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HomeMy WebLinkAboutResolution - 2535 - Grant Application - DOT - Operating_Capital Assistance & Studies, Citibus - 03_12_1987AUTHORIZING RESOLUTION Resolution No._ 2535 Resolution 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 a mass transportation program of projects; WHEREAS, the contract for financial assistance will impose certain obligations upon the applicant, including the provision by it of the local share of the project costs in the program; WHEREAS, it is required by the U.S. Department of Transportation in accord with the provisions of Title VI of the Civil Rights Act of 1964, that in connection with the filing of an application for assistance under the Urban Mass Transportation Act of 1964, as amended, the applicant give an assurance that it will comply with Title VI. of the Civil Rights Act of i964 and the U.S. Department of Transportation requirements thereunder; and WHEREAS, it is the goal of the applicant that minority business enterprises be utilized to the fullest extent possible in connection with this project, and that definite procedures shall be established and administered to ensure that minority business shall have the maximum construction contracts, supplies, equipment contracts, or consultant and other services. NOW, THEREFORE, BE IT RESOLVED BY THE CITY COUNCIL OF LUBBOCK, TEXAS ON THIS 12th DAY OF ._._..�...�MArQh .___��_�._.�.., 1987, AS FOLLOWS, 1. That the MAYOR -is authorized to execute and file an applicaiton on behalf of the CITY OF LUBBOCK, TEXAS with the U.S. Department of Transportation to aid in the financing of planning, capital and/or operating assistance projects pursuant to Section 9 of the Urban Mass Transportation Act of 1964, as amended. 2. That the MAYOR is authorized to execute and file with such applications an assurance of any other document required by the U.S. Department of Transportation effectuating the purposes of Title VI of the Civil Rights Act of 1964. 3. That the GENERAI. MANAGER OF CITY TRANSIT MANAGEMENT COMPANY, INC., is authorized to furnish such additional information as the U.S. Department of Transportation may require in connection with the application for the program of projects. 4. That the MAYOR is authorized to set forth and execute affirmative minority business policies in connection with the program of projects' procurement needs. 5. That the MAYOR is authorized to execute grant agreements on behalf of the CITY OF LUBBOCK, TEXAS with the U.S. Department of Transportation for aid in the financing of the planning, capital and/or operating assistance program of projects. 6. That this RESOLUTION shall take effect immediately upon its adoption. PASSED BY THE CITY COUNCIL THIS __j2tb DAY OF Marc 1987. i A_C._M�CM�INN_. MAYOR R-ag=exjoya t i5:y Secretary=r APPRVED AS t0 CONTENT: LARRY Vj//1fOFFMAN '-/"- DIRECTOR OF TRANSPORTATION APPROVED AS TO FORM J. ASS Mr. Wilbur Hare UMTA Regional Office 819 Taylor Street, Suite 9A32 Fort Worth, Texas 76102 RE: Application for Section 9 Operating Assistance, Capital Assistance, Technical Studies, and Operating Assistance Amendment Dear Mr. Hare: Please find attached the City of Lubbock's application for Section 9 financial assistance for Operating Assistance, Capital Assistance, Technical Studies, and Operating Assistance Amendment pursuant to the Urban Mass Transportation Act of 1964, as amended. Our legal counsel has reviewed the agency's statutory authority, and we hereby certify that there is no pending legislation or litigation which might affect the execution(- of_' the operating, capital acquisition, technical studies, and operating assistance --amendment applied for herein. If you have any questions, please contact `John L. Wilson at (806) 762-6411, extension 2380. Sincerely, B. C. McMinn Mayor BCM:mgh Attachments UNITED STATES OF AMERICA DEPARTMENT OF TRANSPORTATION URBAN MASS TRANSPORTATION ADMINISTRATION WASHINGTON, D.C. 20590 URBAN MASS TRANSPORTATION AGREEMENT PART II TERMS AND CONDITIONS for Projects under section 3, 4(i), 6, 8, 9, 9B, 18, 18(h), 20, and/or 24 of the Urban Mass Transportation Act of 1964, as amended, 49 U.S.C. §§ 1601 et seq.; for Mass Transportation Projects under title 23, U.S.C. (Highways). Form UMTA F 5I Rev. 6/4/87 V 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, (UMT Act) and/or title 23, U.S.C. (Highways). 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 action pursuant to this Agreement which action may not be performed or omitted without such permission. An approval, authorization, concurrence, or waiver permitting the performance or omission of a specific action shall not constitute permission to perform or omit other similar actions 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. Page 1 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 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 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 or her duly authorized 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 agree to comply with all applicable provisions of Federal, State, and local law, regulations, and UMTA directives. The terms of the most recent amendment to any Federal, State, or local laws, regulations, UMTA directives, and amendments to the grant or cooperative agreement that may be subsequently adopted, are applicable to the Project to the maximum extent feasible, unless UMTA provides otherwise in writing. To the extent necessary necessary to achieve compliance with these requirements, the Recipient shall include notice of such requirements in all third party contracts, subgrants, and other sub -assistance agreements financed with UMTA assistance. All Page 2 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 expenses. 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, during the course of the project and for three years thereafter, require. The Recipient shall retain intact, for three years following Project close-out, all Project documents, financial records, and supporting documents and make these records available to the Government as it may require. e. Changed Conditions Affecting Performance. The Recipient shall immediately notify UMTA of 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. 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 of accounts, or within the framework of an established accounting system, accounts for the Project in the manner consistent with Office of Management and Budget (OMB) Circular A-102, as amended, or OMB Circular A-110, as amended, as may be appropriate. Page 3 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 amended, 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 the Agreement; (2) Be necessary in order to accomplish the Project; (3) Be reasonable in amount for the goods or services purchased; (4) Be actual net costs to the Recipient (i.e., the price paid minus any refunds, rebates, or other items of value received by the Recipient that have the effect of reducing the cost actually incurred, excluding Program Income as defined in OMB Circular A-102 or OMB Circular 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) Unless permitted otherwise by Federal statute or regulation, be in conformance with the standards for allowability of costs set forth in 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 allowability of costs set forth in OMB Circular A-21, Revised, rather then 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 OMB Circular A-122, Revised, rather than the standards of OMB Circular A-87, Revised, shall apply. '(7) Be satisfactorily documented; and Page 4 (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, including any approved services contributed by the Recipient or others, shall be supported by properly executed payrolls, time records, invoices, contracts, or vouchers evidencing in detail the nature and propriety of the charges. 