section 5 Operating I Assistance Grant Application. INotice is hereby given that an opportunity for a public hearing will be afforded in the Citibus Conference Room, 801 Texas Avenue, at 12:30 p.m., I Tuesday, April 22, 1986, for the purpose I of considering projects for which financial assistance is being sought from 1 the Urban Mass Transportation Act of 1964, as amended, generally described as follows: Capital Grant Program of Projects: The project will consist of the purchase of two support vehicles; pressure washer; spare engine and transmission; bus route signs; and various shop tools/equipment. I Total cost is estimated at$95,255.Of this the City of $19,051 and $76.204wil Lubbock come 'rirom I UMTA SEction 9 (A) funds. The project is proposed to begin October 1, 1986. Technical Studies Grant Program of Projects: The project will consist of four elements: alternative financial and operational scenarios; monitoring the system and service development; maintenance of eligibility; and private sector participation. - Total cost is estimated at $45,000 Of this amoung, the City of Lubbock will provide $9.000 and $36,000 will come from UMTA Section 9 (A) funds. The project is proposed to begin October 1, 1986. Operating Assistance Grant Program of Projects: This program will consist of the transportation services in the Lubbock urbanized area provided by City Transit Management Company, Inc., from October 1, 1986, to September 30, 1987. Total cost is $1,672,440, of which $836,220 will come f rom UMTA Section 5 funds, and $542,845 from the City of ILubbock and $293,375 from non-farebox revenues. No persons, families, or businesses will be displaced by these projects. There will be no significant environmental impact upon the urban area. The proposed projects are in conformance I with comprehensive land use and transportation plans for the area. The City of Lubbock will provide a demand -responsive system, which will service the needs of the elderly and -handicapped, and half fare on all regular transit routes. City Transit Management, Inc. provides the incidental charter service in the Lubbock urbanized area. Interested persons or agencies may submit orally or in writing evidence and recommendations with respect to said I projects on or before April 22, 1986. Preliminary program of projects is also available to the public at the Citibus offices and final program of projects will also be available at the Citibus offices, 801 Texas Avenue. IGeneral Manager Citibus I P.O. Box 2000 I Lubbock, Texas 79457 L--------- __J CERTIFICATE THE STATE OF TEXAS: COUNTY OF LUBBOCK: CITY OF LUBBOCK: I, RANETTE BOYD, City Secretary of the City of Lubbock, Texas, hereby certify that the attached document is a true and correct copy of RESOLUTION )3 Ci which authorized the Mayor to file Grant Application to which this Certificate is attached. TO CERTIFY WHICH, witness my hand and seal of the City of Lubbock, this 8th day of May, 1986. RANETTE Bb-YD City Secretary PROGRAM BUDGET Urban Area: Lubbock, Texas Designated Recipient: City of Lubbock, Texas Grantee: City of Lubbock, Texas Project OPERATING ASSISTANCE GRANT BUDGET Program Cost Federal Share Local Share Amount $1,672,440 $1,672,440 $ 836,220 $ 836,220 SECTION III - EXHIBIT A PROJECT BUDGET For the Period: October 1, 1986, to September 30, 1987 Transit Operator: City Transit Management Company, Inc. Designated Recipient: City of Lubbock, Texas (1) Contract Costs Labor $1,054,821 Fringe Benefits 343,996 Services 123,475 Materials and Supplies 383,964 Utilities 51,456 Casualty and Liability 111,026 Taxes 25,742 Miscellaneous 69,820 Interest Expenses 5,250 TOTAL OPERATING COSTS $2,169,550 $2,169,550 (1) (2) LESS ELIMINATIONS Non -Mass Transportation Expenses -Charter $ 49,500 (2) (3) Eligible Operating Expenses $2,120,050 (3) (4) Less Farebox Revenue $ 447,610 (4) (6) Local Share City of Lubbock $ 542,845 University Student Funds 256,375 Charter Profit 37,000 $ 836,220 $ 836,220 (6) (7) Net Expenses Advanced on Operations Before Applying UMTA Funds $ 836,220 (7) (8) UMTA Funds Requested $ 836,220 (8) Prepared by: John L. Wilson Title: General Manager Date: April 9, 1986 This memorandum will serve as the requisite opinion of counsel to be filed with the Urban Mass Transportation Administration, United States Department of Transportation, in connection with the application of the City of Lubbock for financial assistance pursuant to the provisions of Section 5 of the Urban Mass Transportation Act of 1964, as amended,for planning, capital and/or operating assistance projects. I understand that the City of Lubbock has been duly designated as a recipient in accordance with the provisions of Section 5 of the Urban Mass Transportation Act of 1964, as amended, and that the Urban Mass Transportation Administration has concurred in that designation. The legal authority of the City of Lubbock to carry out planning, capital, and/or operating assistance projects directly,by lease, contract, 'or otherwise is set forth below: 1. The City of Lubbock is'authorized by Article III, Section 5, Constitution of the State of Texas, and Article 1165 V.T.C.S. and the Lubbock City Charter to provide and assist public transportation by acquisition, construction, and operation of existing or additional transit facilties. This assistance may be provided directly by the City of Lubbock or by lease or similar contract arrangements with other parties. 2. The authority of the City of Lubbock to provide for its share of project funds for the program of projects is set forth the filing of application. 3. I have reviewed the pertinent Federal, State, and local laws and I am of the opinion that there is no legal impediment to the application for Section 5 financial assistance. Furthermore, as a result of my examination, I find that there is no pending or threatened litigation or other action which might in any way adversely affect the proposed projects in the program, or the ability of the City of Lubbock to carry out such projects in the program. Sincerely, J. rth Fullingim Ass' tant City Attorney Resolution #2308 SECTION 5 CERTIFICATION Certification is given by the City of Lubbock with respect to Section 5 of the Urban Mass Transportation Act of 1964, as amended (49 LSC Section 1601, et seq) (herein called the "Act"), filed with the Urban Mass Transportation ADministration (UMTA), as to the following: A. That it has or will have the legal, financial and technical capacity to carry out the proposed program of projects; B. That it has or will have satisfactory continuing control through operation or lease or otherwise, over the use of the facilities and equipment; C. That it will comply with the provisions as prescribed by Section 5(m) of the Act. D. That it will give the rate required by Section 5(m) of this Act to any person presenting a medicare card duly issued to that person pursuant to Title II or Title XVIII of the Social Security Act; E. In carrying out any procurement under Section 5, that it will use competitive procurement processes as defined by UMTA, will not utilize exclusionary or discriminatory specifications in the procurement, and will carry out the procurement in compliance with applicable Buy America provisions. F. That it has complied with the following requirements of Section 9(f) in that it has: a. Made available, to the public, information concerning the amount of funds available under Section 5 and the program of projects that the recipient proposes to undertake with such funds; b. Developed a proposed program of projects concerning activities to be funded in consultation with interested parties, including private transportation providers; C. Published a proposed program of projects in such a manner to afford affected citizens, private transportation providers and, as appropriate, local elected officials an opportunity to examine its content and to submit comments on the proposed program of projects and on the performance of the recipient; d. Afforded an opportunity for a public hearing to obtain the views of citizens on the proposed program of projects; e. Considered comments and views, particularly those of private transportation providers, and if deemed appropriate, modified the proposed program of projects; f. Made the final program of projects available to the public; g. That it has available and will provide the required amount of funds in accordance with Section 9(k)(1) of the Act, and will comply with the requirements of Sections 8 and 16 of the Act; h. That it has a locally developed process to solicit and consider public comment prior to raising fares or implementing a major reduction of transit service; i. That the organizations to receive benefits directly from the Section 5 grant are subject to the uniform system of financial and operating data as prescribed in Section 15 of the UMT Act and further defined in UMTA regulations (49 CFR 630, 1984); j. That any proposed project for the acquisition of or investment in rolling stock is in conformance with UMTA rolling stock guidelines. The provisions of 18 USC 1001, 1982 apply to any certifications or submissions (relative to punishment for wrongful information) under this section. B. C. McMinn Mayor May 8, 1986 Date APPROVED AS TO CONTENT: John L. Wilson, Citibus General Manager 449, a&� J Worth Fullingim Assistant City Attorney ATTEST: Ranette Boyd, Cit�Secr�e STANDARD ASSURANCES FOR UMTA GRANTS The City of Lubbock hereby assures and certifies that it will comply with the Federal statutes, regulations, executive orders and administrative requirements which relate to the applications made to and grants received from the Urban Mass Transportation Administration. Acknowledgement of the attached list of regulations, statutes,. and requirements is given. The provisions of 18 USC 1001 (regarding penalties for wrongful information) apply to any certifications or submissions under this section. d L ),y i �e B. C. McMinn Mayor May 8, 1986 Date APPROVED AS TO CONTENT: a John L. Wilson 41 7U' G . J. Yorth Fullingim Assistant City Attorney ATTEST: Ranette Boyd, City Secreta y UMTA C 9100.1A Attachment 1 2-8-85 Page I. ATTACHMENT 1. LIST OF STATUTES, REGULATIONS, ADMINISTRATIVE REQUIREMENTS, ANi) EXECUTIVE ORDERS APPLICABLE TO CERTAIN UMTA PROGRAMS [compliance with the following is indicated by a signed Standard Assurance (Exhibit 1)] Part I --The following list is applicable to all transit assistance projects under Sections 3, 3(a)(1)(C), 40), 5, and 9 of the Urban Mass Transportation Act of 1964, as amended, and to all transit related projects under Sections 103(e)(4) (Interstate Transfer) and 142 (Federal Aid Urban Systems) of Title 23 of the United States Code. STATUTES 18 U.S.C. 1001 which provides criminal:sanctions for those who knowingly and willfuliy provide false information to the Federal Government. Section 3(f) of the UMT Act, 49 U.S.C. 1602(f) which requires, among other things, the recipient to enter into an j agreement with UMTA not to provide charter service that will foreclose private operators. Section 3(g) of the UMT Act, 49 U.S.C. 1602(g) which requires, among other things,.the recipient to enter into an agreement with UMTA not to'provide exclusive sehooi bus service. Section 5(k) [or 4(a)] of the UMT Act, 49 U.S.C. 1604(k) [or 49 U.S.C. 1603(a)3 which requires, among other things, the provision of the recipient pro rata share of the cost of the project. Section 8 of the UMT Act,,49 U.S.C. 1607 which provides, among other things, for a continuing, cooperative, and comprehensive planning process. Section 8(e) of the UMT Act, 49 U.S.C. 1607(e) which requires, -among other things, the recipient to provide to the maximum extent feasible for private enterprise participation in UMTA funded plans and programs. Section 12(c) of.the UMT Act, 49 U.S.C.,1608(c) definitions applicable to the grant. N Attachment 1 Page 2 Section 13 of the UMT Act, 49 U.S.C. 1609 UMTA C 9100.1A 2-8-85 which requires, among other things, the recipient to comply with applicable labor requirements. Section 16 of the UNIT Act, 49 U.S.C. 1612 which provides, among other things, for the planning and design of mass transportation facilities to meet the special needs of the elderly and handicapped. Section 19 of the UNIT Act, 49 U.S.C. 1615 which, among other things, prohibits discrimination on the basis of race, color, creed, national origin, sex or age. Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000 d which, among other things, prohibits discrimination on the basis of race, color or national origin by recipients of Federal financial assistance. Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000 e which, among other things, prohibits discrimination in employment. Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794 which, among other things, prohibits discrimination on the basis of handicap by recipients of Federal financial assistance. "Hatch Act", 5 U.S.C. 1501 et seq. which, among other things, imposes certain restrictions on poiitical activities of recipients of Federal financial assistance. "Buy America Requirements", Section 165 of the Surface Transportation Assistance Act of 1982, P.L. 97-424, as amended which, among other things, requires that steel and manufactured products procured under UMTA-funded contracts be of domestic manufacture or origin (with four exceptions). "Davis -Bacon Act", 40 U.S.C. 276a to a-7 which requires, among other things, that all mechanics and laborers working on federally assisted construction projects (in excess of $2,000 contract value) be paid not less often than once a week, at computed wage rates not less than the prevailing wages for similar work in the same geographic area of the project. UMTA C 9100.1A 2-8-85 "Copeland Anti -Kickback" Act, 18 U.S.C. 874 Attachment 1 Page 3 which, among other things, prohibits payroll deductions from the wages of employees who are covered by the Davis -Bacon Act for any reason except those specifically stated in the Copeland Act. Contract Work Hours.and Safety Standards Act, 40 U.S.C. 327-332 which., among other things, establishes the required basis and conditions for hours of work and for overtime pay of laborers and mechanics, and directs the Department of Labor to formulate construction safety and health standards. National Environmental Policy Act, 42 U.S.C. 4321 et seq. which, among other things, prohibits Federal assistance to projects that will adversely affect the quality of the environment. Uniform Relocation Assistance and Land Acquisition Policies Act of 1970, 42 U.S.C. 4601 et seq. which, among other things, establishes the terms and conditions for compensation to property owners and occupants who are displaced as a result of federally assisted projects. National Historic Preservation Act of 1966, 16 U.S.C. 470 et seq. which, among other things, provides for the protection of national historic sites. Archeological and Historic Preservation Act of 1966, 16 U.S.C. 469a-1, et seq. ' which provides protection for historically valuable property. Federal Water Pollution Control Act, as amended by the Clean Water Act of 1977, 33 U.S.C. 1251, et seq. which, among other things, establishes a review and permit process for construction projects which affect navigable waters. Clean Air Act of 1955, as amended, 42 U.S.C. 7401, et seq. which, among other things, mandates State Implementation Plans that often encompass transit projects. Energy Policy and Conservation Apt, 42 U.S.C. 6321 which, among other things, authorizes development and implementation of state energy conservation plans. Attachment 1 Page 4 UMTA C 9100.1A 2-8-85 National Flood insurance Act of 1969, 42 U.S.C. 4011, et seq. which, among other things, authorizes a national flood insurance program. Flood Disaster Protection Act of 1973, 42 U.S.C. 4012a, et seq. which, among other things, requires the purchase of flood insurance by recipients of Federal financial asssistance who are located in areas having special flood hazards. Architectural Barriers Act of 1968, as amended, 42 U.S.C. 4151, et seq. which, among other -things, requires that any building or facility or portion thereof assisted with Federal funds be accessible to the I handicapped in accordance with the General Services Administration s Accessibility Standards, 41 CFR Subpart 101-19.6. ADMINISTRATIVE REQUIREMENTS OMB Circular A-87 which provides cost principles applicable to grants and contracts, with State and local governments. OMB Circular A-102 which provides uniform requirements for assistance to State and local governments. EXECUTIVE ORDERS E;-O. 11246, as amended which establishes requirements in construction activities for contracts over $2,,000. E. 0. 11988 which establdshes certain specific requirements related to flood protection and control. E. 0. 12372 which rescinded OMB Circular A-95 and established. new requirements contained in FIR No. 48, 123, June 24, 1983, pp 29264--29267. These requirements deal with the notification of State organizations of proposed transit projects and the opportunities for those organizations to review project proposals. 0 UMTA C 9100.1A 2-8-85 REGULATIONS 49 CFR Part 600 et seq. Attachment 1 Page 5 regulations promulgated by UMTA. 49 CFR Parts 21, 23, 25 and 27 regulations promulgated by the Department of Transportation governing Title VI, Minority Business Enterprise (Disadvantaged Business Enterprise/Women°s Business Enterprise), Relocation and Land Acquisition, and Nondiscrimination on the basis of Handicap, respectively. 46 CFR Part 381 regulations promulgated by the Maritime Administration governing cargo preference requirements. 36 CFR Part 800 regulations promulgated by the Advisory Council on Historic Preservation. 31 CFR Part 205 regulations promulgated by the Department of the Treasury governing letter of credit. 40 CFR Part 15 regulations promulgated by the Environmental Protection Agency pertaining to administration of Clean Air and Water Pollution requirements of grantees. 