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 Secretary, 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, materials, 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. The Recipient is responsible for obtaining any audits required by UMTA. To the extent that the charges for such audits are necessary for the administration and management of functions related to the Project, the costs of such audits are allowable under this Project to the extent authorized by OMB Circular A-87, Revised, OMB Circular A-21, Revised, or OMB Circular A-122, Revised. Page 5 Section 105. Rectuisitions and Pavments. a. Requests for Payment by the Recipient. 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 the Recipient 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 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 of allowability only after an audit of the Project has been conducted. In the event that the Government determines that the Recipient is not currently eligible to receive any or all of the Federal funds requested, the Government will promptly notify the Recipient stating the reasons for such determination. Unless prohibited by applicable law, the Page 6 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 Federal Government will provide, the Government will exclude: (1) 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 permitted by Federal law or regulations or unless an authorized representative of the Government advises in writing to the contrary; (2) any costs incurred by the Recipient which are not provided for in the latest approved budget for the Project; and (3) 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 UMTA directives or in other written Federal (UMTA) guidance. d. Prohibition Against Use of Federal Funds for Lobbying. The Recipient or any subrecipient shall not use Federal 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 applicable requirements of subsections 105.e.(1), (2), and (3) of this Part II. (5) The amount authorized cash requirements for projects this -does not always represent on a letter of credit may include not yet obligated. Accordingly, an amount legally obligated by the Government (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 the Government (UMTA) for a particular project. Page 7 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. (6) Should the Recipient fail to adhere to the requirements of subsections 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) Subsections 105.a., 105.b., and 105.c. of this Part II remain effective to the extent that they do not conflict with the provisions of subsection 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 funds 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 the 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. Page 8 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 any agency designated by the Government (UMTA) will perform a final audit of the Project to determine the allowability of costs incurred, and will make settlement of the Federal assistance for the Project 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 Part II subsections 105.e. and 105.f. Project close-out occurs when the Government notifies the Recipient and forwards the final Federal assistance payment or when an appropriate refund of Federal assistance 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 Protect Facilities/Eauinment. 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 OMB Circular 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 OMB Circular 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 Page 9 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. The following guidelines shall be followed in determining the fair market value. Unless otherwise approved in writing by UMTA, the fair market value of both real and personal property will be the value of the property at the time immediately before the reason occurred that prompted the decision to withdraw the property from transit use. For example, in the event of loss or damage to the property by casualty or fire, the fair market value of the property will be calculated immediately before the loss or damage, irrespective of the extent of insurance coverage. In the case of real property, the fair market value shall be determined by competent appraisal consistent with the standards of 49 C.F.R. § 25.103.. In the case of personal property, fair market value shall be based on straight line depreciation of the property, based on the industry standard for useful life, irrespective of the reason for withdrawal of the property from transit use. The Government, however, reserves the right to require another method of valuation to be used, if the Government finds that special circumstances so require to assure the protection of the Federal investment. In unusual circumstances the Recipient may request another reasonable method of determining fair market value, including but not limited to accelerated depreciation, comparable sales, or established market values. In determining whether to approve an alternate method, the Government may consider any action taken, omission made or unfortunate occurrence suffered by the Recipient with respect to the preservation or conservation of the value of the facilities or equipment that were either lost or destroyed in a casualty or fire or otherwise withdrawn from service. 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. Page 10 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, to 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 Project implementation, 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 Part II, Section lll.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. (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 Page 11 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 title 23, United States Code (Highways). 