29 CFR Parts 5 and 215 regulations promulgated by the department of Labor pertaining to construction labor and transit employee protections. Attachment 1 UMTA C 9100.1A Page 6 2-8-85 Part II --The following two statutes apply only to transit assistance projects under Sections 5 and 9 of the Urban Mass Transportation Act of 1964, as amended. Section 15(b) of the U14T Act 49 U.S.C. 1611, as amended by section 304(c) of the Federal Public Transportation Act of 1982 which requires the applicant and beneficiaries of the Sections 5, 9A and 9 programs to adhere to both the financial and operating Information reporting system and the uniform system of accounts and records. Title II and Title XVIII of the Social Security Act, 42 U.S.C. 401, et seq. and 42 U.S.C. 1395 et seq. as they pertain to the issuance of Medicare cards. Part Ili --The following general category of program statutes apply only to the transit assistance programs cited herein: Section 3 of the Urban Mass Transportation Act of 1964, as amended APPLiCABLE TO: Transit assistance projects under Sections 3, 3(a)(1)(C), and 4(i) of the Urban Mass Transportation Act of 1964, as amended, and all transit related projects under Sections 103(e)(4) and 142 (Interstate Transfer and Federal Aid Urban Systems, respectively) of Title 23 of the United States Code. Section 5 of the Urban Mass Transportation Act of 1964, as amended APPLICABLE TO: Transit assistance projects under Section 5 of the -Urban Mass Transportation Act of 1964, as amended. Note particularly program specific requirements such as 5(i).(3), Fares and Services, and 5(m), Half -Fare Requirement. Section 9 of the Urban Mass Transportation Act of 1964, as amended APPLICABLE TO: Transit Assistance projects under Section 9 of the Urban Mass Transportation Act of 1964, as amended. Note particularly program specific requirements such as 9(e)(3)(H), Fares and Services, 9(e)(3)(D), Half-Fare'Requirement, and 9(g), Audit Requirement. ., UMTA C 9100. 1 A 2-8-85 ATTACHMENT 2 Attachment 2 Page 1 Part IV --Civil Rights assurances required of all transit assistance applicants grants pursuant to Sections 3, 3(a)(1)(C), 4(i), 5, and 9 of the Urban Mass Transportation Act of 1964, as amended, as well as for applications for transit related projects under the Federal Aid Urban Systems and Interstate Transfer Programs (Section 142 and 103(e)(4), respectively, of Title 23 of the United States Code). ASSURANCE OF COMPLIANCE WITH TITLE VI OF THE CIVIL RiGHTS ACT OF 1964 (DEPARTMENT OF TRANSPORTATION) The (Title of Recipient) (hereinafter referred to as the "Recipient") HEREBY AGREES THAT as a condition to receiving any Federal financial assistance from the Department of Transportation it will comply with Title VI of the Civil Rights Act of 1964, 78 Stat. 252, 42 U.S.C. 2000d-42 U.S.C. 2000d-4 (hereinafter referred to as the Act) and all requirements imposed by or pursuant to Title 49, Code of Federal Regulations, Department of Transportation, subtitle A, Office of -the Secretary, Part 21, Nondiscrimination in Federally -Assisted Programs of the Department of Transportation - Effectuation of Title VI of the Civil Rights act of 1964 (hereinafter referred to as the Regulations) and other pertinent directives, to the - end that in accordance with the Act, Regulations, and other pertinent directives, no person in the United States shall, on the grounds of race, color, sex or national origin be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination under any program or activity for which the Recipient receives Federal financial assistance from the Department of Transportation, including the Urban Mass Transportation Administration (UMTA), and 14EREDY GIVES , ASSURANCE THAT it will promptly take any measures necessary to effectuate this agreement. This assurance is required by subsection 21.7(a)(1) of the Regulations. More specifically and without limiting the above general assurance, the Recipient hereby gives the following specific assurances with respect to the project: 1. That the Recipient agrees that each "program" and each "facility' as defined in subsections 21.23(e) and 21.23(b) of the Regulations, will be (with regard to a "program") conducted, or will be (with regard to a "facility") operated in compliance with all requirements imposed by, or pursuant to, the Regulations. 2.' That the recipient shall insert the following notification in all solicitations for bids for work or material subject to the Regulations and made in connection with a project under the Urban Mass Transportation Act of 1964, as amended (the UMT Act) and, in adapted form in all proposals for negotiated agreements: Attachment 2 UMTA C 9100.1A Page 2 2-8-85 The Recipient, in accordance with Title Vi of the Civil Rights Act of 1964, 78 Stat. 252, 42 U.S.C. 2000d to 2000d-4 and Title 49, Code of Federal Regulations, Department of Trans.portaton, Subtitle A, Office of the Secretary, Part 21, Nondiscrimination in Federally -Assisted Programs of the Department of Transportation issued,pursuant to such Act, hereby notifies all bidders and proposers that it will affirmatively ensure that in regard to any contract or procurement entered into pursuant to this advertisement, minority business enterprises [0isadvantaged Business Enterprise/Women°s Business Enterprise (DBE/WBE)] will -.be afforded full opportunity to submit bids and proposals in response to this invitation and will not be discriminated against on the grounds of race, color, sex or national origin in consideration for an award. 3. That the Recipient shall insert the clauses of Appendix A of this assurance in every contract subject to the Act and the Regulations. 4. That the Recipient shall insert the clauses of Appendix B of this assurance, as a covenant running with the land, in any deed from the United States effecting a transfer of real property, structures, or improvements thereon, or interest therein. 5. That where the Recipient receives Federal financial assistance to construct a facility, or part of a facility, the assurance shall extend to the entire facility and facilities operated .in connection therewith. 6. That where the Recipient receives Federal financial assistance in the form, or for the acquisition of real property or an interest.in real property, the assurance shall extend to rights to space on, over, or under such property. 7. That where the Recipient receives Federal financial assistance to carry out a program of managerial training under Section 10(a) of the Urban Mass Transportation Act of 1964, as amended, the assurance shall obligate the recipient to make selection of the trainee or fellow without regard to race, color, sex or national origin. 8. That where the Recipient receives Federal financial assistance to carry out a program under the Urban Mass Transportation Act of 1964, as amended, the assurance shall obligate the recipient to assign transit operators and to furnish transit operators for charter purposes without regard to race, color, sex or national origin. 9. That where the Recipient receives Federal financial assistance to carry out a program under the Urban Mass Transportation Act of 1964, as amended, routing, scheduling, quality of service, frequency of service, age and quality of vehicles assigned to routes, quality of stations serving different routes, and location of routes may not be determined on the basis of race, color, sex or national origin. R EMMA i UMTA C 9100.1A 2-8-85 Attachment 2 Page 3 10. That the Recipient shall include the appropriate clauses set forth in Appendix C of this assurance, as a covenant running with the land, in any future deeds, leases, permits, licenses, and similar agreements entered into by the Recipient with other parties: (a) for the subsequent transfer of real property acquired or improved under (Project Number); and (b) for the construction or use of or access to space on, over or.under real property acquired, or improved under (Project Number): 11. That this assurance obligates the Recipient for the period during which Federal financial assistance is extended to the project, except where the Federal financial assistance is to provide, or is in the form of, personal property, or real property or interest therein or structures or improvements thereon, in which case the assurance obligates the Recipient or any transferee for the longer of the following periods: (a) the period during which the property is used for a purpose for which the Federal financial assistance is extended, or for another purpose involving the provision of similar services or benefits; or (b) the period during which the recipient retains ownership or possession of the property. 12. The Recipient shall provide for such methods of administration for the program as are found by the Secretary of Transportation or the official to whom he/she delegates specific authority to give reasonable guarantee that it, other recipients, subgrantees, contractors, subcontractors, transferees., successors in interest, and other participants of Federal financial assistance under such program will comply with all requirements imposed or pursuant to the Act, the Regulations and this assurance. 13. The Recipient agrees that the United States has a right to seek judicial enforcement with regard to any matter arising under the Act, and Regulations, and this assurance. THIS ASSURANCE is given in consideration of and for the purpose of obtaining any and all Federal grants, loans, contracts, property, discounts or other Federal financial assistance extended after the date hereof to the Recipient by the Department of Transportation under Federal Urban Mass Transportation Programs and is binding on it, other recipients, subgrantees, contractors, subcontractors, transferees, successors in interest and other participants in the Federal Urban Mass Transportation Program. The person or persons whose signatures appear on the Authorizing Resolution are authorized to sign this assurance on behalf of the Recipient. Attachments: Appendices A, B, and C .Department of Transportation Attachment 2 Page 4 APPENDIX A UMTA C 9100.1A 2-8-85 During the performance of this contract, the contractor, for itself, its assignees and successors in interest (hereinafter referred to as the "contractor") agrees as follows: (1) Compliance with Regulations: The contractor shall comply with the Regulations relative to nondiscrimination in federally assisted programs of the Department of Transportation (hereinafter "DOT") Tithe 49, Code of Federal Regulations, Part 21, as they may be amended from time to time (hereinafter, referred to as the Regulations), which are herein incorporated by reference and made a part of this contract. (2) Nondiscrimination: The contractor, with regard to the work performed by it during the contract, shall not discriminate on the grounds of race, color, sex or national origin in the selection and retention of subcontractors, including procurements of materials and leases of equipment. The contractor shall not participate either directly or indirectly in the discrimination prohibited by section 21.5 of the Regulations, including employment practices when the contract covers a program set forth in Appendix B of the Regulations. (3) Solicitations for Subcontracts, Including Procurements of Materials and Equipment: in all solicitations either by competitive bidding or negotiation made by the contractor for work to be performed under a subcontract, including procurements of materials or leases of equipment, each potential subcontractor or supplier shall be notified by the contractor of the contractor's obligations J under this contract and the Regulations relative to nondiscrimination on the grounds of race, color, sex or national origin. (4) information and reports: The contractor shall provide ail information and reports required by the Regulations or directives issued pursuant thereto, and shall permit access to its books, records, accounts, other sources of Information, and its facilities as may be'determined by the Recipient or the Urban Mass Transportation Administration (UMTA) to be pertinent to ascertain "compliance with such Regulations, orders and instructions. Where any information is required or a contractor is in the exclusive possession of another who fails or refuses to furnish this information, the contractor shall so certify to the Recipient, or the Urban Mass Transportation Administration, as appropriate, and shall set forth what efforts it has made to obtain the information. UMTA C 9100.1A Attachment.2 2-8-85 Page 5 (App. A, Pg. 2) (5) Sanctions for Noncompliance: In the event of the contractor s noncompliance with the nondiscrimination provisions of this contract, the Recipient shall impose such contract sanctions as it or the Urban Mass,Transportation Administration may determine to be appropriate, including, but not limited to: (a) Withholding of payments to the contractor under the contract until the contractor complies, and/or (b) Cancellation, termination or suspension of the contract, in whole or in part. (6) Incorporation of Provisions: The contractor shall include the provisions of paragraphs (1) through (5) in every subcontract, including procurements of materials and leases of equipment, unless exempt by the regulations, or directives issued pursuant thereto. The contractor shall take such action with respect to any subcontract or procurement as the Recipient or the Urban Mass Transporation Administration may direct as a means of enforcing such provisions including sanctions for non-compliance: Provided, however, that, in the event a contractor becomes involved in, or is threatened with, litigation with a subcontractor or supplier as a result of such direction, the contractor may request the Recipient to enter into such litigation to protect the interests of the Recipient, and, in addition, the contractor may request the United States to enter into such litigation to protect the interests of the United States. 1 Attachment 2 Page 6 APPENDIX B UMTA C 9100.1A 2-8-85 A. The following clauses shall be included in any and all deeds effecting or recording the transfer of real property, structures or improvements thereon, or interest therein from the United States. (GRANTING CLAUSE) NOW, THEREFORE, the Department of Transportation, as authorized by law, and upon the condition that the Recipient .will accept title to the lands and maintain the project constructed thereon, in accordance with the Urban Mass Transportation Act of 1964, as amended, the Regulations for the Administration of Federal Urban glass Transportation Programs and the poiicies and procedures prescribed by the Urban Mass Transportation Administration of the Department of Transportation and, also in accordance with and in compliance with all requirements imposed by, with, and in compliance with all requirements imposed by or pursuant to Title 49, Code of Federal Regulations, Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Nondiscrimination in Federally -Assisted programs of the Department of Transportation (hereinafter referred to as the Regulations) pertaining to and effectuating the provisions of Title VI of the Civil Rights Act of 1964 (78 Stat. 252; 42 U.S.C. 2000d to 2000d-4), does hereby remise, release, quitciaim and convey unto the (Name of Recipient) all the right, title, and interest of the Department of Transportation in and to said lands described in Exhibit "A" attached hereto and made a part hereof. (HABENDUM CLAUSE) TO HAVE AND TO HOLD said lands and interests therein unto (Name of Recipient) and its successors forever, subject, however, to the covenants, conditions, restrictions and reservations herein contained as follows, which will remain in effect for the period during which the real property or structures are used for a purpose for which Federal financial assistance is extended or for another purpose involving the provision of similar services or benefits and shall be binding on the (Name of Recipient), its successors and assigns. -The (Name of Recipient), in consideration of the conveyance of said lands and Interests in lands, does hereby covenant and agree as a covenant running with the land for itself, its successors and assigns, that (1) no person shall on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be otherwise subjected to discrimination with regard to any facility located wholly or in part on, over or under such land hereby conveyed (,) (and)* (2) that the (Name of Recipient) shall use thelands and interests in lands so conveyed, in compliance with all requirements imposed or pursuant to Title 49, Code of Federal Regulations, Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Nondiscrimination * Reverter clause and related language to be used only when it is determined that such a clause is necessary in. order to effectuate the purposes of Title VI of the Civil Rights Act of 1964. UMTA C 9100.1A 2-8-85 Attachment 2 Page 7 (App. R, Pg.2) in Federally -Assisted Programs of the Department of Transportation - Effectuation of Title Vi of the Civil Rights Act of 1964, and as said Regulations may be amended(,) and (3) that in the event of breach of any of the above -mentioned nondiscrimination conditions, the Department shall have a right to re-enter said lands and facilities on said land, and the above described land and facilities shall thereon revert to and vest in and become the absolute property of the Department of Transportation and its assigns as such interest existed prior to this instruction.* * Reverter clause and related language to be used only when it is determined that such a clause is necessary in order to effectuate the purposes of Title Vi of the Civil Rights Act of 1964. Attachment 2 Page 8 APPENDIX C UMTA C 9100.1A 2-8-85 The following clauses shall be included in all deeds, licenses, leases, permits, or similar instruments entered into by the Recipient pursuant to the provisions of Assurance 10(a). The (grantee, licensee, lessee, permittee, etc., as appropriate) for himself, his heirs, personal representatives, successors in interest, and assigns, as a part of the consideration hereof, does hereby covenant and agree (in the case of deeds and leases add "as a covenant running with the land") that in the event facilities are constructed, maintained, or otherwise operated on the said property described in this (deed, license, lease, permit, etc.) for a purpose for which a Department of Transportation program or activity is extended or for another purpose involving the provision of similar services or benefits, the (grantee, licensee, lessee, permittee, etc.) shall maintain and operate such facilities and services in compliance with all other requirements imposed pursuant to Title 49, Code of Federal Regulations, Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Nondiscrimination in Federally -Assisted programs of the Department of Transportation - Effectuation of Title VI of the Civil Rights Act of 1964; and as said Regulations may be amended. (Include in licenses, leases, permits, etc)* That in the event of breach of any of the above nondiscrimination covenants, (Name' of Recipient) shall have the right to terminate the (license, lease, permit, etc.) and to re-enter and repossess said land and the facilities thereon, and hold the same as if said (license, lease, permit, etc.) had never been made or issued. (Include in deeds)* That in the event of breach of any of the above nondiscrimination covenants, (Name of Recipient) shall have the right to re-enter said lands and facilities thereon, and the above described lands and facilities shall thereupon revert to and vest in and become the absolute property of (Name of Recipient) pursuant to the provisions of Assurance 10(b). * Reverter clause and related language to be used only when it is determined that such a clause is necessary in order to effectuate the purposes of Title VI of the Civii Rights Act of 1964. k 1 UMTA C 9100.1A 2-8-85 Attachment Page 9 (App. C, Pg.2) The (grantee, licensee, lessee, permittee, etc., as appropriate) for himself, his personal representatives, successors in interest, and assigns, as a part of the consideration hereof, does hereby covenant and agree (in,the case of deeds, and leases, add "as a covenant running with the land") that (1) no,person on the ground of race, color, or national origin shall be excluded from participation in, denied the benefits of, or be otherwise subjected to discrimination in the use of said facilities, (2) that in the construction of any improvements on, over, or under such land and the furnishing of services thereon, no person' on the ground of race, color, or national origin shall be excluded from participation in, denied the benefits of, or otherwise be subjected to discrimination, and (3) that the (grantee, licensee, lessee, permittee, etc.) shall use the premises in compliance with all other requirements imposed by or pursuant to Title 49, Code of Federal Regulations, Department of Transportation, Subtitle A, Office of the Secretary, Part 21, Nondiscrimination in Federally -Assisted Programs of the Department of Transportation - Effectuation of Title VI of the Civil Rights Act of 1964), and as said Regulations may be amended. (Include in licenses, leases, permits, etc.)* That in the event of breach of any of the above nondiscrimination covenants, (Name of Recipient) shall have the right to terminate the (license, lease, permit, etc.) and to re-enter and repossess said land and the facilities thereon, and hold'the same as if said (license, lease, permit, etc.) had never been made or Issued. (Include in deeds)* That in the event of breach of any of the above nondiscrimination covenants, Mame of Recipient) shall have the right to re-enter said land and facilities thereon, and the above described lands and facilities shall thereupon revert to and vest Inland become the absolute property of (Name of Recipient) and its assigns. *Reverter clause and related language to be used only when it is determined that such a clause is necessary in order to effectuate the purpose of Title VI of the Civil Rights Act of 1964. DEPARTMENT OF TRANSPORTATION URBAN MASS TRANSPORTATION ADMINISTRATION NOTIFICATION OF GRANT APPROVAL (SECTIONS 3, S, 8, 9A AND/OR 9 OF THE URBAN MASS TRANSPORTATION ACT OF 1964, AS AMENDED, AND/OR TITLE 23 UNITED STATES CODE) Program No.: TX-05-4235 GRANTEE: City of Lubbock, Texas DESIGNATED RECIPIENT: city of Lubbock, Texas ESTIMATED TOTAL NET PROGRAM COST OF THE PROJECTS IN THIS PROGRAM: $1,672,440 MAXIMUM FEDERAL SHARE: $ 836,220 FINANCIAL DATA: (Section of the'Statute, Year, Amount, Percentage, Use) (See Attachment A and attached Project Budget) i -2- NOTIFICATION OF GRANT APPROVAL (CONTINUED) DATE OF SECTION 13(c) CERTIFICATION LETTER FROM THE DEPARTMENT OF LABOR: JUL 0 3 1986 PROGRAM DESCRIPTION: (See attached Program of Projects and/or Project Activities and applicable Data) (Note especially Sections 6 through 10 of Part I which establish various requirements for projects financed under various statutory authorities) AUG 2 2 1986 OBLIGATION DATE �l�J �/lJitvw REGIONAL ADMINIS TOR • t' ATTACHMENT A "FOR UMTA USE ONLY" Project Number: TX -05 -4235 Grantee Vendor Number: 1993 (Check One) Obligated Grant Executed Grant Is this grant -on a letter of credit? Yes X No If yes, provide number. 69 -08 - 6022 If no, is one currently being established for this grant? Yes No Sources of Federal Financial Assistance for this grant: Previous This FFY APPN SEC LIN TA' FPC Obligation Action Total 83 13 05 51 1 -04 -0 $836,220 $836,220 APPROVED PROJECT BUDGET (OPERATING) PROJECT: TX-05-4235 DATE: AUG 2 2 1986 GRANTEE: City of Lubbock, Texas PROJECT PERIOD: October 1, 1986, through September 30, 1987 Project Budget Line Item Code Description Amount 30.05.00 Eligible Operating Expenses $2,120,050 10.78.00 Revenues Applied to Eligible Operating Expenses Not Includable As Local Share $447,610 Net Project Cost $1,672,440 Local Share $836,220 Deficit Before Applying UMTA Funds $836,220 UMTA Operating Assistance $836,220 Identification of Sources of Federal Financial Assistance: Description FFY APPN SEC LIM TA FPC Amount Urban formula, Tier I 83 13 05 51 1 04 $836,220 Total $836,220 UNITED STATES OF AMERICA DEPARTMENT OF TRANSPORTATION URBAN MASS TRANSPORTATION ADMINISTRATION GRANT SECTIONS 3, 5, 8, 9A AND/OR 9 OF THE URBAN MASS TRANSPORTATION ACT OF 1964, AS AMENDED, 49 U.S.C. § 1601 et seq AND/OR TITLE 23 UNITED STATES CODE PART I THIS GRANT, effective on the date specified in the Notification of Grant Approval is entered into by and between the United States of America ("Government") and the Grantee named in the Notification of Grant Approval. In consideration of the mutual covenants, promises, and representations herein, the parties hereto agree as follows: Sec. 1. Purpose of Grant - The purpose of this Grant is to provide for the undertaking of an urban mass transportation planning, acquisition, construction, improvement, and/or operating program ("Program") as authorized under the Urban Mass Transportation Act of 1964, as amended, and/or amendments to the Federal Highway Act with Federal financial assistance to the Grantee in the form of a grant ("Grant"), for purposes set forth in the Program Description in the Notification of Grant Approval that are in accordance with the Act(s) and any implementing regulations or guidelines; and to state the terms and conditions upon which such assistance will be provided and the manner in which the Projects in the Program will be undertaken and the Program planning studies, facilities/equipment will be used. Sec. 2. The Program - The Grantee agrees to undertake and complete the Program, and to provide for the use of the Program facilities/equipment, substantially as described in its Application, incorporated herein by reference, filed with and approved by the Government, and in accordance with the terms and conditions of this Grant. The "Program Description" in the Notification of Grant Approval describes the Program to be funded under this Grant. Sec. 3. Federal Assistance - a. In order to assist the Grantee in financing that portion of the total cost of the Projects in the Program which the Department of Transportation (DOT) has determined cannot reasonably be financed from revenues of the public transportation system in which the Program facilities/equipment are to be used ("Net Project Cost"), such Net Project Cost total of the Projects financed in this Program being estimated to be that amount stated in the Notification of Grant Approval, the Government will make a Grant in an amount equal to either (1) the maximum amount Page 1 Form UMTA F 2018 04/01/86 permitted by Federal law and regulations, or (2) in the amount designated as Maximum Federal Share in the Notification of Grant Approval, or (3) the amount designated as Maximum Percentage(s) of Federal Participation as set forth in the Notification of Grant Approval, whichever is the least. With respect to operating assistance projects financed under Sections 5 or 9 of the Urban Mass Transportation Act of 1964, as amended, notwithstanding any provision to the contrary in Section 105.c. of Part II, Form F 5H, Rev. 8/15/85, entitled Urban. Mass Transportation Agreement, the Federal financial assistance provided under this Grant may be applied to the Net Project Costs incurred for operations by the Grantee in the Project Time Period for operations projects designated in the list of Program of Projects attached to the Notification of Grant Approval. b. For purposes of this Agreement, "Net Project Cost" must be in conformance with the requirements of Office of Management and Budget Circular (OMB Circular) A-87, "Cost Principles Applicable to Grants and Contracts with State and Local Governments," and with any guidelines or regulations issued by the Government. c. The obligation of the Government to make Federal Grant payments shall not exceed the amount provided in the Program Budget. Sec. 4. Local Share - The Grantee agrees that it will provide from sources other than (a) Federal funds (except as may otherwise be authorized by Federal statute), (b) receipts from the use of the Program facilities/ equipment, or (c) revenues of the public transportation system in which such facilites/equipiment are used, funds in an amount sufficient, together with the Grant, to assure payment of the actual Project Cost of each Project in the Program. The Grantee further agrees that no refund or reduction of the amount so provided below the level of Federal assistance will be made at any time, unless there is at the same time a refund to the Goverment of a proportional amount of the Grant. The Grantee's obligation to provide the Local Share is calculated on a Project -by -Project basis for each Project in the Program. Sec. 5. Labor Protection - The Grantee agrees to undertake, carry out, and complete the Program under the terms and conditions determined by the Secretary of Labor to be fair and equitable to protect the interests of employees affected by the Program and meeting the requirements of section 13(c) of the Act, 49 U.S.C. § 1609(c), and Department of Labor regulations at 29 C.F.R. Part 215. These terms and conditions are identified in the letter of certification to the Goverrment fran the Department of Labor on the date, set forth in the Notification of Grant Approval, which letter and any documents cited in that letter are incorporated into this Grant by reference. The Grant is subject to the conditions stated in the Department of Labor letter. Page 2 Sec. 6. Special Requirements for Section 5 Projects. - a. Fares and Services - The Grantee assures that for any public mass transportation system receiving financial assistance under this Project, no fare change or substantial change in service as defined in 49 C.F.R. 635.7 will be instituted, except: (1) after a public hearing is held or an opportunity for such hearing is afforded, after adequate public notice; (2) after proper consideration to the views and comments expressed in such hearing is given; and (3) after consideration of the effect on energy conservation, and the economic, environmental, and social impact of the change in the fare or service is given. b. Half Fare Requirement - The Grantee 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 will not exceed one-half of the rates generally applicable to other persons at peak hours, whether the operation of such facilities and equipmnt is by the applicant or is by another entity under lease or otherwise. Sec. 7. Special Requirement for Section 8 Projects. Planning - The transportation plans and programs that are developed as part of this Project shall be formulated on the basis of transportation needs with due consideration to comprehensive long-range land use plans, developed objectives, and overall social, economic, environmmntal, system performance, and energy conservation goals and objectives, and with due consideration to their probable effect on the future development of the urban area described in the Application. The planning process shall include an analysis of alternative transportation system management and investment strategies to make more efficient use of existing transportation resources and to meet needs for new transportation facilities. The process shall consider all modes of transportation and shall be continuing, cooperative, and comprehensive to the degree appropriate based on the complexity of the transportation problems. Furthermore, the plans and programs that are developed as part of this Project shall encourage to the maximum extent feasible the participation of private enterprise. vLere facilities and equipment are to be acquired which are already being used in mass transportation service in the urban area, the program must provide that they shall be so improved that they will better serve the transportation needs of the area. Page 3 Sec. 8. Special Requirements for Section 9A and 9 Projects. The following requirements are applicable to projects financed under Section 9 of the Urban Mass Transportation Act of 1964, as amended: a. Fares and Services - The Grantee agrees that it will utilize its administrative process to solicit -and consider public ccm-nent prior to 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 Grantee to have independently conducted, reviews and audits as the Government may deem appropriate pursuant to the provisions of section 9(g) of the Act and any regulations or guidelines that may be issued by the Government. c. Half -Fare Requirement - The Grantee 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 will not exceed one-half of the rates generally applicable to other persons at peak hours, whether the operation of such facilities and equipment is by the applicant or is by another entity under lease or otherwise. The Grantee 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. False or Fraudulent Statements - The Grantee takes notice pursuant to section 9 h) of the Act, that the provisions of section 1001 of title 18, United States Code are applicable to any certifications or submissions under section 9 of the Act. The Government reserves the right to exercise any remedies set forth in section 9(h) of the Act should a violation occur. Sec. 9. Pro- ect ial Condition to Financing Section 3 or 9A Payments to the Grantee under Section „3 or 9A of the Act shall be subject to the availability of sufficient funds in the Mass Transit.Account of the Highway Trust Fund and an adequate liquidating cash appropriation enacted into law. Page 4 Sec. 10. Special Conditions Applicable to Part II. The following special conditions apply to this project: a. To implement the provisions of Public Law 99-145, Section 1241, Nov. 8, 1985, Part II, Section 112.a. (10) and (11) are amended to read as follows: (10) OVERTIME REQUIR124ENTS. NO CONTRACTOR OR SUBCONTRACTOR CONTRACTING FOR ANY PART OF THE CONTRACT WORK WHICH MAY REQUIRE OR INVOLVE THE EMPLOYMENT OF LABORERS OR MECHANICS SHALL RFIQUIRE OR PERMIT ANY SUCH LABORER OR MECHANIC IN ANY WORKWEEK IN WHICH HE OR SHE IS EMPLO}.'ED ON SUCH WORK TO WORK IN EXCESS OF FORTY HOURS IN SUCH WORKWEEK 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 WORKWEEK. (11) VIOLATION; LIABILITY FOR UNPAID WAGES; LIQUIDATED DAMAGES. IN THE EVENT OF ANY VIOLATION OF THE CLAUSE SET FORTH IN SUBPARAGRAPH (b)(1) 29 CFR § 5.5, 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 WDRK DONE UNDER CONTRACT FOR THE DISTRICT OF CDLUMBIA OR A TERRITORY, TO SUCH DISTRICT OR TO SUCH TERRITORY), FOR LIQUIDATED DAMAGES. SUCH LIQUIDATED DAMAGES SHALL BE COMPUTED WITH RESPECT TO EACH INDIVIDUAL LABORER OR MECHANIC, INCLUDING WATCHMEN AND GUARDS, EMPLOYED IN VIOLATION OF THE CLAUSE SET FORTH IN SUBPARAGRAPH (b)(1) OF 29 CFR § 5.5 IN THE SUM OF $10 FOR EACH CALENDAR DAY ON WHICH SUCH INDIVIDUAL WAS RDOUIRED OR PERMITTED TO WORK Iiq EXCESS OF THE STANDARD WDRKWE K OF FORTY HOURS WITHOUT PAYMENT OF THE OVERTIME WAGES REQUIRED BY THE CLAUSE SET FORTH IN SUBPARAGRAPH (b)(1) OF CFR § 5.5. b. Part II, Section 112.c. is amended to read as follows: State and Local Government Employees. The provisions of the Fair Labor Standards Act, as amended by Public Law 99-150, November 13, 1985, or as fray be amended further, are applicable to State and local government employees that participate in the UMTA assisted project with the Recipient. c. Part II, Section 113.g. is amended to read as follows: In the event that the proposed project will cause adverse environmental effects, the Recipient will take all reasonable steps to minimize such effects pursuant to 49 U.S.C. §1610, other applicable statutory requirements, and the procedures set forth in 23 CFR 771. The Recipient shall undertake all environmental mitigation measures, historic preservation or parkland mitigation measures that may be identified in applicable environmental documents such as environmental assessments, environmental impact