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, and shall comply with any regulations that may be issued to implement Pub. L. 100-17, § 106 (c), April 2, 1987. Pursuant to the requirements of 49 C.F.R. 23.43, the following clauses must be inserted in each third party contracts (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 AGREEMENT1. tW 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 assistant 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 12 (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 23.41(a)(3) and has business opportunities for lessees shall submit to the Department for approval with its programs overall goals for the participation as lessees of 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 subsections (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. Page 13 d. Competition in Procurement. The Recipient shall comply with the Procurement Standards requirements set forth in Attachment O of OMB Circular A-102, as amended, or OMB Circular A-110, as amended, 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 of Section 117 herein, no Federal funds shall be used to support procurements utilizing exclusionary or discriminatory specifications. The Recipient agrees that it will comply with the requirements of Pub.L. 100-17, § 316, 49 U.S.C. § 1608(b)(4) and any implementing Federal regulations, directives, or instructions pertaining to the procurement of program management, construction management, feasibility studies, preliminary engineering, design, architectural, engineering, surveying, mapping or related services. e. Force Account. The Government (UMTA) reserves the right to determine the extent to which 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. Page 14 g. Ethics. The Recipient shall maintain a written code or standards of conduct which code or standards shall govern the performance of its officers, employees, board members or agents engaged in the award and administration of contracts supported by Federal funds. Such code or standards shall provide that no employee, officer, board member, 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, board member, 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, board members, 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, board members, or agents, or by contractors or their agents. h. Interest of Members of or Delegates to Congress. No member of or delegate to the Congress of the United States shall be admitted to any share or part of this Agreement or to any benefit arising therefrom. Section 111. Construction Contracts. The following provisions are applicable: a. Nondiscrimination._ Pursuant to 41 C.F.R. § 60-1.4(b)(1) and § 60-1.4(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 Page 15 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. (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, Page 16 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 WITA` Y"OF THE 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 EXECUTIVE ORDER 11246 OF SEPTEMBER 24, 1965, AS AMENDED, AND SUCH OTHER SANCTIONS MAY BE IMPOSED AND REMEDIES INVOKED AS PROVIDED IN EXECUTIVE ORDER 11246 OF SEPTEMBER 24, 1965, OR BY RULE, REGULATION, OR ORDER OF THE. SECRETARY OF LABOR, OR AS OTHERWISE PROVIDED BY LAW.` (g) THE CONTRACTOR WILL INCLUDE A CITATION TO 41 C.F.R. §§ 60-1.4(b)(1) AND 60-1.4(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'SUBCONTRACT OR PURCHASE ORDER AS THE URBAN MASS TRANSPORTATION ADMINISTRATION MAY DIRECT AS A MEANS OF ENFORCING SUCH PROVISIONS, INCLUDING SANCTIONS FOR NONCOMPLIANCE PROVIDED, HOWEVER, THAT IN THE EVENT A CONTRACTOR BECOMES INVOLVED . ..:..:......:.. IN, OR IS THREATENED WITH, `LIT! GATION WITH­A: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. Page 17 (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. (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 Executive order; and will carry out such sanctions and penalties for violation of the equal opportunity clause as may be imposed upon contractors and subcontractors by the 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; 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. § 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 AREAS DESCRIBED IN THE SOLICITATION FROM WHICH THIS CONTRACT RESULTED; Page 18 14 t (b) "DIRECTOR" MEANS DIRECTOR, OFFICE OF FEDERAL CONTRACT COMPLIANCE PROGRAMS, UNITtbDy ATES 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 ORIGIN); (ii) HISPANIC (ALL PERSONS OF MEXICAN, PUERTO RICAN, CUBAN, CENTRAL OR SOUTH AMERICAN OR OTHER SPANISH CULTURE OR ORIGIN, REGARDLESS OF RACE); (iii) ASIAN AND PACIFIC ISLANDER (ALL PERSONS HAVING ORIGINS IN ANY OF THE ORIGINAL PEOPLES OF THE FAR EAST, SOUTHEAST'ASIA, THE INDIAN SUBCONTINENT,, OR THE PACIFIC ISLANDS); AND (iv) AMERICAN INDIAN OR ALASKAN NATIVE (ALL PERSONS HAVING ORIGINS IN ANY OF THE ORIGINAL PEOPLES OF NORTH AMERICA AND MAINTAINING -IDENTIFIABLE TRIBAL AFFILIATIONS --THROUGH MEMBERSHIP AND PARTICIPATION�OR��COMMUNITY IDENTIFICATION). (2) WHENEVER THE CONTRACTOR, OR ANY SUBCONTRACTOR AT ANY TIER, SUBCONTRACTS A PORTION" -OF THE WORK INVOLVING ANY CONSTRUCTION TRADE, IT SHALL PHYSICALLY INCLUDE IN EACH SUBCONTRACT IN EXCESS OF $10,000 THE PROVISIONS OF THESE SPECIFICATIONS AND `THE N'OTICE'WHICH CONTAINS THE APPLICABLE GOALS FOR MINORITY AND FEMALE PARTICIPATION AND WHICH IS SET FORTH'IN THE SOLICITATIONS FROM WHICH THIS CONTRACT RESULTED. (3) IF THE CONTRACTOR IS PARTICIPATING (PURSUANT TO 41 C.F.R. § 60-4.5) IN A HOMETOWN PLAN APPROVED BY THE U. S. DEPARTMENT OF LABOR IN THE COVERED AREA, EITHER INDIVIDUALLY OR THROUGH AN ASSOCIATION, ITS AFFIRMATIVE ACTION OBLIGATIONS ON ALL WORK IN THE PLAN AREA (INCLUDING GOALS AND TIMETABLES) SHALL BE IN ACCORDANCE WITH THAT PLAN FOR THOSE TRADES WHICH HAVE UNIONS PARTICIPATING IN THE PLAN. CONTRACTORS MUST BE ABLE TO DEMONSTRATE `THE IR PARTICIPATION'IN AND COMPLIANCE WITH THE PROVISIONS OF ANY SUCH'HOMETOWN PLAN. EACH CONTRACTOR OR SUBCONTRACTOR PARTICIPATING IN AN APPROVED PLAN I$ INDIVIDUALLY REQUIRED'TO COMPLY WITH ITS OBLIGATIONS 1.UNDER 1.THE EEO CLAUSE, AND TO MAKE A GOOD FAITH EFFORT TO ACHIEVE EACH GOAL UNDER THE PLAN IN Page 19 EACH TRADE IN WHICH IT HAS EMPLOYEES. THE OVERALL GOOD FAITH PERFORMANCE BY OTHER CONTRACTORS OR SUBCONTRACTORS -TOWARD A GOAL IN AN APPROVED PLAN DOES NOT EXCUSE ANY COVERED CONTRACTOR'S OR SUBCONTRACTOR'S FAILURE TO MAKE GOOD FAITH EFFORTS TO'ACHIEVE tkt PLAN GOALS AND TIMETABLES. (4) THE CONTRACTOR SHALL IMPLEMENT THE SPECIFIC AFFIRMATIVE ACTION STANDARDS PROVIDED IN PARAGRAPHS (7)(a) THROUGH (p) OF THESE SPECIFICATIONS. THE GOALS SET FORTH IN THE SOLICITATION FROM WHICH THIS CONTRACT RESULTED ARE EXPRESSED AS PERCENTAGES OF THE TOTAL HOURS OF EMPLOYMENT AND TRAINING OF MINORITY AND FEMALE UTILIZATION THE CONTRACTOR SHOULD REASONABLY BE ABLE TO ACHIEVE IN EACH CONSTRUCTION TRADE IN WHICH IT HAS EMPLOYEES IN THE COVERED AREA. COVERED CONSTRUCTION CONTRACTORS PERFORMING CONSTRUCTION WORK IN GEOGRAPHICAL AREAS WHERE THEY DO NOT HAVE A FEDERAL OR FEDERALLY ASSISTED CONSTRUCTION CONTRACT SHALL APPLY THE MINORITY AND FEMALE GOALS ESTABLISHED FOR THE GEOGRAPHICAL AREA WHERE THE WORK IS BEING PERFORMED. GOALS ARE PUBLISHED PERIODICALLY IN THE FEDERAL REGISTER IN NOTICE FORM, AND SUCH NOTICES MAY BE OBTAINED FROM ANY OFFICE OF FEDERAL CONTRACT COMPLIANCE PROGRAMS OFFICE OR FROM FEDERAL PROCUREMENT CONTRACTING OFFICERS. THE CONTRACTOR IS EXPECTED TO MAKE SUBSTANTIALLY UNIFORM PROGRESS TOWARD ITS GOAL IN EACH CRAFT DURING THE PERIOD SPECIFIED. (5) NEITHER THE PROVISIONS OF ANY COLLECTIVE BARGAINING._ AGREEMENT, NOR THE FAILURE BY A UNION WITH WHOM THE CONTRACTOR HAS A COLLECTIVE BARGAINING AGREEMENT, TO REFER EITHER MINORITIES OR WOMEN SHALL