statements, memoranda of agreements, Section 4(f) statements, 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 Grant Agreement by reference. Such mitigation measures may not be modified or withdrawn without the express written approval of the Government. Page 5 Sec. 11. The Grant - This Grant consists of the Notification of Grant Approval; this Part I, Form F 2018, 04/01/86, entitled Urban Mass Transportation Administration Grant; and Part II, Form UMTA F 5H, Rev. 8/15/85, entitled Urban Mass Transportation Agreement, Terms and Conditions. Should the Grant award letter include special conditions for. Projects in this Program, that letter is incorporated herein by reference and made part of this Grant. Amendments to any of these documents shall require a formal amendment to this Grant, except that reallocations of funds among budget items or fiscal years which reallocations do not increase the total amount of the Federal Grant may be made in accordance with all UMTA circulars and regulations. Amendments of any type that pertain to funding shall require the issuance of a new Program Budget. Sec. 12. Execution of Grant This Grant may be simultaneously executed in several counterparts, each of which counterparts shall be deemed to be an original having identical legal effect. When the Notification of Grant Approval is signed by the Government, this Grant should be executed by the Grantee within ninety (90) days after the Obligation Date. The Government may withdraw its obligation hereunder if the Grant is not executed within the above ninety -day period. The effective date of the Grant shall be the Obligation Date. The effective date of any Amendment shall be the Obligation Date for that Amendment. The Grantee does hereby ratify and adopt all statements, representations, warranties, covenants, and materials submitted by it, and does hereby accept the Government's award of financial assistance and agrees to all of the terra and conditions of this Grant. Executed this T tL day of 19yb ATTES'P - BY: -� �Mew Ranette Boyd B. C. McMinn City Secretary Mayor, City of Lubbock City of Lubbock TITLE AND OICANIZATIOU TITLE AND ORGANIZATION ATTEST: Approved, as to Content: �x_ do L. I"rilson Citibus General. Planagex Approved as to "For Page 6 \"N J. �\ th. Fullingrri` �+Assi ant City Attorney Certificate of Grantee's Attorney I, J. Worth Fullingim , acting as Attorney for the Grantee do hereby certify that I have examined this Grant and have ascertained that execution of the Grant was authorized on the date of May 8, 1986 • A copy of this authorization is attached or has previously been submitted toUMTA. The execution of this Grant and the proceedings taken by the Grantee are in all respects due and proper and in accordance with applicable State and local law. I further certify that, in my cpinion, said Grant constitutes a legal and binding obligation of the Grantee in accordance with the terms thereof and certify that to the best of my knowledge there is no legislation or litigation pending or threatened which might affect the performance of the Project in accordance with the Kof this Grant. Dated this day of� 19 r 1�u . MAUM J. Worth Fullingim Assistant City Attorney City of Lubbock TITLE AND OFC' IZATION Page 7 UNITED STATES OF AMERICA DEPARTMENT OF TRANSPORTATION URBAN MASS TRANSPORTATION ADMINISTRATION WASHINGTON, D.C. 20590 a %CA 9� Z STATES C ''r URBAN MASS TRANSPORTATION AGREEMENT PART II TERMS AND CONDITIONS for Projects under section 3, 4(i), 5, 6, 8, 9, 9A, 18, and 20 of the Urban Mass Transportation Act of 1964, as amended, 49 U.S.C. § 1601 et seq.; ;1 for Mass Transportation Projects under the Federal -Aid Highway Act of 1973, as amended, title 23 U.S.C. (Highways); or for section 175 of the Clean Air Act Amendments of 1977, 42 U.S.C. § 7505. Form UMTA F 5H Rev. 8/15/85 TABLE OF CONTENTS Section 101. Definitions..... ..... ...........................1 Section 102. Accomplishment of the Project ........................2 a. . ..... .. ... General Requirements.. .... .. ........2 b. Pursuant to Federal, State and Local Law ........ 2 c. Funds of the Recipient..... ........ ....2 d. Submission of Proceedings, Contracts, and Other. Documents.. ... ... ..... .. ....-....2 e. Changed Conditions Affecting Performance ........ 3 f. No Government Obligations to Third Parties ...... 3 g. Land Acquisition Policy... ....................3 Section 103. The Project Budget...................................3 Section 104. Accounting Records...................................3 a. Project Accounts.... .... .... .... .........3 b. Funds Received or Made Available for the........ Project.. ...... ............................3 c. Allowable Costs.. .. ... ...................3 d. Documentation of Project Costs..................4 e. Checks, Orders and Vouchers.....................4 f. Audit and Inspection ............................4 Section 105. Requisitions and Payments......... ......... .5 a. Request for Payment by the Recipient ............ 5 b. Payment by the Government.......................5 c. Disallowed Costs.. .. .... ... ... .....6 .... .... ... . . d. Prohibition Against Use of Federal Funds for.... Lobbying......................................6 e. Letter of Credit................................6 f. Interest on Late -Payments ............. ........7 g. Deobligation of Funds... .............. .........7 Section 106. Right of Government to Terminate.. .. .........7 Section 107. Project Completion, Settlement and Close -Out ......... 7 Section 108. Use of Project Facilities/Equipment..................8 Section 109. Encumbrance of Project Property... � ..... ...........9 Section 110. Restrictions, Prohibitions, Controls, and Labor ..... Provisions .. . .............. ....................:9 a. Equal Employment Opportunity... ...............9 b. Small, Minority and Women's Business............ Enterprise.. ... ........ ...10 �Rights �Act c. Title VI - Civil of�1964............ 11 d. Competition in Procurement .....................11 e. Force Account.. � .. ...... .... ..........12 f. Settlement of Third Party Contract Disputes.... . orBreaches....................................12 g. Ethics.... ....... .... ... .............12 h. Interest of Members of or Delegates to......... Congress.....................................13 Section 111. Construction Contracts..............................13 a. Nondiscrimination..............................13 b. Specifications........ .......................15 c. ... . . . ....... .. ... Notice.. ........ .. .......20 d. Accommodations for the Physically Handicapped..22 e. Contract Security.... .............22 f. Insurance During Construction.................22 g. Signs ...................... .22 h. Safety... ................... .. .. .. .22 i. Liquidated Damages ................. .........22 Section 112. Labor Provisions...... ...... .... ......22 a. Construction Contracts.. ........ ..22 b. Nonconstruction Contracts. ... ..........29 c. State and Local Government Employees .......... 29 Section 113. Environmental, Resource, and Energy Protection and... Conservation Requirements ..............I............30 a. Environmental Policy.......... ... .........30 b. Compliance with Environmental Standards ....... 30 c. Air Pollution.... .. ... ... .30 d. Use of Public Lands..... .. ....... ...30 e. Historic Preservation.. ...... ........30 f. Energy Conservation..... .. .31 g. Mitigation of Adverse Environmental Effects ... 31 h. Use of Fly Ash in Cement and Concrete ......... 31 Section 114. Patent Rights........................................31 Section 115. Rights in Data ................................... ..32 Section 116. Cargo Preference - Use of United States -Flag......... Vessels...... .33 Section 117. Buy America...... .. ... .. . ... ....34 Section 118. Charter and School Bus Operations.................... 34 a. Charter Bus....... ..... ........34 b. School Bus .............. ......... .34 ........,.. . Section 119. Nondiscrimination on the Basis.of Handicap ........... 34 Section 120. Relocation and Land Acquisition .............. . ...34 Section 121. Flood Hazards....... . ..34 Section 122. Suspension and Debarment.... ... .35 Section 123. Privacy........... .. .... .35 Section 124. Miscellaneous ................................ .36 a. Bonus or Commission... . .36 b. State and Territorial Law ................. . .36 c. Records ..................... .... .36 d. Severability.................................. 36 ii k DEPARTMENT OF TRANSPORTATION URBAN MASS TRANSPORTATION ADMINISTRATION AGREEMENT PART II - TERMS AND CONDITIONS Constituting part of the AGREEMENT providing for Federal financial assistance under the provisions of the Urban Mass Transportation Act of 1964, as amended, and/or the Federal -Aid Highway Act of 1973, and/or the Clean Air Act Amendments of 1977. Section 101. Definitions. As used in this Agreement: a. Agreement means any Grant Agreement or Cooperative Agreement. b. Application means the signed and dated proposal as may be amended for Federal financial assistance for the Project, together with all explanatory, supporting, and supplementary documents heretofore filed with the Government (UMTA) by or on behalf of the Recipient, which has been accepted and approved by the Government (UMTA). 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 act pursuant to this Agreement which could not be performed or omitted without such permission. An approval, authorization, concurrence, or waiver permitting the performance or omission of a specific act shall. not constitute permission to perform or omit similar acts unless such broad permission is clearly stated. Oral permission or interpretations shall have no legal force or effect. d. UMTA Directive includes the most recent circulars, notices and orders which present information about the UMTA programs application processing procedures, and guidance for administering approved projects; there are also Department of Transportation (DOT) directives that may be applicable to the Project. e. Government means the United States of America, or its cognizant agency, the Department of Transportation (DOT) or its operating administration, the Urban Mass Transportation Administration (UMTA), used hereafter interchangeably. f. Mass Transportation includes public transportation and means transportation by bus, rail or other conveyance, either publicly or privately owned, which provides to the public general or special transportation service (but not including school buses, charter or sightseeing service) to the public on a regular and continuing basis. g. Project means the task or set of tasks provided for in the Project Budget which the Recipient undertakes to perform pursuant to the Agreement with the Government. In the case of Federal financial assistance under Section 9 or 9A Page 1 of. the Urban Mass Transportation Act of 1964, as amended, "Project" includes "Program" and "each Project within the Program" as may be appropriate. h. Project Budget means the most recently dated statement, approved by the Government, of —the estimated total cost of the Project, the items to be deducted from such total in order to calculate the estimated net project cost, the maximum amount of the Federal assistance for which the Recipient is currently eligible, the specific items (including contingencies and relocation) for which the total may be spent, and the estimated cost of each of such items. i. Recipient means any entity that receives Federal financial assistance from UMTA for the accomplishment of the Project. The term "Recipient" includes "Grantee" and any entity to which Federal funds have been passed through for the accomplishment of the Project . j. Secretary means Secretary of the Department of Transportation or his duly authors e designee. k. UMTA means Urban Mass Transportation Administration of the U.S. Department of Transportation. Section 102. Accomplishment of the Project. a. General Requirements. The Recipient shall commence, carry on, and complete the Project with all practicable dispatch, in a sound, economical, and efficient manner, and in accordance with the provisions hereof, the Application, and all applicable laws, regulations, UMTA directives and published policies. b. Pursuant to Federal, State, and Local Law. In performance of its obligations pursuant to this Agreement, the Recipient and its contractors shall comply with all applicable provisions of Federal, State, and local law. All limits or standards set forth in this Agreement to be observed in the , performance of the Project are minimum requirements. If there is a conflict between Federal and State requirements, the Recipient shall inform the Government in order that an appropriate resolution may be arranged. The Recipient agrees further that no Federal funds may be used for the payment of ordinary governmental or nonproject operating expenses. c. Funds of the Recipient. The Recipient shall initiate and prosecute to completion all proceedings necessary to enable the Recipient to provide its share of the Project costs at or prior to the time that such funds are needed to meet Project costs. d. Submission of Proceedings, Contracts and Other Documents. The Recipient shall submit to the Government such data, reports, records, contracts, and other documents relating to the Project as the Government may require. The Recipient shall retain intact, for three years following Project close=out, all Project documents, financial records, and supporting documents. Page 2 e."�Changed Conditions Affecting Performance. The Recipient shall immediately notity UMIA any change in conditions or local law, or of any other event, which may significantly affect its ability to perform the Project in accordance with the provisions of this Agreement. f. No Government Obligations to Third Parties. The Government shall not be subject to any obligations or liabilities by contractors of the Recipient or their subcontractors or any other person not a party to this Agreement in connection with the performance of this Project without its express, written consent and notwithstanding its concurrence in or approval of the award of any contract or subcontract or the solicitation thereof. g. Land Acquisition Policy. Any acquisition of land for use in connection with the Project must conform to the policies and procedures set forth in 49 C.F.R. Part 25 and applicable circulars. Section 103. The Project Budget. A Project Budget shall be prepared and maintained by the Recipient. The Recipient shall carry out the Project and shall incur obligations against and make disbursements of Project Funds only in conformity with the latest approved budget for the Project. The Project Budget may be revised, from time to time, in accordance with Federal guidelines. Section 104. Accounting Records. a. Project Accounts. The Recipient shall establish and maintain as a separate set o accounts, or within the framework of an established accounting system, accounts for the Project in the manner consistent with Office of Management and Budget (OMB) Circular A-102, as amended, or OMB Circular A-110, as may be appropriate. b. Funds Received or Made Available for the Project. In accordance with the provisions of OMB Circular A-102, as amended, or OMB Circular A-110, as may be appropriate, the Recipient shall record in the Project Account, and deposit in a bank or trust company which is a member of the Federal Deposit Insurance Corporation (FDIC), 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"). Any balances exceeding the FDIC coverage must be collaterally secured as provided in 12 U.S.C. § 265 and implementing regulations or in applicable Federal procedures. A separate bank account may be required when draw downs are made by letter of credit. c. Allowable Costs. Expenditures made by the Recipient shall be reimbursable as allowable costs to the extent that they meet all of the requirements set forth below. They must: (1) Be made in conformance with the. Project Description and the Project Budget and all other provisions of this Agreement; (2) Be necessary in order to accomplish the Project; Page 3 5 (3) Be reasonable 11n amount.for,the goods or services purchased; (4) Be actual net. costs to the Recipient (i.e., the price paid menus 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 as defined in OMB`Circular A-102 or A-110). (5) Be incurred (and be for work performed) after the date of'this Agreement, unless specific authorization from the Government (UMTA) to the contrary is received; (6) Be in conformance with the standards for allowability of costs set' forth,in Office of Management and Budget (OMB) Circular A-87, Revised, and with any guidelines or regulations issued by UMTA; in the case of Projects with, educational institutions, the standards for al l owabi l i ty' of costs set forth in Office of Management, and Budget (OMB) Circular A 21, Revised, rather than the standards of OMB Circular A-87, Revised, shall apply; and in the case of nonprofit organizations, the standards for allowability of costs set forth in Office of Management and Budget (OMB) Circular A-122, Revised, rather than the standards of OMB Circular A-87, Revised, shall apply. (7) Be satisfactorily documented; and (8). Be treated uniformly and consistently under accounting principles and procedures approved or prescribed by the Government for the Recipient; and those approved or prescribed by the Recipient for its contractors. d. Documentation of Project Costs. All costs charged to the Project, inclu ing any approve services contributed by the Recipient or'others,`shal1 be supported by properly executed payrolls, time records, invoices, contracts, or vouchers evidencing in detail, the nature and propriety of the charges. This provision does not apply to income of the Recipient that is determined to be private. e Checks, Orders, and Vouchers. Any check or order drawn by the Recipient with respect to any item that is or will be chargeable against the Project Account will be drawn only in accordance with a properly signed voucher then on file in the office of the Recipient stating in proper detail the purpose for which such check or order is drawn. All checks, payrolls, invoices., 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 and apart from all other such documents. f,, Audit and Inspection. The Recipient shall permit the Secretary and the Comptroller General of the. United States, or any of their duly authorized, representatives to inspect all work, materials, payrolls, and other,data`and records with regard to the Project, and to audit the books, records, and accounts of the Recipient and its contractors with regard to the Project. In the case of contracts awarded under other than competitive bidding procedures as 'defined by`the.Se,cretary, the Recipient shall require those contractors.