EXCUSE THE CONTRACTOR'S OBLIGATIONS UNDER THESE SPECIFICATIONS, EXECUTIVE ORDER 11246, OR THE REGULATIONS PROMULGATED PURSUANT THERETO. (6) IN ORDER FOR THE NONWORKING TRAINING HOURS OF APPRENTICES AND TRAINEES TO BE COUNTED IN MEETING THE GOALS, SUCH APPRENTICES AND TRAINEES MUST BE EMPLOYED BY THE CONTRACTOR DURING THE TRAINING PERIOD, AND THE CONTRACTOR MUST HAVE MADE A COMMITMENT TO EMPLOY THE APPRENTICES AND TRAINEES AT THE COMPLETION OF THEIR TRAINING, SUBJECT TO THE AVAILABILITY OF EMPLOYMENT OPPORTUNITIES. TRAINEES MUST BE TRAINED PURSUANT TO TRAINING PROGRAMS APPROVED BY THE U. S. DEPARTMENT OF LABOR. (7) THE CONTRACTOR SHALL TAKE SPECIFIC AFFIRMATIVE ACTIONS TO ENSURE EQUAL EMPLOYMENT OPPORTUNITY. THE EVALUATION OF THE CONTRACTOR'S COMPLIANCE WITH THESE SPECIFICATIONS SHALL BE BASED UPON ITS EFFORT TO ACHIEVE MAXIMUM RESULTS FROM ITS ACTIONS. THE CONTRACTOR SHALL DOCUMENT THESE EFFORTS FULLY, AND SHALL IMPLEMENT AFFIRMATIVE ACTION STEPS AT LEAST AS EXTENSIVE AS THE FOLLOWING: Page 20 (a) ENSURE M i WORKING ENVIRONMENT FREE OF HARASSMENT, INTIMIDATI , at OERCIOI AT ALL SITES, AND IN ALL FACILITIES AT WHTdlf__ . CONTRACTOR'S EMPLOYEES ARE ASSIGNED TO WORK. THE 'CONTRACTOR! WHERE POSSIBLE,"W -LL'ASSI,N TWO OR MORE WOMEN TO EACH CONSTRUCTfOT PROJECT. THE, CONTRACTOR SHALL SPECIFICALLY ENSUME`� ALL FOREMEN, SUPERINTENDENTS, AND OTHER ON -SITE SUPERVISORY PrA9-6 ARE AWARE OF AND CARRY OUT THE CONTRACTOR'S OBLIGATION TO MAINTAIN .SUCH,;A,WORKING ENVIRONMENT, WITH SPECIFIC `ATTEN�TION`TO MINORITY OR FEMALE INDIVIDUALS WORKING AT SUCH SITES OR` `IN S J bif FACILITIES. (b) ESTABLISH AND MAINTAIN A CURRENT LIST OF MINORITY 1.AND FEMALE RECRUITMENT' SOURCES, PROVIDE WRITTEN NOTIFICATION TO MINORITY AND FEMALE RECRUITRk#t SOUL CES AND TO COMMUNITY ORGANIZATIONS WHEN THE C6NTAk&6Lt_OR ITS UNIONS HAVE EMPLOYMENT OPPORTUNITIES AVAILABLE, ANC MAI1TAIN A RECORD OF THE ORGANIZATIONSI-RESPONSES. (c) MAINTAIN A I TELEPHONE NUMBERS OF `HKMA APPLICANT AND MINORITY109 1 RECRUITMENT SOURCE OR COMW WAS TAKEN WITH RESPECT TO"] INDIVIDUAL WAS SENT TO THE NOT REFERRED BACK TO THE Cl NOT EMPLOYED BY' THE CdNTR) FILE WITH THE REASON THEREI ACTIONS'THE CONTRACTOR ­MAY M A AND ca v.. vv vas +a ✓} +✓vsaar • UNION HIRING` HALL FOR ,NTRACTOR BY THE UNION lOt'TH'ISAS3HALL BE DO bR, ALONG WITH WHATEV HAVE TAKEN. (d) PROVIDE IMMEDIATE DIRECTOR WHEN THE UNION OR UNION COLLECTIVE BARGAINING AGREEMENT A MINORITY PERSON OR WOMAN'140 CONTRACTOR HAS OTHER "I'v'dA ON HAS IMPEDED THE CONTRACTOR'S EFF, (e) DEVELOP ON PARTICIPATE IN TRAINING"P INCLUDE MINORITIES AND iW AES, ADDRESSES AND F-THE-STREET UNION, A OF WHAT ACTION IF SUCH REFERRAL AND WAS OR, IF REFERRED, ANTED IN THE rRITTEN NOTIFICATION TO THE WITH WHICH THE CONTRACTOR HAS A s NOT REFERRED TO THE CONTRACTOR TrE CONTRACTOR, OR WHEN THE . w. ..�., i � ram 'HAT UNION.REFERRAL PROCESS ,TS TO MEET ITS OBLIGATIONS. TIES AND/OR EXPRESSLY' APPRENTICESHIP AND 'TRAINEE PROG RAMS RELEVANT'TOTHE CONTRACTOR' 5 EMPLOYMENT NEEDS -, 'ESPECIALLY THOSE PROGRAMS FUNDED OR APPROVED BY THE DEPARTMENT OF LABOR. THE CONTRACTOR SHALL PROVIDE NOTICE OF THESE PROGRAMS TO THE SOURCES COMPILED UNDER (7)(b) ABOVE. (f) DISSEMINATE THE CONTRACTOR'S`EE0 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 Page 21 AND COLLECTIVE BARGAINING AGREEMENT; BY PUBLICIZING IT IN THE COMPANY NEWSPAPER, ANNUAL REPORT, ETC.; BY SPECIFIC REVIEW OF THE POLICY -WITH ALL MANAGEMENT PERSONNEL AND WITH ALL MINORITY AND FEMALE EMPLOYEES AT LEAST ONCE A YEAR; AND BY POSTING THE COMPANY EEO POLICY ON BULLETIN BOARDS ACCESSIBLE TO ALL EMPLOYEES AT EACH LOCATION WHERE CONSTRUCTION WORK IS PERFORMED. (g) REVIEW, AT LEAST ANNUALLY, THE COMPANY'S EEO POLICY AND AFFIRMATIVE ACTION OBLIGATIONS UNDER THESE SPECIFICATIONS WITH ALL EMPLOYEES HAVING RESPONSIBILITY FOR HIRING, ASSIGNMENT, LAYOFF, TERMINATION OR OTHER EMPLOYMENT DECISIONS INCLUDING SPECIFIC REVIEW OF THESE ITEMS WITH ON -SITE SUPERVISORY PERSONNEL SUCH AS SUPERINTENDENTS, GENERAL FOREMAN, ETC., PRIOR TO THE INITIATION OF CONSTRUCTION WORK AT ANY JOB SITE. A WRITTEN RECORD SHALL BE MADE AND MAINTAINED IDENTIFYING THE TIME AND PLACE OF THESE MEETINGS, PERSONS ATTENDING, SUBJECT MATTER DISCUSSED,"AND DISPOSITION OF THE SUBJECT MATTER. (h) DISSEMINATE THE CONTRACTOR'S EEO POLICY EXTERNALLY BY INCLUDING IT IN ANY ADVERTISING IN THE NEWS MEDIA, SPECIFICALLY INCLUDING MINORITY AND FEMALE NEWS MEDIA, AND PROVIDING WRITTEN NOTIFICATION TO AND DISCUSSING THE CONTRACTOR'S EEO POLICY WITH OTHER CONTRACTORS AND SUBCONTRACTORS WITH WHOM THE CONTRACTOR DOES OR ANTICIPATES DOING BUSINESS. (i) DIRECT 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. Page 22 (1) CONDUCT, AT'-iZAST-' LY'l ­1 AN INVENTORY AND EVALUATION AT LEAST OF ALL'MINORITY-Ub"I PERS I ONNEL -:1 FOR PROMOTIONAL OPPORTUNITIES'ANb'ENdOURAGE THESE EMPLOYEES TO SEEK OR TO PREPARE FOR THROUaH.'APVjk6PAtAtt­ tAkfNlNd, ETC. I SUCH OPPORTUNITIES. (m) ENSURE THAT SEX: CLASSIFICATIONS, WORK ASSIGN)MI DO NOT HAVE A__DISCRIM%NXTd_R_Y PERSONNEL AND EMPLOYMENT RELAT' POLICY AND THE CONTRACTOR'S OB: ARE BEING CARRIED I OUT. ORITT PRACTICES, JOB T9AND OTHER PRACTICES FELT "BY ldbft_INUAL_LY`M tT6RtNG'AtL 6' X&rvl ��_Tld E1JSU12E THAT THE 'EEO* IGATIONS_'UNDn"THE'8t SPECIFICATIONS (n) ENSURE THAT ALL FACILITIES AND COMPANY ACTIVITIES ARE NONSEGREGATED EXCEPT THAT SEPARATE 'OR SINGLE USER TOILET AND NECESSARY CHANGING FACILITIES -SHALL _At. fRbVtD­9b_Td'AS_SURE . PRIVACY BETWEEN SEXES. (o) DOCUMENT AND MAINTAIN A RECORD OF ALL SOLICITATIONS OF OFFERS FOR SUBCONTRACTS FROM MINORITY AND FEMALE CONSTRUCTION NSTRUCTION CONTRACTORS AND SUPPLIERS, INCLUDING CIRCULATION OF SOLICITATIONS TO MINORITY AND FEMALE CONTRACTOR ASSOCIATIONS AND OTHER BUSINESS ASSOCIATIONS. (p) CONDUCT A REVIEW ATLEASTALLY'—` F ALL 10 D'PE1110 S dONTRACTOR' SUPERVISORS' ADHERENCE:' EEO POLICIES AND`AFFIRMATIVE.ACTION 0 LIOATIb9g. (8) CONTRACTORS ARE" ENCOURAiGED'_TOP,VOLUNTARYk ASSOCIATIONS WHICH ASSIST IN FULFILLING- bl&" OR MORE OF THEIR AFFIRMATIVE ACTION OBLIGATIONS SET"FORTH IN PARAGRAPHS 1 a , THROUGH (p). THE EFFORTS OF'A':CONTRACTOR 'ASSOCIATION,I . , . JOINT CONTRACTOR -UNION, CONTRACTOR COMMUNITY, OR OTHER SIMILAR GROUP OF WHICH THE CONTRACTOR ISAMEM8ER'.!AND PARTICIPANT, MAY BE ASSERTED AS FULFILLING ANY ON. E , r _... IT , S .. OBLIGATIONS UNDER (7)(a) THROUGH (p) OF THESE SPECIFICATIONS, PROVIDED , THATI THE CONTRACTOR ACTIVELY PARTICIPATES iN THE GROUP, MAKES EVERY EFFORT TO ASSURE THAT THE' r.R6UP'H"`A2POS'tTIVE 'IMPACT ON THE EMPLOYMENT OF MINORITIES AND WOMEN . IN THEINDUSTRY,ENSURES THAT THE CONCRETE BENEFITS OF THE PROGRAM ARE REFLECTEO"IR TftfCON`tRACTbR 'I'S 'MINORITY AND FEMALE WORKFORCE ­PAA TI ; C I I P . Alt, 10 . K M . A . XE .§_� k­G­'6,0­D;;i­FAITH 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, Page 23 HOWEVER, IS THE CONTRACTOR'S AND FAILURE OF,SUCH A GROUP TO FULFILL AN OBLIGATION SHALL NOT BE A DEFENSE FOR THE CONTRACTOR'S NONCOMP-LIANCE. (9) A SINGLE GOAL FOR MINORITIES AND A SEPARATE SINGLE GOAL FOR WOMEN HAVE BEEN ESTABLISHED. THE CONTRACTOR, HOWEVER, IS REQUIRED TO PROVIDE EQUAL EMPLOYMENT OPPORTUNITY AND TO TAKE AFFIRMATIVE ACTION FOR ALL MINORITY GROUPS, BOTH MALE AND FEMALE, AND ALL WOMEN, BOTH MINORITY AND NON -MINORITY. CONSEQUENTLY, THE CONTRACTOR MAY BE IN VIOLATION OF THE EXECUTIVE ORDER IF A PARTICULAR GROUP IS EMPLOYED IN A SUBSTANTIALLY DISPARATE MANNER (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, OT NATIONAL ORIGIN. '(11) THE CONTRACTOR SHALL NOT ENTER INTO ANY SUBCONTRACT WITH ANY PERSON OR FIRM DEBARRED FROM GOVERNMENT CONTRACTS PURSUANT TO EXECUTIVE ORDER 11246. (12) THE CONTRACTOR 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 ITS IMPLEMENTING REGULATIONS, BY THE OFFICE OF FEDERAL CONTRACT COMPLIANCE PROGRAMS. ANY CONTRACTOR WHO FAILS TO CARRY OUT SUCH SANCTIONS AND PENALTIES SHALL BE IN VIOLATION OF THESE SPECIFICATIONS AND EXECUTIVE ORDER 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. _ Page 24 (14) THE CONTRACTOR SHALL`DESIGNATE" A RESPONSIBLE OFFICIAL, TO MONITOR ALL EMPLOYMENT RELATED ACTI11 `TQ ENS „ THAT THE COMPANY EEO POLICY IS'BEING"CAR kb_'OUT TO SUBMIT REPORTS RELATING TO THE PROVISIONS HEREOF AS MAY BE REQUIRED BY THt GOVERNMENT AND TO KEEP RECORDS. RECORDS SHALL AT LEAST INCLUDE FOR EACH EMPLOYEE THE NAME, ADDRESS,"TELEPHONE NUMBERS, CONSTRUCTION TRADE, UNION AF�'I'�,1ATTOI' ANY;` EMPLOYEE IDENTIFICATION NUMBER in' N 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; AR LOCATI.6NS A.T WHICH THE WORK WAS PERFORMED. RECORDS SHALL' BE '1 AI9TAIm" if AN` EASILY UNDERSTANDABLE AND RETRIEVABLE „FORM; HOWEVER, TO THE DEGREE THAT EXISTING RECORDS SATISFY THIS REQUIREMENT, CONTRACTORS SHALL NOT BE REQUIRED TO MAINTAIN- SEPARA`TV, iRDS (15) NOTHING HEREIN PROVIDED SHALL BE CONSTRUED AS A LIMITATION UPON THE APPLICATION OF OTHER LAWS WHICH ESTABLISH ............ DIFFERENT STANDARDS OF COMPLIANCE OR'IV THEE APPLIaC�,A�,�,•TION OFr REQUIREMENTS FOR THE HIRING OF LOC�iL OR ETHER AREA tC�,SIbEI_TS ' Y (E.G., THOSE UNDER THE PUBLIC WORRS'EIPLOYMENT ACT„OF_1977 AND THE .. COMMUNITY DEVELOPMENT BLOCK` GRANT PROGRAM. )' c. Notice. The Recipient hereby agrees that it will ensure that the notice set forth below shall be included in, and shall be a part of, all solicitations for offers and bids on all Federal and. federally assisted construction contracts or subcontracts in excess of $10,000 to be performed in geographical area designated by the Director, Office of Federal Contract Compliance Programs of the Department of Labor at 41 C.F.R. § 60-4.2: NOTICE OF REQUIREMENT FOR AFFIRMATIVE ACTION TO ENSURE EQUAL EMPLOYMENT OPPORTUNITY ( EXECUTIVE ORDEiZ ..112 4 6) . . (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. Page 25 (2) (a) THE GOALS AND THE 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: TIMETABLES GOALS FOR MINORITY GOALS FOR FEMALE PARTICIPATION IN PARTICIPATION IN EACH TRADE EACH TRADE INSERT GOALS FOR INSERT GOALS FOR EACH YEAR EACH YEAR (b) THESE GOALS ARE APPLICABLE TO ALL THE CONTRACTOR'S CONSTRUCTION WORK (WHETHER OR NOT IT IS FEDERAL OR FEDERALLY ASSISTED) PERFORMED IN THE COVERED AREA. IF THE CONTRACTOR PERFORMS CONSTRUCTION WORK IN A GEOGRAPHICAL AREA LOCATED OUTSIDE OF THECOVERED IT SHALL APPLY THE GOALS ESTABLISHED FOR SUCH GEOGRAPHICAL AREA WHERE THE WORK IS ACTUALLY PERFORMED. WITH REGARD TO THIS SECOND AREA, THE CONTRACTOR ALSO IS SUBJECT TO THE GOALS FOR BOTH ITS FEDERALLY INVOLVED AND NONFEDERALLY INVOLVED CONSTRUCTION. (c) THE CONTRACTOR'S COMPLIANCE WITH THE EXECUTIVE ORDER AND THE REGULATIONS 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 Page 26 CONTRACT RESULTING FROM THIS SOLICITATION. THE NOTIFICATION SHALL LIST THE NAME, ADDRESS AND TELEPHONE NUMBER OF"THESUBCONTRACTOR; EMPLOYER IDENTIFICATION N[JMBER OF THE SUBCONTRACTOR; ESTIMATED DOLLAR AMOUNT OF THE-SUBCONTRAC,; ESTIMATED STARTING AND COMPLETION DATES OF THE SUBCONTRACT AND THE GEOGRAPHICAL AREA IN WHICH THE SUBCONTRACT'IS TO BE PERFORMED. (4) AS USED IN THIS NOTICE, AND IN THE CONTRACT RESULTING FROM THIS SOLICITATION, THE "COVERED AREA" IS (INSERT DESCRIPTION OF THE GEOGRAPHICAL AREAS WHERE THE CONTRACT IS TO BE PERFORMED, GIVING THE STATE, COUNTY AND'CITY, IF ANYA). d. Accommodations for the Physically Handicapped. UMTA assisted construction, designs, and alterations shall be undertaken in accordance with and meet the requirements of the provisions of General Services Administration (GSA) regulations set forth at 41 C.F.R. Subpart 101-19.6, unless an exception is granted in writing by UMTA or a waiver is granted in writing by GSA. e. Contract Security. The Recipient shall follow the requirements of OMB Circular A-102, as amended, or OMB Circular A-110, as amended, to the extent 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 normally required by its 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 Standards 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. Page 27 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 determine. The assessment for damages shall be at a specific rate per day for each day of overrun in contract time; and the rate must be specified in the third party contract. Any liquidated damages recovered shall be credited to the Project account involved unless the Government permits otherwise. Section 112. Labor Provisions. a. Construction Contracts. 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 C.F.R. PART 3), THE FULL AMOUNT OF WAGES AND BONA FIDE FRINGE BENEFITS (OR CASH EQUIVALENTS THEREOF) DUE AT THE TIME OF PAYMENT COMPUTED AT RATES NOT LESS THAN THOSE CONTAINED IN THE WAGE DETERMINATION OF THE SECRETARY OF LABOR WHICH IS ATTACHED HERETO AND MADE A PART HEREOF, REGARDLESS OF ANY CONTRACTUAL RELATIONSHIP WHICH MAY BE ALLEGED TO EXIST BETWEEN THE CONTRACTOR AND SUCH LABORERS AND MECHANICS. CONTRIBUTIONS MADE OR COSTS REASONABLY ANTICIPATED FOR BONA FIDE FRINGE BENEFITS UNDER SECTION 1(b)(2) OF THE DAVIS-BACON ACT ON BEHALF OF LABORERS OR MECHANICS ARE CONSIDERED WAGES PAID TO SUCH LABORERS OR MECHANICS, SUBJECT TO THE PROVISIONS OF 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 Page 28 DEEMED TO BE CONSTRUCTIVEtV­MADt_­OA !RttAAtD DURING SUCH WEEKLY PERIOD. SUCH LABORERS"' "Dl'nd 9­91 'It- PAID' tke xvvi(d tE. WAGE RATE AND FRINGE Br9EFITr9­dN­' Vk CLASSIFICATION - OF'_WORX Ptgk6 b SKILL, EXCEPT AS ".1­5. 5 (a) (4) . LABORERS OR MECHANICS PERFORMING WORK ­ 4ft dw S . IFIC low BE COMPENSATED AT THE RATE SPECIFIED F!tD'PbA­ EACH CLASSIFICATION FOR Mml ­`PROVIDED, _v,tt�, . ­­ ..: I . DED,, T T TIME -ACTUALLY WORKED T REI,: pft f HE EMPLOYER S PAYROLL RECORDS ACCURATELY `SET _-FORTH THE TIME ­9PEXT_ TIC-lAta' CLASSIFICATION 114- WHICH `W6Wl9­ P't t t 3' PON` t * A I ft 0 , k (INCLUDING ANY ADDITIONAL L . CLASSIFICATION AND -w i UNDER PARAGRAPH (a)(1)(ii) OF 20 C.F R. 5 5 AND T DAMS BACON POSTER (WH-1321) SHALL BE POSTED AT C.F.R. TIMES BY TiE CONI'12ACTOR AND ITS SUBCONTRACTORS- P OMi ft ACCESSIBLE PLACE WHERE -IT 11 CAN"'B2EAfft L­Y­__ 20"BY,. WORKERS. (b) 1. THE CONTRACTING OFFICER SHALL REQUIRE THATI­A'N'Y_ CLASS OF LABORERS OR_XECHA9rd_S­WHrC 1S - sair - tlgTrtj -, fir THE WADE ­t k_ CONTRACT I DETERMINATION AND 'WHICH' 18� RAC SHALL BE CLASSIFIED IN CONFORMANCE TH THt." WAGE­­`DETERkl�ON. THE VE CONTRACTING OFFICER SHALL APPR, CLASSIFICATION � t61N' I AND WAGE RATE AND FRINGE BE INEPTIV8­11 CRITERIA HAVE BEEN MET' a. THE WORK -TO BE CLASSIFICATION REQUESTED -IS'MOT PERFORMED bt'_A "CLASSIFICATION IN THE WAGE DETERMINATION";'" b. THE CLASSIFICATION IS UTILIZED IN, THE AREA BY THE CONSTRUCTION INDUSTRY ANV mY c. THE PROPOSED WAGE RATE, INCLUDING ANY'BONA FIDE FRINGE BENEFITS, BEARS A REASONABLE RELATIONSH-I-P'T-O THE WAGE, RATES CONTAINED IN THE 'WAGE 2. IF THE CONTRACTOR AND THE LABORERS -AND':'ndlb�&;ICs' TO BE EMPLOYED IN THE -CLASSTPf"CATTON IF" KNOWN OR THEIR REPRESENTATIVES, AND THE 4f !