- to permit; the Secretary and the Comptroller General of the United States; or any of their duly authorized representatives to inspect all work, material's, Page 4 payrolls, and other data and records with regard to the Project, and to audit the books, records, and accounts pertaining to such contracts with regard to the Project. A Recipient that is a State or local government or Indian tribal government. shall be responsible for meeting the audit requirements.of OMB Circular A-128,' or any revision or supplement thereto. Pursuant to Departmental criteria, the Government (UMTA) may waive the OMB Circular A-128 audit requirement or substitute a requirement for a grant audit performed in accordance with the Comptroller General's standards. Section 105. Requisitions and Payments. a. Requests for Payment by the Reci ent.The Recipient may make requests for payment of the Federal share of allowable costs, and the Government (UMTA). will honor such requests in the manner set forth in this section. Payments made, to Recipients must comply with 31 C.F.R. Part 205. In order to receive Federal assistance payments, the Recipient must: (1) Completely execute and submit to the Government (UMTA) the information required by Standard Form 270; (2) Submit to the Government (UMTA) an explanation of the purposes for which costs have been incurred to date or are reasonably expected to be incurred within the requisition period (not more than 30 days after the date of submission); (3) Demonstrate or certify that it has supplied local funds adequate, when combined with the Federal payments, to cover all costs to be incurred to the end of the requisition period; (4) Have submitted to the Government (UMTA) all financial and progress' reports required to date under this Agreement; and (5) Identify the source(s) of financial assistance provided under this Project from which the payment is to be derived. b. Payment by the Government. Upon receipt of the requisition and the accompanying information in satisfactory form, the Government will process the G requisition if the Recipient is complying with its obligations pursuant to the Agreement, has satisfied the Government of its need for the Federal funds requested during the requisition period, and is making adequate progress towards the timely completion of the Project. If all of these circumstances are found to exist, 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 assistance payable through the fiscal year in which the requisition is submitted as stated in the Project Budget. However, reimbursement of any cost pursuant to this section shall not constitute a final determination by the Government of the allowability of such cost and shall.not constitute a waiver of any violation of the terms of this Agreement committed by the Recipient. The Government will make a final determination as to allowability only after final audit of the Project has been conducted. `In the event that the Government determines that the Recipient is not currently Page 5 _ r eligible to receive any or all of the Federal funds requested, it shall promptly notify the Recipient stating the reasons for such determination. Unless prohibited by applicable law, the Government reserves the right to offset any Federal assistance funds to be made available under,this Project as may be necessary to satisfy any monetary claims that the Government may have outstanding against the Recipient. c. Disallowed Costs. In determining the amount of the Federal assistance that the Fe era ,Government will provide, the Government will exclude all Project costs incurred by the Recipient prior to the date of this Agreement, or prior to the date of the approved budget for the Project, whichever is earlier, unless an authorized representative of the Government advises in writing to the contrary; any costs incurred by the Recipient which are not provided for in the latest approved budget for the Project; and any costs attributable to goods or services received under a contract or other arrangement which has not been concurred in or approved in writing by the Government (UMTA). Exceptions to the above statement on disallowed costs are contained in the External Operating Manual or in other written Federal (UMTA) guidance. d. Prohibition Against Use of Federal Funds for Lobbying. The Recipient or any subrecipient shall not use Federa assistance funds for publicity or propaganda purposes designed to support or defeat legislation pending before Congress. e. Letter of Credit. Should a letter of credit be issued to the Recipient, the following terms and conditions, in conformance with 31 C.F.R. Part 205, are applicable: (1) The Recipient shall initiate cash draw downs only when actually needed.for Project disbursements. (2) The Recipient shall report its cash disbursements and balances in a timely manner as required by the Government. (3) The Recipient shall provide for effective control and accountability for all Project funds in accordance with any requirements and procedures issued by the Government for use of the letter of credit. (4) The Recipient shall impose on its subrecipients all the requirements of Section 105.e.(1), (2), and (3) of this Part II as applicable. (5) The amount authorized on a letter of credit may include cash requirements for projects not yet obligated. Accordingly, this does not always represent an amount legally obligated by UMTA. In no instance may funds be drawn down for a project in an amount that would be in excess of the sum obligated by UMTA for a particular project. Therefore, the certifying statement on the SF 1193A, Letter of Credit, is not relevant if the amount authorized on the letter of credit exceeds the amount_ obligated. Page 6 (6) Should the Recipient fail to adhere to the requirements of Section 105.e.(1), (2), (3) (4), or (5) of this Part II, the Government may revoke the unobligated portion of the letter of credit. (7) Section 105.a., b., and c. of this Part II remain effective to the extent that they do not conflict with the provisions of section 105.e. f. Interest. The following requirements apply to the Recipient: (1) Any interest earned on Federal funds by the Recipient must be identified and remitted to the Government, except as provided by section 203 of the Intergovernmental Cooperation Act of 1968, 42 U.S.C. § 4213. (2) Upon notice by the Government to the Recipient of specific amounts due the Government, the Recipient shall promptly remit any excess payment of amounts or disallowed costs to the Government (UMTA). Interest may be assessed from the time of notice and charged for any amounts due to the Government that are not paid as set forth in the Treasury Fiscal Requirements Manual. g. Deobligation of Funds. The Government reserves the right to deobligate unspent Federal un s prior to project closeout. Section 106. Right of Government to Terminate. Upon written notice to the Recipient, the Government reserves the right to suspend or terminate all or part of the financial assistance provided herein if the Recipient is, or has been, in violation of the terms of this Agreement, or if the Government determines that the purposes of the Act would not be adequately served by continuation of Federal financial assistance for the Project. Any failure to make progress or other violation of the Agreement which significantly endangers substantial performance of the Project within a reasonable time shall be deemed to be a breach of the terms of this Agreement. Termination of any part of the financial assistance will not invalidate obligations properly incurred by the Recipient and concurred in by the Government (UMTA) prior to the date of termination, to the extent those obligations are noncancellable. The acceptance of a remittance by the Government of any or all Project funds previously received by the Recipient or the closing out of Federal financial participation in the Project shall not constitute a waiver of any claim that the Government may otherwise have arising out of this Agreement. Section 107. Project Completion, Settlement, and Close-out. Upon successful completion of the Project or upon termination by the Government, the Recipient shall, within 90 days of the completion date of the Project, submit a final Financial Status Report (Standard Form 269), a certification or summary of Project expenses, and third party audit reports, when applicable. Any Recipient covered by OMB Circular A-102 shall undertake the necessary audits as required by OMB Circular A-128. With respect to any Recipient not covered by OMB Circular A-102, upon receipt of this information, the Government (UMTA) or an agency designated by the Government (UMTA) will perform a final audit of the Project to determine the allowability of costs incurred, and will make Page 7 settlement of the Federal grant described in Part I of this Agreement. If- UMTA has made payments to the Recipient in excess of the total amount of such Federal assistance, the Recipient shall promptly remit to the Government (UMTA) such excess and interest as may be required by section 105.e. and f. Project close-out occurs when the Government notifies the Recipient and forwards the final grant payment or when an appropriate refund of Federal grant funds has been received from the Recipient and acknowledged by the Government. Close-out shall not invalidate any continuing obligations imposed on the Recipient by this Agreement or contained in the final notification or acknowledgment from the Government. Section 108. Use of Project Facilities/Equipment. The following conditions are applicable to capital facilities and equipment financed under this Agreement: a. The Recipient agrees to observe the property management standards as set forth in OMB Circular A-102, Attachment N, or OMB Circular A-110, Attachment N, as appropriate, as now or hereafter amended, and any guidelines or regulations that the Government may issue. Exceptions to the requirements of Attachment N must be specifically approved by the Government. The Government reserves the right to require the Recipient to transfer title to any personal property financed with Federal assistance funds made available under this Agreement in accordance with Attachment N to OMB Circular A-102 or A-110, as may be appropriate. The Government also reserves the right to direct the disposition of real or personal property financed with Federal assistance funds made available under this Agreement in accordance with Attachment N to OMB Circular A-102 or A-110, as may be appropriate. b. The Recipient agrees to maintain the project property in good operating order, and in accordance with any guidelines, directives, or regulations that UMTA may issue. If, during the period, any Project facilities/equipment are not used in mass transportation service, whether by planned withdrawal, misuse or casualty loss, the Recipient shall immediately notify the Government. Unless otherwise approved by the Government, the Recipient shall remit to the Government a proportional amount of the fair market value, if any, of the property, which value shall be determined on the basis of the ratio of the Federal assistance awarded by the Government to the actual cost of the Project. Unless otherwise required by the Government, the following guidelines shall be observed in determining fair market value: In the case of planned withdrawal, fair market value shall be deemed to be the value of the property as determined by competent appraisal at the time of such withdrawal from use or the net proceeds from public sale. Irrespective of coverage by insurance, unless otherwise approved in writing by UMTA, in the event of loss or damage to project property, whether by casualty or fire, the fair market value will be the value of the property immediately before the casualty or fire. Unless otherwise approved by the Government, in the event of loss due to casualty or fire, straight line depreciation of the asset, based on the industry standard for a useful life, shall be considered fair market value. In unusual circumstances, the Government or the Recipient may request another reasonable method of determining fair market value, including butnotlimited to accelerated depreciation comparable sales, or established market values. Page 8 In`'determining whether to approve an alternate method, the Government may consider action taken, omission made, or unfortunate occurrence suffered by the Recipient with respect to the preservation or conservation of the value of the facilities or equipment lost or destroyed in the casualty or fire. c. The Recipient further agrees that the Project facilities/equipment shall be used for the provision of mass transportation service within the area and in the manner described in the Project Description. The Recipient shall keep satisfactory records with regard to the use of the property and submit to the Government upon request such information as is required in order to assure compliance with this Section and shall immediately notify the Government in all cases in which Project facilities/equipment are used in a manner substantially different from that described in the Project Description. The Recipient shall obtain Government concurrence before undertaking any transfer of title, lease, encumbrance, or alienation of property financed with Government assistance. The Government reserves the right to require the Recipient to restore project property or pay for damage to project property as a result of abuse or misuse of such property with the Recipient's knowledge and consent. Section 109. Encumbrance of Project Property. The Recipient shall not execute any lease, pledge, mortgage, lien, or other contract (including a grant anticipation note or "Safe Harbor Lease" under section 168(g)(8) of the Internal Revenue Code of 1954) touching or affecting the Federal interest in any Project facilities or equipment, nor shall it obligate itself in any other manner, with any third party with respect to Project facilities or equipment, unless such lease, pledge, mortgage, lien, contract, or other obligation is expressly authorized in writing by the Government; nor shall the Recipient, by any act or omission of any kind, adversely affect the Federal interest or impair its continuing control over the use of Project facilities or equipment. Section 110. Restrictions, Prohibitions, Controls, and Labor Provisions. a. Equal Employment Opportunity - The following conditions are applicable: (1) In connection with the carrying out of the Project, the Recipient shall not discriminate against any employee or applicant for employment because of race, color, age, creed,'sex, or national origin. The Recipient shall take affirmative action to ensure that applicants are employed, and that employees are treated during employment, without regard to their race, color, religion, sex, 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 of its contracts in connection with the development or operation of the Project, except contracts for standard commercial supplies or raw materials and construction contracts subject to the provisions of Section 111.a. of this Agreement, and shall require all such contractors to insert a similar provision in all subcontracts, except subcontracts for standard commercial supplies or raw materials. Page 9 (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 Recipient of its failure to carry out the approved program, the Government will impose such remedies as it may deem appropriate, which remedies may include termination of the Agreement as provided in Section 106 of this Agreement or other measures that may affect the ability of the Recipient to obtain future financial assistance under the Urban Mass Transportation Act of 1964, as amended, or the Federal -Aid Highway Act of 1973, as amended. b. Small, Minority and Women's Business Enterprise. The following provisions are applicable: (1) The Recipient shall be responsible for meeting the applicable regulations regarding participation by minority business enterprises (MBE) in Department of Transportation programs set forth at 49 C.F.R. Part 23, at 45 F.R. 21172 et seq., March 31, 1980; 46 F.R. 23457 et seq., April 27, 1981; 48 F.R. 33432 et seq., July 21, 1983; or any revision or supplement thereto. Pursuant to the requirements of 49 C.F.R. 23.43, the following clauses must be inserted in each third party contract. (a) POLICY. IT IS THE POLICY OF THE DEPARTMENT OF TRANSPORTATION THAT MINORITY BUSINESS ENTERPRISES, AS DEFINED IN 49 C.F.R. PART 23, SHALL HAVE THE MAXIMUM OPPORTUNITY TO PARTICIPATE IN THE PERFORMANCE OF CONTRACTS FINANCED IN WHOLE OR IN PART WITH FEDERAL FUNDS UNDER THIS AGREEMENT. CONSEQUENTLY, THE MBE REQUIREMENTS OF 49 C.F.R. PART 23 APPLY TO THIS AGREEMENT. (b) MBE OBLIGATION. THE RECIPIENT AND ITS CONTRACTORS AGREE TO ENSURE THAT MINORITY BUSINESS ENTERPRISES AS DEFINED IN 49 C.F.R. PART 23 HAVE THE MAXIMUM OPPORTUNITY TO PARTICIPATE IN THE PERFORMANCE OF CONTRACTS AND SUBCONTRACTS FINANCED IN WHOLE OR IN PART WITH FEDERAL FUNDS PROVIDED UNDER THIS AGREEMENT. IN THIS REGARD ALL RECIPIENTS