_?Tff&f '6PPVCkA`AGREE 'Oft THE CLASSIFICATION AND WAGE, 'RATE (INCLUDING THE AMOUNT -bv tditktll, I'D' FOR FRINGE BENEFITS WHERE APPROPRIATE), A-4-R-EP69t.OF THE ACTIdT TAKE` - SHALL BE SENT BY THE- CONTRACTING IN ST, TOR 'OF' THE WAGE AND HOUR DIVISION, ' EMPLOYMENT` STANDARDS U. S. DEPARTMENT OF LABOR, WASHINGTON, D.C'.'20110. .THE Page 29 ADMINISTRATOR, OR AN AUTHORIZED REPRESENTATIVE, WILL APPROVE, MODIFY, OR DISAPPROVE EVERY ADDITIONAL CLASSIFICATION ACTION WITHIN 30 DAYS OF RECEIPT AND SO ADVISE THE CONTRACTING OFFICER OR WILL NOTIFY THE CONTRACTING OFFICER WITHIN THE 30-DAY PERIOD THAT ADDITIONAL TIME IS NECESSARY. 3. IN THE EVENT THE CONTRACTOR, THE LABORERS OR MECHANICS TO BE EMPLOYED IN THE CLASSIFICATION OR THEIR REPRESENTATIVES, AND THE CONTRACTING OFFICER DO NOT AGREE ON THE PROPOSED CLASSIFICATION AND WAGE RATE (INCLUDING THE AMOUNT DESIGNATED FOR FRINGE BENEFITS, WHERE APPROPRIATE), THE CONTRACTING OFFICER SHALL REFER THE QUESTIONS INCLUDING THE VIEWS OF ALL INTERESTED PARTIES AND THE RECOMMENDATION OF THE CONTRACTING OFFICER, TO THE ADMINISTRATOR FOR DETERMINATION: THE ADMINISTRATOR, OR AN AUTHORIZED REPRESENTATIVE, WILL ISSUE A DETERMINATION WITHIN 30 DAYS OF RECEIPT AND SO ADVISE THE CONTRACTING OFFICER OR WILL NOTIFY THE CONTRACTING OFFICER WITHIN THE 30-DAY PERIOD THAT ADDITIONAL TIME IS NECESSARY. 4. THE WAGE RATE (INCLUDING FRINGE BENEFITS WHERE APPROPRIATE) DETERMINED PURSUANT TO SUBPARAGRAPHS (a)(i)(1.)(B) OR (C) OF 29 C.F.R. SECTION 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 w 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_O_ LABOR.AXS FOUND, UPON THE WRITTEN REQUEST OF THE CONTRACTOR, THAT THE_..___`__ APPLICABLE STANDARDS OF THE DAVIS-BACON ACT HAVE BEEN MET: TiiE~.m.W_ 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. Page 30 (2) WITHHOLDING. DOT SHALL UPON ITS OWN ACTION OR UPON WRITTEN REQUEST OF AN AUTHORIZED REPRESENTATIVE OF THE DEPARTMENT_ OF LABOR TOCAUSE TO BE WITHiE FROM THE CONTRACTOR, UNDER THIS AGREEMENT OR ANY* FEb2AL` CONTRACT SITI 'Tiff `SAME RECIPIENT OR ANY OTHER FEDERALLY ASSITED CONTRACT SUBJECT TO DAVIS-BACON PREVAILING' WAGE" REQUIREf EI T' l- WHICH IS HELD BY THE ` SAME PRIME CONTRACTOR, SO' MUCH OF THE ­�iCCRUED `PAYMENTS OR !,AbVAN&.8 AS MAY BE CONSIDERED NECESSARY TO PAY ER LABORS AND MECHANICS, INCLUDING APPRENTICES, TRAYNEES,`AND HELPERS, EMPLOYED BY THE CONTRACTOR OR ANY SUBCONTRACTOR THE FULL AMOUNT OF WAGES REQUIRED BY THE CONTRACT. IN THE EVENT OF FAILt7wRE TO PAY ANY LABORER OR MECHANIC, INCLUDING -ANT APPRE T` , 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 `�1949v INN THE CONSTRUCTION OR DEVELOPMENT OF THE PRO:TECT7, ALL OR PART OF THE; WAGES REQUIRED BY�THE CONTRACT, DOT MAY, AFTER WRITTEN NOTICE TO , THE CONTRACTOR, SPONSOR, APPLICANT; OR OWNER, TAKE SUCH,ACTION AS MAY BE NECESSARY TO'CAUSE THE SUSPENSION OF'ANY FURTHER PAYMENT, ADVANCE, OR GUARANTEE OF FUNDS UNTIL SUCH VIOLATIONS HAVE CEASED. (3) PAYROLLS AND BASIC RECORDS. (a) PAYROLLS AND BASIC RECORDS REBATING THERETO SHAL _bt MAINTAINED BY THE CONTRACTOR DURING THE COURSE OF THE WORK AND` PRESERVED FOR A PERIOD OF THREE__YEARS THEREAFTER FOR ALL LABORERS AND MECHANICS WORKING AT THE SITE 0' THE WORK (OR UNDER THE UNITED STATES HOUSING `ACT bF 193`1 OR UNDER THE iiOUSING `ACT OF 1949, IN THE CONSTRUCTION OR DEVELOPMENT OF�,THE PROJ'& . 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 dbNtA±kTTI6NS`OR COSTS ANTICIPATED FOR BONA FIDE FRINGE BkRiFITS OR CASH EQUIVALENTS THEREOF OF THE TYPES DESCRIBED ��IN _ SRCTI`d �`>1(b`� (2) (B) OF-1 F THE DAVIS- BACON ACT)., DAILY AND WEEKLY NUMBER OF'HOURS WORKED, DEDUCTIONS MADE AND ACTUAL WAGES PAID WHENEVER-THE'SECRETARY LABOR'HAS FOUND UNDER 29 C.F.R. § 5.5(a)(1)(ly) THAT THE WAGES OF ANY LABORER OR MECHANIC INCLUDE' THE AMOUNT OF. A241 COSTS REASONABLY, ,_.,.,r ANTICIPATED IN PROVIDING BENEFITS UNDER A PLAN`­ORexPROGRAR I 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 I5 ENFORCEiB; �T'HE ._1�L� ORPOGRAN! }_ IS FINANCIALLY RESPONSIBLE,` AND THAT THE PLAN OR. -PROGRAM HAS BEEN COMMUNICATED IN WRITING" TO " TfiE `LABORERS OR MECHANICS AFFECTED, AND Page 31 RECORDS"WHICH SHOW THE COSTS ANTICIPATED OR THE ACTUAL COSTS INCURRED IN PROVIDING SUCH BENEFITS. CONTRACTORS EMPLOYING APPRENTICES OR TRAINEES UNDER APPROVED PROGRAMS SHALL MAINTAIN WRITTEN EVIDENCE OF THE REGISTRATION OF APPRENTICESHIP PROGRAMS AND CERTIFICATION OF TRAINEE PROGRAMS, THE REGISTRATION OF THE APPRENTICES AND TRAINEES, AND THE RATIOS AND WAGE RATES PRESCRIBED IN THE APPLICABLE PROGRAMS. (b) 1. THE CONTRACTOR SHALL SUBMIT WEEKLY FOR EACH WEEK IN WHICH ANY CONTRACT WORK IS PERFORMED A COPY OF ALL PAYROLLS TO 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 C.F.R. 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. GOVERNMENT PRINTING OFFICE, WASHINGTON, D.C. 20402. THE PRIME CONTRACTOR IS RESPONSIBLE FOR THE SUBMISSION OF COPIES OF PAYROLLS BY ALL SUBCONTRACTORS. 2. EACH PAYROLL SUBMITTED SHALL BE ACCOMPANIED BY A "STATEMENT OF COMPLIANCE," SIGNED BY THE CONTRACTOR OR SUBCONTRACTOR OR HIS OR HER AGENT WHO PAYS OR SUPERVISES THE PAYMENT OF THE PERSONS EMPLOYED UNDER THE CONTRACT AND SHALL CERTIFY THE FOLLOWING: a. THAT THE PAYROLL FOR THE PAYROLL PERIOD CONTAINS THE INFORMATION REQUIRED TO BE MAINTAINED UNDER § 5.5.(a)(3)(i) OF REGULATIONS, 29 C.F.R. 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 C.F.R. PART 3; Page 32 r c. THAT EACH LABORER OR MECHANIC HAS BEEN PAID.. NOT LESS THAN THE APPLICABLE WAGE FfATESJsAND FRINGE BENEFITS OR CASH EQUIVALENTS FOR THE CLASSIFICATION OP,WORK PERFORMED,' AS' SPECIFIED IN THE APPLICABLE~nIAGE. „DETERMINATION "INCORPORATED INTO THE CONTRACT. 3. THE `WEEKLY SUBMISSI CERTIFICATION SET FORTH` ON Z'IE '12-Ift-RSE WH-347 SHALL SATISFYT "STATEMENT OF COMPLIANCE-v'-- REQUIRED BY 29 C.F.R. §§ 5.5. 4. THE FALSIFICATYON C CERTIFICATIONS RAY SUBJECT THE` 'CONTRA CIVIL OR CRIMINAL PROSECUTION TJIIaI SECTION 2 31 OF" TITLE 31 OF ~THE'`UNITED (c) THE ^ CONTRACTOR _OR SUBCONTR RECORDS REQUIRED UNDERPi�,GRA H raj ( 3 AVAILABLE FOR INSPECTION, COYNG,` OR TRA REPRESENTATIVES OF' DOZE OR "THE-D'E�ARx"!'MEN`" PERMIT SUCH RkPR=NTAT Vt TO INTERVIEW HOURS ON THE JOB. I'F#E CbNTRACTOR OR S_ SUBMIT THE REQUIRED RE`C09bS� 6R MAKE ` Z�iEN! WRITTEN NOTICE- `THE CO TTR +,CT R; SPONSOR TAKE SUCH ACTION A9-- Y BE'-"R d' SARY "T�O ANY FURTHER PATENT; ADVAIJC ; 6k- UARA 7'TE FURTHERMORE, FAILURE T6- SlB$IIT THE EQ-7IR OR MAKE SUCH RECORDS TA-VA-11—ABLE- MAY Bi 0R PURSUANT TO 29 -C ly'.R. § 5.12 (4) APPRENTICES AND_TRAINEES.. PROPERLY EXECUTED ►F OPTIONAL' FORM [ISION OF THE tAPH (a) (3) (ii) (B) OF �F THE ABOVE SUBCONTRACTOR TO 1001 OF TITLE 1.8 AND CODE (a) APPRENTICES. APPRENTICES WILL BE PERMITTED TO WORK_ AT LESS THAN THE - PREDETERMINED RATE; F012 THE`w4ORI{ THEY PERFORMED er :. WHEN THEY ARE EMPLOYED-PURB7ANT' TC T-`INDIVIDITP,LLY REGTSTEI2ED $ IN A BONA FIDE APPRENTICESHIP PROGRAM REGISTERED WITH THE U. S. DEPARTMENT OF LABOR, EMPLOYMENT AND TRAINING ADMINISTRATION, BUREAU OF APPRENTICESHIP AN#G; OR WITH A STATE APPRENTICESHIP AGENCY RECb NSZ i A "'T'Hi t- BUREAU, OR IF A PERSON IS EMPLOYED IN HIS.OR HER FIRST 90 DAYS OF; PROBATIONARY EMPLOYMENT'AS PPRENTICESHIP AN APPRENTICE IN SUCH AN APROGRAM, WHO IS NOT INDIVIDUALLY REGIST=E- D�- g EE P -- THROG M <. HUT "WHO HAS BEEN CERTIFIED Page 33 BY THE BUREAU OF APPRENTICESHIP AND TRAINING OR A STATE APPRENTICESHIP AGENCY (WHERE APPROPRIATE) TO BE ELIGIBLE FOR PROBATIONARY EMPLOYMENT AS AN APPRENTICE. THE ALLOWABLE RATIO OF APPRENTICES TO JOURNEYMEN ON THE JOB SITE IN ANY CRAFT CLASSIFICATION SHALL NOT BE GREATER THAN THE RATIO PERMITTED TO THE CONTRACTOR AS TO ,THE ENTIRE WORK FORCE UNDER THE REGISTERED PROGRAM. ANY WORKER LISTED ON A PAYROLL AT AN APPRENTICE WAGE RATE, WHO IS NOT REGISTERED OR OTHERWISE EMPLOYED AS STATED ABOVE, SHALL BE PAID NOT LESS THAN THE APPLICABLE WAGE ON THE WAGE DETERMINATION FOR THE CLASSIFICATION OF WORK ACTUALLY PERFORMED. IN ADDITION, ANY APPRENTICE PERFORMING WORK ON THE JOB SITE IN EXCESS OF THE RATIO PERMITTED UNDER THE REGISTERED_ PROGRAM SHALL BE PAID NOT LESS THAN THE APPLICABLE WAGE RATE ON THE WAGE DETERMINATION FOR THE WORK ACTUALLY PERFORMED. WHERE A CONTRACTOR IS PERFORMING CONSTRUCTION ON A PROJECT IN A LOCALITY OTHER THAN THAT IN WHICH ITS PROGRAM IS REGISTERED, THE RATIOS AND WAGE RATES (EXPRESSED IN PERCENTAGES OF THE JOURNEYMAN'S HOURLY RATE) SPECIFIED IN THE CONTRACTOR'S OR SUBCONTRACTOR'S REGISTERED PROGRAM SHALL BE OBSERVED._ EVERY APPRENTICE MUST BE PAID AT NOT LESS THAN THE RATE SPECIFIED IN THE REGISTERED PROGRAM FOR THE APPRENTICE'S LEVEL OF PROGRESS, EXPRESSED AS A PERCENTAGE OF THE JOURNEYMAN HOURLY RATE SPECIFIED IN THE APPLICABLE WAGE DETERMINATION. APPRENTICES SHALL BE PAID FRINGE BENEFITS IN. ACCORDANCE WITH THE PROVISIONS OF THE APPRENTICESHIP PROGRAM. IF THE APPRENTICESHIP PROGRAM DOES NOT SPECIFY FRINGE BENEFITS, APPRENTICES MUST BE PAID THE FULL AMOUNT OF FRINGE BENEFITS LISTED ON THE WAGE DETERMINATION FOR THE APPLICABLE CLASSIFICATION. IF THE ADMINISTRATOR DETERMINES THAT A DIFFERENT PRACTICE PREVAILS FOR THE APPLICABLE APPRENTICE CLASSIFICATION, FRINGE BENEFITS SHALL BE PAID IN ACCORDANCE WITH THAT DETERMINATION. IN THE EVENT THE BUREAU OF APPRENTICESHIP AND TRAINING, OR A STATE APPRENTICESHIP AGENCY RECOGNIZED BY THE BUREAU, WITHDRAWS APPROVAL OF AN APPRENTICESHIP PROGRAM, THE CONTRACTOR WILL NO LONGER BE PERMITTED TO UTILIZE APPRENTICES AT LESS THAN THE APPLICABLE PREDETERMINED RATE FOR THE WORK PERFORMED UNTIL AN ACCEPTABLE PROGRAM IS APPROVED. (b) TRAINEES. EXCEPT AS PROVIDED IN 29 C.F.R. § 5.16, TRAINEES WILL NOT BE PERMITTED TO WORK AT LESS THAN THE PREDETERMINED RATE FOR THE WORK PERFORMED UNLESS THEY ARE EMPLOYED PURSUANT TO AND INDIVIDUALLY REGISTERED IN A PROGRAM WHICH HAS RECEIVED PRIOR APPROVAL, EVIDENCED BY FORMAL CERTIFICATION BY THE U. S. DEPARTMENT OF LABOR, EMPLOYMENT AND TRAINING ADMINISTRATION. Page 34 THE RATIO OF TRAINEES TO JOURNEYMEN ON THE JOB SITE SHALL NOT BE GREATER THAN PERMITTED"UNDER THE PLAN APPROVED BY THE EMPLOYMENT AND TRAINING ADMINISTRATION. EVERY TRAINEE MUST BE PAID AT NOT LESS THAN THE -RATE SPECIFIED IN THE APPROVED PROGRAM FOR THE TRAINEE'S LEVEL OF'PRWAIS'S EXPRESSED AS A PERCENTAGE OF THE JOURNEYMAN HOURLY RATE "_SPECIFIED " IN E ` PL 61'§ " WAGE „ DETERMINATION. TRAINEE'S SHALL BE PAID FRINGE BENEFITS LN ACCORDANCE WITH THE PROV*SJfONS�jOF rtTHE TRAINEE PROGRAM. IF THE a , TRAINEE. PROGRAM DOES`NOT MENTION FRTNdi-b IitrITS, TRAINEES SHALL, BE PAID THE FULL AM-0-Ow OF `FRINGE BENEFITS LISTED ON THE, WAGE DETERMINATION UNLESS TF E ADMI T �OR bP` T' HE'WAGE `AND HOUR DIVISION DETERMINES` `TiT"TEE' IDS AN APPRENTI`CESHIPLPROGRAM_ ASSOCIATED WITH THE CORRESPONDING ­JOURNEYMAN WAGE RATE ON"THE"WAGE DETERMINATION WHICH PROVIDES FOR LESS THAN FULL FRINGE BENEFITS FOR APPRENTICES. ANY EMPLOYEE LISTED ON Nk PAYROLL AT A TRAINEE, RATE WHO IS NOT REGISTERCI ED'AND PARTIO TINE IN"A TRAINING PLAN APPROVED BY THE EMPLOYMENT AND TRAILING ADMINISTRATION SHALL BE PAID NOT LESS THAN THE' APPLI`CAB?�E`TAGE'RATE' ON THE WAGE DETERMINATION FOR THE CLASSIEICATZON OFzWORK ACTUALLY PERFORMED. IN ADDITION, ANY Z'RAINE PE�OMIN'GTt 01`'I'HE J OB -SITE IN } =CESS OF THE RATIO PERMITTED UNDER THE REGISTERED PROGRAM SHALL BE PAID NOT LESS THAN- TR9 APVrff BLUE WAGE RATE lir THE WAGE DETERMINATION FOR THE WORK ACTUALLY PERFbRMED.IN.'THto, EVENT THE EMPLOYMENT AND TRAINING &AfRlftAA` I W TH RAWS APPROVAL OF A TRAINING PROGRAM, THE CONTRACTOR WILL NO LONGER BE PERMITTED TO UTILIZE TRAINEES FORTHE WORKPERFORMED-1UNT ANHACCEPTABLEB PROGRAMTIS APPR RATE PROVED. (c) EQUAL EMPLOYMENT OPPORTUNITY. THE UTILIZATION OF APPRENTICES, TRAINEES, AND JOURNEYMEN UNDER THIS PART 'SHALL -BE IN CONFORMITY WITH THE EQU1►iL EIIAYMENT OPPORTUNITY REQUIREMENTS OF EXECUTIVE ORDER 11246, AS AMENDED, AND 29 C.F.R. PART 30. (5) COMPLIANCE WITH CONTRACTOR SHALL COMPLY W] WHICH ARE INCORPORATED--IfEF THE .C.F.R., PART 31 - (6) CONTRACT TERMINATION: DEBARMENT. A BREACH OF THE CONTRACT CLAUSES IN 29 C.F.R. § 5.5. MAY BE GROUNDS FOR TERMINATION OF THE CONTRACT, AND FOR DEBARMENT AS A.CONTRACTOR AND A SUBCONTRACTOR -AS PROVIDED IN'29 C.F.R. (7) COMPLIANCE WITH DAVIS-BACON AND RELATED ACT REQUIREMENTS.ALL RULINGS`AND INTERPRETATIONS OF THE DAVIS-BACON Page 35 AND RELATED ACTS CONTAINED IN 29 C.F.R. 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 C.F.R. PARTS 5, 61 AND i. 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 A THIRD PARTY CONTRACT FINANCED UNDER THIS PORJECT, 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 C.F.R. § 5.12(a)(1). (b) NO PART OF THIS CONTRACT SHALL BE SUBCONTRACTED TO ANY PERSON OR FIRM INELIGIBLE FOR AWARD OF A GOVERNMENT CONTRACT BY VIRTUE OF SECTION 3(a) OF THE DAVIS-BACON ACT OR 29 C:F.R. § 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 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 PARAGRAPH (b)(1) OF 29 C.F.R. § 5.5, THE CONTRACTOR AND ANY SUBCONTRACTOR RESPONSIBLE THEREFOR SHALL BE LIABLE FOR THE UNPAID WAGES. IN ADDITION, SUCH CONTRACTOR AND SUBCONTRACTOR SHALL BE Page 36 'LIABLE TO THE UNITED STATES (IN THE CASE OF WORK DONE UNDER , CONTRACT FOR THE A, TERRITORY, TO `SUCH DISTRICT OR TO SUCH TERRITORY)' FOR LIQUIDATED DAMAGES.. AXAGES,.... SUCH LIQUIDATED DAMA . GE - S -, SHALL, 9k,COMPUTED `­Vf!r ftbiiTO EACH INDIVIDUAL LABORER OR WT­C_1 L AND "GUARDS EMPLOYED IN VIOLATION' 1M ' _1­CLAUSE IN P PH (b) (1) OF 29 C.F.R. J 5'. 5 '19'TAt SUM OF tib `FOR, EACH CALENDAR 'DAY ON WHICH SUCH INDIVIDUAL AL ­­ V REQUIRED"alg TTtD TO W6i&' IN"EX09 I Ss OF THE STAXDAAD­WORXW22X­ff­ OF .THE OVERTIME WAGES REQUIREDY `THE CLAUSE SET FORTH 'IN 'PARI�;GRAPH .