AND CONTRACTORS SHALL TAKE ALL NECESSARY AND REASONABLE STEPS IN ACCORDANCE WITH 49 C.F.R. PART 23 TO ENSURE THAT MINORITY BUSINESS ENTERPRISES HAVE THE MAXIMUM OPPORTUNITY TO COMPETE FOR AND PERFORM CONTRACTS. RECIPIENTS AND THEIR CONTRACTORS SHALL NOT DISCRIMINATE ON THE BASIS OF RACE, COLOR, NATIONAL ORIGIN OR SEX IN THE AWARD AND PERFORMANCE OF DOT -ASSISTED CONTRACTS. (2) If as a condition of assistance the Recipient has submitted and the Department has approved a minority business enterprise affirmative action program which the Recipient agrees to carry out, this program is incorporated into this financial assistance agreement by reference. This program shall be treated as a legal obligation and failure to carry out its terms shall be treated as a violation of this financial as Agreement. Upon notification to the Recipient of its failure to carry out the approved program, the Department shall impose such sanctions as noted in 49 C.F.R. Part 23, Subpart E, which sanctions may include termination of the Agreement or other measures that may affect the ability of the Recipient to obtain future DOT financial assistance. Page 10 (3) The Recipient shall advise each subrecipient, contractor, and subcontractor that failure to carry out the requirements set forth in 49 C.F.R. 23.43(a) shall constitute a breach of contract and, after the notification of the Department, may result in termination of the Agreement or contract by the Recipient or such remedy as the Recipient deems appropriate. (4) The Recipient shall take action concerning lessees as follows: (a) The Recipient shall not exclude MBE's from participation in business opportunities by entering into long-term, exclusive agreements with non -MBE's for operation of major transportation -related activities for the provision of goods and services to the facility or to the public on the facility. (b) A Recipient that is required to submit affirmative action programs under 49 C.F.R. 23.41(a)(2) or (a)(3) that has business opportunities for lessees shall submit to the Department for approval with their programs overall goals for the participation as lessees of firms owned and controlled by minorities and firms owned and controlled by women. These goals shall be for a specified period of time and shall be based on the factors listed in 49 C.F.R. 23.45(g)(5). The Recipient shall review these goals at least annually, and whenever the goals expire. The review shall analyze projected versus actual MBE participation during the period covered by the review and any changes in factual circumstances affecting the selection of goals. Following each review, the Recipient shall submit new overall goals to the Department for approval. A Recipient that fails to meet its goals for MBE lessees shall demonstrate to the Department in writing that it made reasonable efforts to meet the goals. (c) Except as provided in this section, the Recipient is required to include lessees in affirmative action programs. Lessees themselves are not subject to the requirements of this Part, except for the obligation of 49 C.F.R. 23.7 to avoid discrimination against MBE's. (5) The Recipient agrees to include the clauses in Subsection (a) and (b) of Section 110.b.(1) above in all subsequent agreements between the Recipient and any subrecipient and in all subsequent DOT -assisted contracts between the Recipient or subrecipients and any third party contractor. c. Title VI Civil Rights Act of 1964. The Recipient will comply and will assure the compliance by contractors and subcontractors under this Project with all the requirements imposed by Title VI of the Civil Rights Act of 1964 (49 U.S.C. § 2000d), the regulations of the Department of Transportation issued thereunder, 49 C.F.R. Part 21 and the Assurance by the Recipient pursuant thereto. d. Competition in Procurement. The Recipient shall comply with the Procurement Standards requirements set forth in Attachment 0 of OMB Circular A-102, as amended, or A-110, as may be appropriate; and with any supplementary directives or regulations including UMTA Circular 4220.1A and any revisions thereof, as may be appropriate. UMTA reserves the right to review the Recipient's technical specifications and requirements, where such review is necessary for proper project administration. The Recipient further agrees that notwithstanding the requirements in Section 117 herein, no Federal funds shall be used to support procurements utilizing exclusionary or discriminatory specifications. Page 11 e. Force Account. The Government (UMTA) reserves the right to determine the wh extent to ich it will participate in force account costs. f. Settlement of Third,Party Contract Disputes or Breaches. The Government has a vested interest in the settlement of disputes, defaults, or breaches involving any federally assisted third party contracts. The Government, retains a 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. Therefore the Recipient shall avail itself of all legal rights available under any third party contract. The _Recipient shall notify the Government of any current or prospective litigation or major disputed claim pertaining to any third party contract. The Government reserves the right to concur in any compromise or settlement of the Recipient's claim(s) involving any third party contract, before making Federal assistance available to support that settlement. If the third party contract contains a liquidated damages provision, any liquidated damages recovered shall be credited to the Project account involved unless the Government permits otherwise. g. Ethics. The Recipient shall maintain a written code or standards of con uduff —Wich code or standards shall govern the performance of its officers, employees, or agents engaged in the award and administration of,contracts supported by Federal funds. Such code or standards shall provide that no employee, officer, or agent of the Recipient shall participate in the selection, or in the award, or in the administration of a contract supported by Federal funds if a conflict of interest, real or apparent, would be involved. Such a conflict would arise .:when any of the parties set forth below has a financial or other interest in the firm selected for award. (1) the employee, officer, or agent; (2) any member of his or her immediate family; (3) his or her partner; or (4) an organization that employs, or is to employ, any of the above. The code or standards shall also provide that the Recipient's officers, employees or agents shall neither solicit nor accept gratuities, favors or anything of monetary value from contractors,- potential contractors, or parties to the subagreement. The Recipient may set minimum rules where,the financial, interest is not substantial or the gift is an unsolicited item of nominal. intrinsic value. To the extent permitted by State or local law or regulations, such code or standards of_conduct shall provide for penalties, sanctions, or other disciplinary actions for violations of such code or, standards by the Recipient's officers, employees, or agents, or by contractors or their agents. Page 12 h. `••Interest of Members of or Delegates to Congress. No member of or delegate to the ongress o the United States shall e admitted to -any share or part of this Agreement or to any benefit arising therefrom. Section 111. Construction Contracts.. The following provisions are applicable: a. Nondiscrimination. Pursuant to 41 C.F.R. 60-1.4(b)(1) and (c) (1) The Recipient hereby agrees that it will incorporate or cause to be incorporated into any contract for construction work, or modification thereof, as defined in the regulations of the Secretary of Labor at 41 C.F.R. Chapter 60, which contract or modification 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, contract, loan, insurance, or guarantee, or undertaken pursuant to any Federal program involving such grant, contract, loan, insurance, or guarantee, the following equal opportunity clause: 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, OR NATIONAL ORIGIN. THE CONTRACTOR WILL TAKE AFFIRMATIVE ACTION TO ENSURE`THAT'APPLICANTS ARE EMPLOYED, AND THAT EMPLOYEES ARE TREATED DURING EMPLOYMENT WITHOUT REGARD` TO THEIR RACE, COLOR, RELIGION, SEX, OR NATIONAL'ORIGIN. SUCH ACTION SHALL INCLUDE, BUT NOT BE LIMITED TO THE FOLLOWING: EMPLOYMENT, UPGRADING, DEMOTION, OR TRANSFER; RECRUITMENT OR RECRUITMENT ADVERTISING; LAYOFF OR TERMINATION; RATES OF PAY OR OTHER FORMS OF COMPENSATION;'AND SELECTION FOR TRAINING, INCLUDING APPRENTICESHIP. THE CONTRACTOR AGREES TO POST IN CONSPICUOUS PLACES, AVAILABLE TO EMPLOYEES AND APPLICANTS FOR EMPLOYMENT, NOTICES TO BE PROVIDED SETTING FORTH THE PROVISIONS OF THIS NONDISCRIMINATION CLAUSE. (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, OR NATIONAL ORIGIN. (c) THE CONTRACTOR WILL SEND TO EACH LABOR'UNION OR REPRESENTATIVE OF WORKERS WITH WHICH HE HAS A COLLECTIVE BARGAINING AGREEMENT OR OTHER CONTRACT OR UNDERSTANDING, A NOTICE TO BE PROVIDED ADVISING THE SAID LABOR UNION OR WORKERS' REPRESENTATIVES OF THE CONTRACTOR'S COMMITMENTS UNDER THIS SECTION 202 OF EXECUTIVE ORDER 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 11246 OF SEPTEMBER 24, 1965, AND OF THE RULES, REGULATIONS, AND RELEVANT ORDERS OF THE SECRETARY OF LABOR. Page 13 (e) THE CONTRACTOR WILL FURNISH ALL INFORMATION AND REPORTS REQUIRED BY EXECUTIVE ORDER, 11246 OF SEPTEMBER 24, 1965, AND BY RULES, REGULATIONS,' AND ORDERS OF THE SECRETARY OF LABOR, OR PURSUANT THERETO, AND WILL PERMIT ACCESS TO HIS BOOKS, RECORDS, AND ACCOUNTS BY THE URBAN MASS TRANSPORTATION ADMINISTRATION AND THE SECRETARY OF LABOR 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 Or JHE SAID 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 GOVERNMENT CONTRACTS OR FEDERALLY ASSISTED CONSTRUCTION CONTRACTS IN ACCORDANCE WITH PROCEDURES AUTHORIZED IN EXECOTIVE`ORDER 11246 OF SEPTEMBER 24, 1965, AS AMENDED, AND SUCH OTHER SANCTIONS 1. MAY 11 BE IMPOSED AND'REMEDIES INVOKED AS PROVIDED IN EXECUTIVE ORDER 11246 OF SEPTEMBER 24, 1965, OR BY RULE, REGULATION, OR ORDER OF THE SECRETARY OF LABOR,`OR'AS OTHERWISE PROVIDED BY LAW, (9) THE CONTRACTOR WILL INCLUDE A CITATION TO 41 C.F.R. § 60-1.4(b)(1) and (c) AND THE PROVISIONS OF PARAGRAPHS (a) THROUGH (g) 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 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 CT SUBCONTRAOR PURCHASE-bRDER��AS'THC URBAN MASS TRANSPORTATION ADMINISTRATION MAY DIRECT AS A MEANS OF ENFORGING"SUCH PROV;ISIONS,'INCLUDING SANCTIONS FOR NONCOMPLIANCE; PROVIDED, HOWEVER; THAT IN THE EVENT A.CONTRACTOR BECOMES INVOLVED IN, OR IS TH EA ENED WITH, LITIGATION WITH A SUBCONTRACTOR OR VENDOR AS A RESULT OF SUCH DIRECTION BY THE URBAN MASS TRANSPORTATION` ADMINISTRATION, THE CONTRACTOR MAY REQUEST THE 'UNITED STATES TO ENTER INTO' SUCH LITIGATION TO PROTECT THE INTERESTS OF THE UNITED STATES. (2) The Recipient shall assure that each nonexempt prime contractor or subcontractor shall include the above clause in each of its nonexempt contracts. (3) The Recipient further agrees that it will be bound by the above equal opportunity clause with respect to its own employment practices when it participates in federally assisted construction work; Provided that if the Recipient so participating is a State or local government, the above equal opportunity clause is not applicable to any agency, instrumentality or subdivision of such government which does not participate in work on or under the Agreement. (4) The Recipient agrees that it will assist and cooperate actively with the Urban Mass Transportation Administration and the Secretary of Labor in obtaining the compliance of contractors and subcontractors with the equal opportunity clause and the rules, regulations, and relevant orders of the Secretary of Labor, that it will furnish the Urban Mass Transportation Administration and the Secretary of Labor such information as they may require for the supervision of such compliance, and that it will otherwise assist the Urban Mass Transportation Administration in the discharge of the agency's primary responsibility for securing compliance. Page 14 (5)- The Recipient further agrees that it will refrain from entering into any contract or contract modification subject to Executive Order 11246 of September 24, 1965, as amended, with any contractor debarred from,'or who has not "demonstrated eligibility for Government contracts and Federally assisted construction contracts pursuant to the"Execu'tive 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 Urban Mass Transportation Administration 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 administering agency may take any or all of the following actions: Cancel, terminate, or suspend in whole or in part this Agreement (grant, contract, loan, insurance, guarantee); refrain from extending any further assistance to the Recipient under the program with respect to which the failure or refund occurred until satisfactory assurance of future compliance has been received from such Recipient; and refer the case to the Department of Justice for appropriate legal proceedings. b. Specifications. The Recipient hereby agrees that it will incorporate or cause to be incorporated into its contracts the specifications set forth below in all Federal or.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 the Regulations of the Secretary of Labor at 41 C.F.R. Section 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 11246: STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT SPECIFICATIONS (EXECUTIVE ORDER 11246): (1) AS USED IN THESE SPECIFICATIONS: (a) "COVERED AREA" MEANS THE GEOGRAPHICAL AREA DESCRIBED IN THE SOLICITATION FROM WHICH THIS CONTRACT RESULTED; (b) "DIRECTOR" MEANS DIRECTOR, OFFICE OF FEDERAL CONTRACT COMPLIANCE PROGRAMS, UNITED STATES DEPARTMENT OF'LABOR, OR ANY PERSON TO WHOM THE DIRECTOR DELEGATES AUTHORITY (c) "EMPLOYER IDENTIFICATION NUMBER" MEANS THE FEDERAL SOCIAL SECURITY NUMBER USED ON THE EMPLOYER'S QUARTERLY FEDERAL TAX RETURN, U.S. TREASURY DEPARTMENT FORM 941. (d) "MINORITY" INCLUDES: (i) BLACK (ALL PERSONS HAVING ORIGINS IN ANY OF THE BLACK AFRICAN RACIAL GROUPS NOT OF HISPANIC ORTGIN); Page 15 (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 PEOPLE OF THE FAR EAST, SOUTHEAST ASIA,'THE INDIAN SUBCONTINENT, OR THE PACIFIC ISLANDS); AND (iv) AMERICAN INDIAN OR ALASKAN NATIVE (ALL PERSONS HAVING ORIGINS IN ANY OF THE ORIGINAL PEOPLE OF NORTH AMERICA AND MAINTAINING IDENTIFIABLE TRIBAL AFFILIATIONS THROUGH MEMBERSHIP AND`PARTICIPATION OR COMMUNITY IDENTIFICATION). (2) WHENEVER THE CONTRACTOR, OR ANY SUBCONTRACTOR AT ANY TIER, SUBCONTRACTS A PORTION OF THE WORK INVOLVING ANY 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. 60-4.5Y 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 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 TAKE 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 PROGRAM 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 11246, OR THE REGULATIONS PROMULGATED PURSUANT THERETO. Page 16 -(6) IN ORDER FOR THE NONWORKING TRAINING HOURS OF APPRENTICES AND TRAINEES TO BE COUNTED IN MEETING-THE'GOALS,"SUCH APPRENTICES AND TRAINEES MUST BE EMPLOYED BY THE CONTRACTOR DURING THE TRAINING PERIOD, AND THE CONTRACTOR MUST HAVE MADE A COMMITMENT TO EMPLOY THE APPRENTICES AND TRAINEES AT THE COMPLETION OF THEIR TRAINING, SUBJECT TO'THE AVAILABILITY OF EMPLOYMENT OPPORTUNITIES. TRAINEES MUST BE TRAINED PURSUANT TO TRAINING -PROGRAMS APPROVED BY THE U.S. DEPARTMENT OF -LABOR. (7) THE CONTRACTOR SHALL TAKE SPECIFIC AFFIRMATIVE ACTIONS TO ENSURE EQUAL EMPLOYMENT OPPORTUNITY. THE EVALUATION OF THE CONTRACTOR'S COMPLIANC E WITH THESE SPECIFICATIONS SHALL BE BASED UPON ITS EFFORT TO'ACHIEVE MAXIMUM RESULTS FROM ITS ACTIONS. THE"CONTRACTOR`SHALLDOCOMENT THESE EFFORTS FULLY, AND SHALL IMPLEMENT AFFIRMATIVE ACTION STEPS"'AT_"LEAST AS EXTENSIVE AS THE FOLLOWING: INTIMIDATION, ANDURE COERCDONAI-NTAIN 'A WORKING 'ENVIRONMENT S'HARASS AT ALL'VSITESANDINAI.LFACILITIEAT �WHIfENT, ICNTHE CONTRACTOR'S EMPLOYEES ARE ASSIGNED TO WORK. THE'CONTRACTOR, WHERE VOSSIB'LE, 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 SUCH78ITES OR'-I-N SUCH FACILITIES. (b) ESTABLISH AND MAINTAIN A CURRENT 'LIST OF MINORITY AND FEMALE RECRUITMENT SOURCES, PROVIDE WRITTEN NOTIFICATION TO'MINORITY AND FEMALE RECRUITMENT SOURCES AND TO COMMUNITY ORGANIZATIONS WHEN THE CONTRACTOR OR ITS UNIONS HAVE EMPLOYMENT OPPORTUNITIES AVAILABLE, AND`MAINTAIN' 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 ANDMINORrTY OR FEMALE REFERRAL FROM A UNION,'A RECRUITMENT` SOURCE OR COMMUNITY` ORGANIZATION AND OF WHAT ACTION WAS TAKEN WITH RESPECT TO EACH SUCH INDIVIDUAL. IF'SUCH' INDIVIDUAL WAS SENT TO THE UNION HIRING HALL FOR REFERRAL AND WAS NOT REFERRED BACK TO THE CONTRACTOR BY THE UNION OR, IF REFERRED, NOT EMPLOYED BY THE CONTRACTOR, THIS SHALL BE DOCUMENTED IN THE FILE WITH THE REASON THEREFOR, ALONG WITH WHATEVER ADDITIONAL ACTIONS THE `CONTRACTOR MAY HAVE TAKEN. (d) PROVIDE IMMEDIATE WRITTEN NOTIFICATION TO THE DIRECTOR WHEN THE UNION OR UNIONS WITH WHICH THE CONTRACTOR HAS A'COLLECTIVE"BARGAINING' AGREEMENT HAS NOT REFERRED TO THE CONTRACTOR A MINORITY PERSON OR WOMAN SENT BY THE CONTRACTOR, OR WHEN THE-Co HE CONTRACTOR -HAS OTHER,4TNFORMATIONfTHAT 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 INCLUDING UPGRADING PROGRAMS AND APPRENTICESHIP AND TRAINEE PR G AMSDkEOMEN, TRAINING PROGRAMS FOR THE AREA WHICH EXPRESSLY INCLUDE MINORITIES ANT` TO THE CONTRACTOR'S EMPLOYMENT NEEDS, ESPECIALLY THOSE PROGRAMS` FUNDED OR,,,..y APPROVED BY THE DEPARTMENT OF LABOR. THE CONTRACTOR SHALL PROVIDE NOTICE OF THESE PROGRAMS TO THE SOURCES COMPILED UNDER (7)(b) ABOVE. Page 17 (f) DISSEMINATE THE CONTRACTOR'S EEO POLICY BY PROVIDING NOTICE'_OF. THE POLICY TO UNIONS AND TRAINING PROGRAMS AND .REQUESTING THEIR COOPERATION IN ASSISTING THE CONTRACTOR IN MEETING ITS EEO OBLIGATIONS; BY INCLUDING IT IN ANY POLICY 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 ANY RESPONSIBILITY FOR HIRING, ASSIGNMENT, LAYOFF, TERMINATION OR OTHER EMPLOYMENT DECISIONS INCLUDING SPECIFIC REVIEW OF THESE ITEMS WITH ONSITE SUPERVISORY PERSONNEL SUCH AS SUPERINTENDENTS, GENERAL FOREMEN, 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. M DIRECT ITS 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 NOTIFICATION TO ORGANIZATIONS SUCH AS THE ABOVE, DESCRIBING THE OPENINGS, SCREENING PROCEDURES, AND TESTS TO BE USED IN THE SELECTION PROCESS. (j) ENCOURAGE PRESENT MINORITY AND FEMALE EMPLOYEES TO RECRUIT OTHER MINORITY PERSONS AND WOMEN AND, WHERE REASONABLE, PROVIDE AFTER SCHOOL, SUMMER AND VACATION EMPLOYMENT TO MINORITY AND FEMALE YOUTH BOTH ON THE SITE AND IN OTHER AREAS OF THE CONTRACTOR'S WORKFORCE. (k) VALIDATE ALL TESTS AND OTHER SELECTION REQUIREMENTS WHERE THERE IS AN OBLIGATION TO DO SO UNDER 41 C.F.R. PART 60-3. (1) CONDUCT, AT LEAST ANNUALLY, AN INVENTORY AND EVALUATION AT LEAST OF ALL MINORITY AND FEMALE PERSONNEL FOR PROMOTIONAL OPPORTUNITIES AND ENCOURAGE THESE EMPLOYEES TO ,. SEEK ,OR_TO.PREPARE.FOR, THROUGH APPROPRIATE TRAINING, ETC., SUCH OPPORTUNITIES. Page 18 (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 THE SEXES. (o) 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 WHICH 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 CONTRACTOR -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 (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 WORKFORCE PARTICIPATION, MAKESA GOOD FAITH EFFORT TO MEET ITS INDIVIDUAL GOALS AND TIMETABLES, AND CAN PROVIDE ACCESS TO DOCUMENTATION WHICH DEMONSTRATES THE EFFECTIVENESS OF ACTIONS TAKEN ON BEHALF OF THE CONTRACTOR. THE OBLIGATION TO COMPLY, HOWEVER, IS THE CONTRACTOR'S AND FAILURE OF SUCH A GROUP TO FULFILL AN OBLIGATION SHALL NOT BE A DEFENSE FOR THE CONTRACTOR'S NONCOMPLIANCE. (9) A SINGLE GOAL FOR MINORITIES AND A SEPARATE SINGLE GOAL FOR WOMEN HAVE BEEN ESTABLISHED. THE CONTRACTOR, HOWEVER, B 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 IN VIOLATION OF THE EXECUTIVE ORDER IF A PARTICULAR GROUP IS EMPLOYED IN A'SUBSTANTIALLY DISPARATE MANNER (FOR EXAMPLE, 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 11246. Page 19 (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 11246, AS AMENDED, AND LA ITS IMPLEMENTING REGUTIONS 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 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 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 IELEP-HONE NUMBERS, CONSTRUCTION TRADE, UNION AFFILIATION IF ANY, EMPLOYEE IDENTIFICATION NUMBER WHEN ASSIGNED, SOCIAL SECURITY NUMBER, RACE, SEX, STATUS (E.G., 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 DEGREE 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 WHICH ESTABLISH DIFFERENT STANDARDS'OF COMPLIANCE OR UPON THE APPLICATION OF REQUIREMENTS FOR THE HIRING OF LOCAL OR OTHER AREA RESIDENTS (E.G., THOSE UNDER THE PUBLIC WORKS EMPLOYMENT ACT OF 1977 AND THE COMMUNITY DEVELOPMENT BLOCK GRANT PROGRAM.) c. Notice. The Recipient hereby agrees that it will ensure that the notice set o-rtT- below shall be included in, and shall be a part of, all solicitations for offers and bids on all Federal and federally assisted construction contracts or subcontracts in excess of`$10,000'to be performed in geographical areas designated by the Director, Office of Federal Contract Compliance Programs of the Department of Labor at 41 C.F.R. Section 60-4.2: Page 20 NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL EMPLOYMENT OPPORTUNITY (EXECUTIVE ORDER 11246): (1) THE OFFEROR'S OR BIDDER'S ATTENTION IS CALLED TO THE "EQUAL OPPORTUNITY CLAUSE" AND THE "STANDARD FEDERAL EQUAL EMPLOYMENT OPPORTUNITY CONSTRUCTION CONTRACT SPECIFICATIONS" SET FORTH HEREIN. (2) (a) THE GOALS AND TIMETABLES FOR MINORITY AND FEMALE PARTICIPATION, EXPRESSED IN PERCENTAGE TERMS FOR THE CONTRACTOR'S AGGREGATE WORKFORCE IN EACH TRADE ON ALL CONSTRUCTION WORK IN THE COVERED AREA, ARE AS FOLLOWS: TIME -TABLES GOALS FOR MINORITY GOALS FOR FEMALE PARTICIPATION FOR PARTICIPATION IN EACH TRADE EACH TRADE INSERT GOALS FOR INSERT GOALS FOR EACH YEAR EACH YEAR 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 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. (b) THE CONTRACTOR'S COMPLIANCE WITH THE EXECUTIVE ORDER AND THE REGULATIONS IN 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 IN 41`C.F.R. 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, AND 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 41 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 CONTRACT IS TO BE PERFORMED. (4) AS USED IN THIS NOTICE, AND IN THE CONTRACT RESULTING FROM THIS SOLICITATION, THE "COVERED AREA," IS (INSERT DESCRIPTION OF THE GEOGRAPHICAL AREAS WHERE THE CONTRACT IS TO BE PERFORMED, GIVING THE STATE, COUNTY AND CITY, IF ANY). Page 21 d. Accommodations for the Physically Handicapped. alterations shall be undertaken in of the provisions of General set forth at 41 C.F.R. Subpart in writing by UMTA or a waiver is UMTA assisted construction, designs, and accordance with and meet the requirements Services Administration (GSA) regulations 101-19.6, unless an exception is granted granted by GSA in writing. e. Contract Security. The Recipient shall follow the requirements of OMB Circular A-102, as amended, or A-110, as may be appropriate, and Federal (UMTA) guidelines with regard to bid guarantees and bonding requirements. f. Insurance'During Construction. The Recipient shall, at a minimum; follow the insurance requirements norma ly required by their State and local governments. g. Signs. The Recipient shall cause to be erected at the site of construction, and maintained during construction, signs satisfactory to the Department of Transportation identifying the Project and indicating that the Government is participating in the development of the Project. h. Safety Standards. Pursuant to section 107 of the Contract Work Hours and Safety Standar s Act and Department of Labor Regulations at 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. i. Liquidated Damages. The Recipient shall include in all contracts for construction a clause providing for liquidated damages, where appropriate. 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 discuss. The assessment for damages shall be at a specified 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 112. Labor Provisions. a. Construction. Pursuant to regulations set forth at 29 C.F.R. Part 5, the following provisions shall be incorporated in all construction contracts of $2,000 let by the Recipient in carrying out the project. (1) MINIMUM WAGES. (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 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 CFR PART 3)), THE FULL AMOUNT OF WAGES AND BONA FIDE FRINGE BENEFITS Page 22 (OR CASH EQUIVALENTS THEREOF) DUE AT 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 PARAGRAPH (a)(1)(iv) OF 29 C.F.R. § 5.5; ALSO, REGULAR CONTRIBUTIONS MADE OR COSTS INCURRED FOR MORE THAN A WEEKLY PERIOD (BUT NOT LESS OFTEN THAN QUARTERLY) UNDER PLANS, FUNDS, OR PROGRAMS WHICH 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 IN 29 CFR § 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 EMPLOYER'S 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 PARAGRAPH (a)(1)(ii) OF 29 CFR § 5.5 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 WHICH IS NOT LISTED IN THE WAGE DETERMINATION AND WHICH 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: a. THE WORK TO BE PERFORMED BY THE CLASSIFICATION REQUESTED IS NOT PERFORMED BY A CLASSIFICATION IN THE WAGE DETERMINATION; AND b. THE CLASSIFICATION IS UTILIZED IN THE AREA BY THE CONSTRUCTION INDUSTRY; AND c. THE PROPOSED WAGE RATE, INCLUDING ANY BONA FIDE FRINGE BENEFITS, BEARS A REASONABLE RELATIONSHIP TO THE WAGE RATES CONTAINED IN THE THE WAGE DETERMINATION. 2. IF THE CONTRACTOR AND THE LABORERS AND MECHANICS TO BE EMPLOYED IN THE CLASSIFICATION (IF KNOWN), OR THEIR REPRESENTATIVES, AND THE CONTRACTING OFFFICER 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. Page 23 3. IN THE EVENT THE CONTRACTOR, THE LABORERS OR MECHANICS TO BE , EMPLOYED IN TFfE 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 SUBPARAGRAPHS (a)(1)(B) OR (C) OF 29 CFR § 5.5, 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 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 THE ON RACTOR, 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. DOT 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 CONTRACT OR ANY OTHER FEDERAL CONTRACT WITH THE SAME PRIME CONTRACTOR, 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, DOT MAY, AFTER WRITTEN NOTICE TO THE CONTRACTOR, SPONSOR, APPLICANT, OR OWNER, TAKE SUCH ACTION AS MAY BE NECESSARY TO CAUSE THE SUSPENSION OF ANY FURTHER PAYMENT, ADVANCE, OR GUARANTEE OF FUNDS UNTIL SUCH VIOLATIONS HAVE CEASED. Page 24 ' (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 AMD 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 l(b)(2)(B) OF THE DAVIS-BACON ACT), DAILY AND WEEKLY NUMBER OF HOURS WORKED, DEDUCTIONS MADE AND ACTUAL WAGES PAID. 'WHENEVER THE SECRETARY OF LABOR HAS FOUND UNDER 29 CFR § 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 COST 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 PRE.SCRIBEDAN 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 DOT IF DOT IS A PARTY TO THE CONTRACT, BUT IF DOT 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 DOT. THE PAYROLLS SUBMITTED SHALL SET OUT ACCURATELY AND COMPLETELY ALL OF THE INFORMATION REQUIRED TO BE MAINTAINED UNDER § 5.5(a)(3)(i) OF REGULATIONS, 29 CFR PART 5. 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 NUMBER 029-005-00014-1), U.S. GOVERN14ENT 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: a. THAT THE PAYROLL FOR THE PAYROLL PERIOD CONTAINS THE INFORMATION REQUTRED TO BE MAINTAINED UNDER § 5.5(a)(3)(i) OF REGULATIONS, 29 CFR PART 5 AND THAT SUCH INFORMATION IS CORRECT AND COMPLETE; b. 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 IN REGULATIONS, 29 CFR PART 3; Page 25 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 THE REVERSE SIDE OF'OPTIONAL FORM WH-347 SHALL SATISFY`THE REQUIREMENT FOR SUBMISSION OF THE "STATEMENT'OFSCOMPLIANCE" REQUIRED"bY PARAGRAPH (a)(3)(ii)(B) OF 29 CFR § 5.5. 4. THE FALSIFICATION OF ANY OF THE ABOVE CERTIFICATIONS MAY SUBJECT THE CONTRACTOR OR SUBCONTRACTOR TO CIVIL OR CRIMINAL PROSECUTION UNDER A SECTION 1001 OF TITLE 18 AND SECTION 231 OF TITLE 31 OF THE UNITED ISTATES CODE. (c) THE CONTRACTOR OR SUBCONTRACTOR SHALL MAKE THE RECORDS REQUIRED UNDER PARAGRAPH (a)(3)(i) of 29 CFR § 5.5 AVAILABLE FOR"INSPECTION, COPYING, OR TRANSCRIPTION BY AUTHORIZED REPRESENTATIVES OF DOT OR THE DEPARTMENT OF LABOR, AND SHALL PERMIT SUCH REPRESENTATIVES TO INTERVIEW IMPLOYEES DURING WORKING HOURS ON THE JOB. IF THE CONTRACTOR OR SUBCONTRACTOR FAILS TO SUBMIT THE REQUIRED RECORDS OR TO MAKE THEM AVAILABLE,'THE FtEDERA -ML NCY"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 TO MAKE SUCH RECORDS AVAILABLE MAY BE GROUNDS FOR DEBARMENT ACTION PURSUANT TO 29 CFR § 5.12. (4) APPRENTICES AND TRAINEES --APPRENTICES. (a) APPRENTICES WILL BE PERMITTED TO WORK AT LESS THAN THE PREDETERMINED RATE FOR THE WORK THEY PERFORMED WHEN 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 11 ENTPRE'WORK_FORCC UNDER THE REGISTERED PROGRAM. ANY WORKER LISTED ON A PAYROLL AT AN APPRENTICE WAGE RATE, WHO IS NOT REGISTERED OR OTHERWISE EMPLOYED'AS STATED ABOVE, SHALL BE PAID NOT LESS THAN THE APPLICABLE WAGE RATE 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 Page 26 a• t ' 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 A11 S 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 CLASSIFICATON, 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 CFR S 5.16, TRAINEES WILL NOT BE PERMITTEU-TU-WnK 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 ADMINISTRATIOW. 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'S 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'S WAGE RATE ON THE WAGE DETERMINATION WHICH PROVIDES FOR LESS THAN FULL FRINGE BENEFITS FOR APPRENTICES. ANY EMPLOYEE LISTED ON THE PAYROLL AT A TRANINEE 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 WAGE DETERMINATION FOR 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) EQUAL EMPLOYMENT OPPORTUNITY. THE UTILIZATION OF APPRENTICES, TRAINEES AND JOURNEYMEN UNDER THIS PART SHALL BE IN CONFORMITY WITH THE EQUAL EMPLOYMENT OPPORTUNITY REQUIREMENTS OF EXECUTIVE ORDER 11246, AS AMENDED, AND 29 CFR PART 30. (5) COMPLIANCE WITH COPELAND ACT REQUIREMENTS. THE CONTRACTOR SHALL COMPLY WITH THE REQUIREMENTS OF 29 CFR PART 3, WHI H ARE INCORPORATED BY REFERENCE. Page 27 (6) CONTRACT TERMINATION: DEBARMENT. A BREACH OF THE CONTRACT CLAUSES IN 29 CFR, .5. MAY BE GROUNDS FOR TERMINATION OF THE CONTRACT, AND FOR DEBARMENT AS A CONTRACTOR AND A SUBCONTRACTOR AS PROVIDED IN 29 CFR § 5.12. (7) COMPLIANCE WITH DAVIS-BACON AND RELATED ACT REQUIREMENTS. ALL RULINGS AND INTERPRETATIONS OF THE DAVIS-BACON AND RELATED ACTS CONTAINED IN 29 CFR PARTS 1, 3, AND 5 ARE HEREIN INCORPORATED 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 CFR 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)(a) CERTIFICATION OF ELIGIBILITY. BY ENTERING INTO THIS CONTRACT, THE CONTRACTOR CERTIFIES THAT NEITHER IT (NOR HE OR SHE) NOR ANY PERSON OR FIRM WHO 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 CFR § 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 CFR § 5.12(a)(1). (c) THE PENALTY FOR MAKING FALSE STATEMENTS IS PRESCRIBED IN THE U.S. CRIMINAL CODE, 18 U.S.C. § 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 WORKWEEK IN WHICH HE OR SHE IS EMPLOYED ON SUCH WORK TO WORK IN EXCESS OF EIGHT HOURS IN ANY CALENDAR DAY OR IN EXCESS OF FORTY HOURS IN SUCH WORKWEEK UNLESS SUCH 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 EIGHT HOURS IN ANY CALENDAR DAY OR IN EXCESS OF FORTY HOURS IN SUCH WORKWEEK, WHICHEVER IS GREATER. (11) VIOLATION; LIABILITY FOR UNPAID WAGES; LIQUIDATED DAMAGES. IN THE EVENT OF ANY VIOLATION OF THE CLAUSE SET FORTH IN SUBPARAGRAPH ) 29 CFR § 5.5, 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 COMPUTED WITH RESPECT TO EACH INDIVIDUAL LABORER OR MECHANIC, INCLUDING WATCHMEN AND GUARDS, EMPLOYED IN VIOLATION OF THE CLAUSE SET FORTH IN SUBPARAGRAPH (b)(1) OF 29 CFR § 5.5 IN THE SUM OF $10 FOR EACH CALENDAR DAY OR WHICH SUCH INDIVIDUAL WAS REQUIRED OR PERMITTED TO WORK IN EXCESS OF EIGHT HOURS OR IN EXCESS OF THE STANDARD WORKWEEK OF FORTY HOURS WITHOUT PAYMENT OF THE OVERTIME WAGES REQUIRED BY THE CLAUSE SET FORTH IN SUBPARAGRAPH (b)(1) OF 29 CFR § 5.5. Page 28 (12) WITHHOLDING FOR UNPAID WAGES AND -LIQUIDATED DAMAGES. DOT 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 IN SUBPARAGRAPH (b)(2) OF 29 CFR S 5.5. (13) SUBCONTRACTS. THE CONTRACTOR OR SUBCONTRACTOR SHALL INSERT IN ANY SUBCONTRACTS THE CLAUS S SET FORTH IN SUBPARAGRAPH (1) THROUGH (14) OF THIS PARAGRAPH AND ALSO A CLAUSE REQUIRNG 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 SUBPARAGRAPHS (1) THROUGH (14) OF THIS PARAGRAPH. b. Nonconstruction Contracts. Pursuant to the regulations at 29 C.F.R. Part 5, t e o owing provisions shall be incorporated in all non -construction contracts of $2,500 let by the Recipient in carrying out the project. NONCONSTRUCTION CONTRACTS. IN ADDITION TO THE CLAUSES CONTAINED IN 29 CFR 5.5 OR PARAGRAPHS 10) THROUGH (13) OF SECTION 112.a. OF PART II TERMS AND CONDITIONS OF THE URBAN MASS TRANSPORTATION AGREEMENT, IN ANY CONTRACT SUBJECT ONLY TO THE CONTRACT WORK HOURS AND SAFETY STANDARDS ACT AND NOT TO ANY OF THE OTHER STATUTES CITED IN 29 CFR § 5.1, THE RECIPIENT SHALL INSERT A CLAUSE REQUIRING THAT 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 THEREE YEARS FROM THE COMPLETION OF THE CONTRACT FOR ALL LABORERS AND 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. FURTHER, THE RECIPIENT SHALL REQUIRE THE CONTRACTING OFFICER TO INSERT IN ANY SUCH CONTRACT A CLAUSE PROVIDING THAT THE RECORDS TO BE MAINTAINED UNDER THIS PARAGRAPH SHALL BE MADE AVAILABLE BY THE CONTRACTOR OR SUBCONTRACTOR FOR INSPECTION, COPYING, OR TRANSCRIPTION BY AUTHORIZED REPRESENTATIVES OF DOT AND THE DEPARMTENT OF LABOR, AND THE CONTRACTOR OR SUBCONTRACTOR WILL PERMIT SUCH RESPRESENTATIVES TO INTERVIEW EMPLOYEES DURING WORKING HOURS ON THE JOB. c. State and Local Government Employees. The provisions of the Fair Labor Standards Act are applicable to State and local government employees that participate in the UMTA assisted project with the Recipient. Page 29 Section 113.. Environmental, Resource, and Energy Protection and Conservation Requirements. a. Environmental Policy. The National Environmental Policy Act of 1969, as amended, 2 U.S.C. § 4321; Section 14 of the Urban Mass Transporation Act of 1964, as amended, 49 U.S.C. § 1610; the Council on Environmental -Quality regulations set forth at 40 C.F.R. Part 1500; and the FHWA/UMTA regulation, "Environmental Impact and Related Procedures," set forth at 23 C.F.R..Part;771 are applicable to UMTA assisted projects of the Recipient. b. Compliance with Environmental Standards. The Recipient shall comply with the provisions of the Clean Air Act, as amended (42 U.S.C. § 1857 et seq.), the Federal Water Pollution Control Act, as amended (33,U.S.C. § 1251 et seq.), and implementing regulations, in the facilities that are involved in the Project for which Federal assistance is given., The Recipient shall ensure that the facilities under ownership, lease or supervision, whether directly or under contract, that will be utilized in the accomplishment of the Project are not listed on the Environmental Protection Agency (EPA) List of Violating Facilities. Contracts, subcontracts, and subgrants of amounts in excess of $100,000 shall contain a provision which requires compliance with all applicable standards, orders, or requirements issued pursuant to Federal statute or regulation.. The Recipient and any third -party contractor thereof shall be responsible for reporting any violations to the Government and to the EPA Assistant Administrator for Enforcement. In addition, the Recipient shall notify UMTA of the receipt of any communication from the Director of the EPA Office of Federal Activities indicating that a facility to be utilized,,in the Project is under consideration for listing by EPA. c. Air Pollution. No facilities or equipment shall be acquired, constructed, or improves as a part of the Project unless the Recipient obtains satisfactory assurances that they are (or will be) designed and equipped to limit air pollution as provided in accordance with the appropriate UMTA directives and in accordance with all other applicable standards. d. Use of Public Lands. No publicly owned land from a park, recreation area, or wildlife and waterfowl refuge of national, State, or local significance as determined by the Federal, State or local officials having jurisdiction thereof, or any land from an historic site of national,` State, or local significance may be used for the Project unless certain specific findings are made by the Department of Transportation. e. Historic Preservation. The Recipient shall assist the Government (UMTA) in its compliance with section 106 of the National Historic Preservation Act of 1966, as amended (16 U.S.C. 470), and related statutes and procedures involving historic and archeological preservation by: (1) Consulting with the State Historic Preservation Officer on the conduct of investigations, as necessary, to identify properties and resources listed in or eligible for inclusion in the National Register of Historic Places that may be affected (see 36 C.F.R. Part 800) by the activity, and notifying the Government (UMTA) of the existence of any such properties; and (2) Complying with all requirements established by the Government to avoid or mitigate adverse effects upon such properties. Page 30 f. Energy Conservation. The Recipient and its third"party contractors shall recognize mandatory standards and policies relating to energy efficiency which are contained in the State energy conservation plan issued in compliance with the Energy Policy and Conservation Act (42 U.S.C. § 6321 et seq.). g. Mitigation of Adverse Environmental Effects. In the event that the proposed project will cause adverse environmental effects, the Recipient will take all reasonable steps to minimize such effects pursuant to 49 U.S.C. § 1610, other applicable statutory requirements, and the procedures set forth in 23 C.F.R. 771. Adverse effects may be avoided or mitigated by modifying the project, incorporating specific features into the project or by requiring the Recipient to take certain actions or undertakings. If UMTA determines that the proposed mitigation measures represent a reasonable expenditure in view of the benefits to be gained, such measures will be made a condition of approval of the project and are incorporated in, and made a part of, this Agreement. Such measures may not be modified or withdrawn without UMTA's express written consent. The mitigation measures for complex transportation projects will be detailed in final environmental documents and summarized in a record of decision should one be required. In such cases, mitigation measures will be incorporated in and made part of the Agreement by reference ,to specific environmental documents. In the event that the Recipient has proposed to procure the action of any other person or entity not a party to this Agreement, the Recipient shall be obligated to use its best efforts to cause such action to be taken; provided, however, that if it appears that a requested action by the non -signatory party cannot be procured, or if procured, will not be effective in avoiding or mitigating an adverse environmental impact, the Recipient shall take whatever actions as the Government may direct to accomplish that purpose. h. Use of Fly Ash in Cement and Concrete. The Recipient shall make all appropriate efforts to foster the use o fly ash, in carrying out the project, substantially in compliance with EPA Guidelines at 40 C.F.R. Part 249, 48 Fed. Reg. 4230-4253, Jan. 28, 1983. Should the Recipient make a determination that the use of fly ash is inappropriate in a particular specification for the procurement of cement or concrete, the Recipient shall provide UMTA a written justification to support that decision. Section 114. Patent Rights. 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, which invention, improvement, or discovery may be patentable under the Patent Laws of the United States of America or any foreign country, the Recipient shall immediately notify the Government (UMTA) and provide a detailed report. The rights and responsibilities of the Recipient, third party contractors and the Government with respect to such invention will be determined in accordance with applicable Federal laws, regulations, policies, and any waivers thereof. Page 31 Section 115. Rights in Data. a. The term 'subject data" as, used herein means recorded information, whether or not copyrighted, that is delivered or specified to be delivered under this Agreement. The term includes graphic or pictorial delineations in media such as drawings or photographs; text in specifications or related performance or design -type documents; machine forms such as punched cards, magnetic tape, or computer memory printouts; and information retained in computer memory. Examples include, but are not limited to, 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 contract administration. b. All. °subject data" first produced in the performance of this Agreement shall be the sole property of the Government. The Recipient agrees not to assert any rights at common law or equity and not to establish any claim to statutory copyright in such data. Except for its own internal use, the Recipient shall not publish or reproduce such data in whole or in part, or in any manner or form, nor authorize others to do so, without the written consent of the Government until such time as the Government may have released such data to the public; this restriction, however, does not apply to Agreements with Academic Institutions. c. The Recipient agrees to grant and does hereby grant to the Government and to its officers, agents, and employees acting within the scope of their official duties, a royalty -free, nonexclusive, and irrevocable license throughout the world: (1) To publish, translate, reproduce, deliver, perform, use, and dispose of, in any manner, any and all data not first produced or composed in the performance of this Agreement but which is. incorporated in the work furnished under this Agreement; and (2) To authorize others so to do. d. The Recipient shall indemnify and save and hold harmless the Government, its officers, agents, and employees acting within the scope of their official duties against any liability, including costs and expenses, resulting from any willful or intentional violation by the Recipient of proprietary rights, copyrights, or rights of privacy, arising out of the publication, translation, reproduction, delivery, performance, use, or disposition of any data furnished under this Agreement. e. Nothing contained in this clause shall imply a license to the Government under any patent or be construed as affecting the scope of any license or other right otherwise granted to the Government under any patent. f. Sections 115.c. and d. above are not applicable to material furnished to the Recipient by the Government and incorporated in the work furnished under the contract; provided that such incorporated material is identified by the Recipient at the time of delivery of such work. Page 32 g. In the event that the Project, which is the subject of this Agreement, is not completed, for any reason whatsoever, all data generated under that Project shall become subject data as defined in the Rights in Data clause in this Agreement and shall be delivered as the Government may direct. This clause shall be included in all third -party contracts under the Project. Section'116. Cargo Preference - Use of United States -Flag Vessels. a. 46 U.S.C. 5 1241 provides in pertinent part as follows: (b)(1) Whenever the United States shall procure, contract for, or otherwise obtain for its own account, or shall furnish to or for the account of any foreign nation without provision for reimbursement, any equipment, materials, or commodities, within or without the United States, or shall advance funds or credits or guarantee the convertibility of foreign currencies in connection with the furnishing of such equipment, materials, or commodities, the appropriate agency or agencies shall take such steps as may be necessary and practicable to assure that at least 50 per centum of the gross tonnage of such equipment, materials, or commodities (computed separately for dry bulk carriers, dry cargo liners, and tankers), which may be transported on privately owned United States flag commercial vessels, to the extent such vessels are available at fair and reasonable rates for United States -flag commercial vessels, in such manner as will insure a fair and reasonable participation of United States -flag commercial vessels in such cargoes by geographic areas: . (2) Every department or agency having responsibility under this subsection shall administer its programs with respect to this subsection under regulations issued by the Secretary of Transportation ... . b. Pursuant to regulations published at 46 C.F.R. Part 381, the Recipient agrees to insert the following clauses in all contracts let by the Recipient under which equipment, materials or commodities may be transported by ocean vessel in carrying out the Project: 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 SECTION, TO THE EXTENT SUCH VESSELS ARE AVAILABLE AT FAIR AND REASONABLE RATES FOR UNITED STATES -FLAG COMMERCIAL VESSELS. (2) TO FURNISH WITHIN 30 DAYS FOLLOWING THE DATE OF LOADING FOR SHIPMENTS ORIGINATING WITHIN THE UNITED STATES, OR WITHIN 30 WORKING DAYS FOLLOWING THE DATE OF LOADING FOR SHIPMENT ORIGINATING OUTSIDE THE UNITED STATES, A LEGIBLE COPY OF A RATED, "ON -BOARD" COMMERCIAL OCEAN BILL -OF -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. Page 33 (3) TO INSERT THE SUBSTANCE OF THE PROVISIONS OF THIS CLAUSE IN ALL, SUBCONTRACTS ISSUED PURSUANT TO THIS CONTRACT. Section 117. Buy America. Each third party contract utilizing UMTA funds obligated after January 6, 1983, must comply with Section 165 of the Surface Transportation Assistance Act of 1982, P.L. 97-424, 49 U.S.C. § 1601 note (the Buy America provision), and UMTA regulations set out at 49 C.F.R. Part 661 and any guidance issued by UMTA to implement this statutory provision. Section 118. Charter and School Bus Operations. a. Charter Bus. The Recipient, or any operator of mass transportation, acting on its ehalf, shall not engage in charter bus operations outside the urban area within which it provides regularly scheduled mass transportation service, except as provided under section 3(f) of the Urban Mass Transportation Act of 1964, as amended, 49 U.S.C. § 1602(f), and regulations pertaining to Charter Bus Operations, set forth at 49 C.F.R. Part 604 and any amendments that may be issued. Any agreement entered into under these regulations is incorporated into this Agreement by reference. b. School Bus. The Recipient, or any operator of mass transportation acting on its b, shall not engage in school bus operations, exclusively for the transportation of students or school personnel, in competition with private school bus operators; except as provided under section 3(g) of the Urban Mass Transportation Act of 1964, as amended, 49 U.S.C. § 1602(g) and regulations pertaining to School Bus Operations, set forth at 49 C.F.R. Part 605 and any amendments thereto that may be issued. Any agreement entered into under these regulations is incorporated into this Agreement by reference. Section 119. Nondiscrimination on the Basis of Handica The Recipient shall insure that all fixed facility construction or alteration and all new equipment included in the Project comply with applicable regulations regarding Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or Benefitting from Federal Financial Assistance, set forth at 49 C.F.R. Part 27, and any amendments thereto. Section 120. Relocation and Land Acquisition. The terms of the Department of Transportation regulations, "Uniform Relocation and Real Property Acquisition for Federal and Federally Assistance Programs," 49 C.F.R. Part 25 are applicable to UMTA assisted contracts of the Recipient. Section 121. Flood Hazards. The Recipient shall comply with the flood insurance_ purchase requirements with respect to construction or acquisition purposes, o.f section 102(a) of the. Flood Disaster Protection Act of 1973, 42 U.S.C. § 4012(a). Page 34 Section 122. Suspension and Debarment. The terms of the Department of Transportation regulations, "Suspension and Debarment of Participants in DOT Financial Assistance Programs," 49 C.F.R. Part 29 are applicable to any UMTA assisted contracts of the Recipient. Section 123. Privacy. Should the Recipient, its third party contractors or its employees administer any system of records on behalf of the Federal Government, the following terms and conditions are applicable: a. The Recipient agrees: (1) To comply with the Privacy Act of 1974, 5 U.S.C. § 552a (the Act) and the rules and regulations issued pursuant to the Act when performance under the contract involves the design, development, or operation of any system of records on individuals to be operated by the Recipient, its contractors or employees to accomplish a Government function; (2) To notify the Government when the Recipient anticipates operating a system of records on behalf of the Government in order to accomplish the requirements of this Agreement, if such system contains information about individuals which information will be retrieved by the individual's name or other identifier assigned to the individual. A system of records subject to the Act may not be employed in the performance of this Agreement until the necessary approval and publication requirements applicable to the system have been carried out. The Recipient agrees to correct, maintain, disseminate, and use such records in accordance with the requirements of the Act, and to comply with all applicable requirements of the Act; (3) To include the Privacy Act Notification contained in this Agreement in every third party contract solicitation and in every third party contract when the performance of work under the proposed third party contract may involve the design, development, or operation of a system of records on individuals that is to be operated under the contract to accomplish a Government function; and (4) To include this clause, including this paragraph, in all third party contracts under which work for this Agreement is performed or which is awarded pursuant to this Agreement or which may involve the design, development, or operation of such a system of records on behalf of the Government. b. For purposes of the Privacy Act, when the Agreement involves the operation of a system of records on individuals to accomplish a Government function, the Recipient, third party contractors and any of their employees is considered to be an employee of the Government with respect to the Government function and the requirements of the Act, including the civil and criminal penalties for violations of the Act, are applicable except that the criminal penalties shall not apply with regard to contracts effective prior to September 27, 1975. In addition, failure to comply with the provisions of the Act or of this clause will make this Agreement subject to termination. Page 35 6r . c. The terms used in this clause have the following meanings: (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 education, financial transactions, medical history, and criminal or employment history and that contains his name, or the identifying number, symbol., or other identifying particular assigned to the individual, such as a finger or voice print, or a photograph. (3) "System of records" on individuals means a group of any records under the control of the Recipient on behalf of the Government from which information is retrieved by the name of the individual or by some identifying number, symbol, or other identifying particular assigned to the individual. Section 124. Miscellaneous. a. Bonus or Commission. The Recipient warrants that it has not paid, and also agrees not to pay, any bonus or commission for the purpose of obtaining an approval of its application for the financial assistance hereunder. b. State or Territorial Law. Anything in the Agreement to the contrary notwithstanding, nothing in the Agreement shall require the Recipient to observe or enforce compliance with any provision thereof, perform any other act, or do any other thing in contravention of any applicable State or territorial law; Provided, That if any of the provisions of the Agreement violate any applicable State or territorial law, or if compliance with the provisions of the Agreement would require the Recipient to violate any applicable State or territorial law, the -Recipient will at once notify the Government (UMTA) in writing in order that appropriate changes and modifications may be made by the Government and the Recipient to the end that the Recipient may proceed as soon as possible with the Project. c. Records. The.Recipient, and any mass transportation operator for which it appliewill, for each local fiscal year ending on or after July 1, 1978, conform to the reporting system and the uniform system of accounts and records to the extent required by section 15 of the Urban Mass Transportation Act of 1964, as amended, 49 U.S.C. § 1611, effective for each local fiscal year ending on or after July 1, 1978, and Federal (UMTA) regulations. d. 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 1 aw . *U.S. GOVERNMENT PRINTING OFFICE : 1985-461-832/36762 Page 36