>. (b) (1) of 29 C.'F. R. 1 5 S:* (12) WITHHOLDING IOR DAMAGES. DOT OR THE RECIPIENT SHALL UPON'ITS OWNACTIONOR ' UPON WRITTEN ­­­ ­_ _Y­�­ T� __1. -0. REQUEST OF AN AUTHORIZED -AIP REPRESENTATIVE OF -D E VA R_ N T WITHHOLD 09''CAUSt TO Bk'­WItkkE:1D:,` 7 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; W ktt dtHtIC:FEDERALLY:r­'� " C 0 N T . CT SUBJECT rS CT TO THE CONTRACT WORK 901 A fD bxrmS AIJ AitDS ACT, WHICH IS HELD BY THE SAME PRIME CONTRACTOR, 'SUCH SUMS` AS'MAY BEDETERMINED t6'BjF NECESSARY TO SATISFY ANY LIABILITIES SUCH CONTRACTOR OR SUBCONTRACTOR FOR UNPAID A§"'PROVIDED~ IN THE CLAUSE SET FORTH IN PARAGRAPH (b)(2) of 29 C.F.R. § 5.5. ` i, OB66NTikc (13) SUBCONTRACTS C."O"Alt'RI"AdtOk 6i"S TOR SHALL INSERT IN ANY SUBCONTRACTS THE CLAUSES SET. FORTH IN SUBPARAGRAPHS (1) THROUGH (12) OF THIS PARAGRAPH AND ALSO A CLAUSE REQUIRING THE SUBCONTRACTORS TOINICL'U IN SUBCONTRACTS. THE PRIME CONTRACTOR SHALL 'BE � RESPONSIBLE FOR COMPLIANCE BY'ANY SUBddft " C OR ldR t6wik !ftikttk6 NTOR—:WITH THE CLAUSES SET FORTH_"±`­9#9tAAX dAKjW1'­'1T (12),OF, THIS PARAGRAPH. b. Nonconstruction Contracts. Pursuant to the regulations at 29 C.F.R. Part 5, the following provisions shall be incorporated in all non -construction contracts of $2,500 let by the Recipient in carrying out the project. NONCONSTRUCTION CONTRACTS:' THE ^ 9E0UtAtktNt9" OF'titE-'CLAUSES CONTAINED IN 29 C.F.R., § 5.5(b) OR PARAGRAPHS (10) THROUGH (13) OF SECTION 112.a.' OF PART II_ 'TERMS AND CbRb1ffdft_ OF THE URBAN MASS TRANSPORTATION AGREEX99T­j_,­`1At !Pi0_ffdkB'ti�­IR­_ ANY CONTRACT SUBJECT Page 37 ONLY TO THE CONTRACT WORK HOURS AND SAFETY STANDARDS ACT AND NOT TO ANY -OF THE OTHER STATUTES CITED IN 29 C.F.R. § 5.1. THE CONTRACTOR OR SUBCONTRACTOR SHALL MAINTAIN PAYROLLS AND BASIC PAYROLL RECORDS DURING THE COURSE OF THE WORK AND SHALL PRESERVE THEM FOR A PERIOD OF THREE YEARS FROM THE COMPLETION OF THE CONTRACT FOR ALL LABORERS AND MECHANICS, INCLUDING GUARDS AND WATCHMEN, WORKING ON THE CONTRACT. SUCH RECORDS SHALL CONTAIN THE NAME AND ADDRESS OF EACH SUCH EMPLOYEE, SOCIAL SECURITY NUMBER, CORRECT CLASSIFICATIONS, HOURLY RATES OF WAGES PAID, DAILY AND WEEKLY NUMBER OF HOURS WORKED, DEDUCTIONS MADE, AND ACTUAL WAGES PAID. THE RECORDS TO BE MAINTAINED UNDER THIS PARAGRAPH SHALL BE MADE AVAILABLE BY THE CONTRACTOR OR SUBCONTRACTOR FOR INSPECTION, COPYING, OR TRANSCRIPTION BY AUTHORIZED REPRESENTATIVES OF DOT AND THE DEPARTMENT OF LABOR, AND THE CONTRACTOR OR SUBCONTRACTOR WILL PERMIT SUCH REPRESENTATIVES TO INTERVIEW EMPLOYEES DURING WORKING HOURS ON THE JOB. c. 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 may be amended further, are applicable to State and local government employees that participate in the UMTA assisted project with the Recipient. Section 113. Environmental, Resource, Energy Protection Conservation Requirements. a. Environmental Policy. The National Environmental Policy Act of 1969, as amended, 42 U.S.C. §§ 4321 et seq.; Section 14 of the Urban Mass Transportation Act of 1964, as amended, 49 U.S.C. §§ 1601 et seq.; 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 Page 38 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 improved 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 involving historic and archaeological preservation by: (1) Consulting 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 Page 39 (2)—Complying with all requirements established by the Government to avoid or mitigate adverse effects upon such properties. 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 shall 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. Part 771. The Recipient shall undertake all environmental 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 Agreement by reference. Such mitigation measures may not be modified or withdrawn without the express written approval of the Government. h. Use of Fly Ash in Cement and Concrete. The Recipient shall make all appropriate efforts to foster the use of 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. a. If any invention, improvement, or discovery of the Recipient or any of its third party contractors is conceived or first actually reduced to practice in the course of or under this Project, 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 Page 40 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, improvement, or discovery will be determined in accordance with applicable Federal laws, regulations, policies, and any waiver thereof. b. The provisions of subsection 114.a. above shall be included in all third party contracts of the Recipient under this Project. 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, costs 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 neither publish nor 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, 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 Page 41 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 right 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. Subsections 115.c. and 115.d. above are not applicable to material furnished to the Recipient by the Government and incorporated in the work furnished under the contact; provided that such incorporated material is identified by the Recipient at the time of delivery of such work. 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 h. The provisions of subsections 115.a. through 115.g. above shall be included in all third party contracts of the Recipient under this Project. Section 116. Cargo Preference -Use of United States -Flag Vessels. a. 46 U.S.C. § 1241 provides in pertinent part as follows: (b)(1) Whenever the United States shall procure,contract for, or otherwise obtain for its own account, or shall furnish to or for the account of any foreign nation without provision for reimbursement, any equipment, materials, or commodities, within or without the United States, or shall advance funds or credits or Page 42 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 CROSS fiOTNAGE COMPUTED ....... SEPARATELY FOR DRY BU= CARRiE2S, DRS CARGO LINERS,` AND TANKERS) INVOLVED, WHENEVER SHIPPING 'AN'2�mE'0UIP it'.,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 SO— 0AYS'FOLLOWING THE bATE OF LOADING FOR SHIPMENTS ORIGINATING WITHIN tH9 UNITED STATES; OR WITiIA"16 WORKING DAYS FOLLOWING_ THE­­bAI'EbF FADING`'FORSHIPMENT 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 PPH (Y)'ABOVE TO THE RECIPIENT (THROUGH-THEiPRI1KE CONTRACTOR IN THE 7 CASE OF SUBCONTRACTOR BILLS'OF-LAb NG)'�AND TO THE DIVISION OF NATIONAL CARGO, OFFICE OF MARKET DEVELOPMENT, MARITIMEA`AOMIT STiTION _ `4100 Page 43 SEVENTH STREET, S.W., WASHINGTON, D. C. 20590, MARKED WITH APPROPRIATE IDENTIFICATION OF THE PROJECT. (3) TO INSERT THE SUBSTANCE OF THE PROVISIONS OF'THIS CLAUSE IN ALL SUBCONTRACTS ISSUED PURSUANT TO THIS CONTRACT. 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 forth at 49 C.F.R. Part 661 and any guidance issued by UMTA to implement this statutory provision. Each third party contract resulting from a solicitation issued on or after April 2, 1987, shall conform to the requirements of the Surface Transportation and Uniform Relocation Assistance Act of 1987, Pub. L. 100-17, § 337, Apr. 2, 1987, and any implementing regulations issued thereunder. Section 118. Charter and School Bus Operations a. Charter Bus. The Recipient, or any operator of mass transportation, acting on its behalf, shall not engage in charter bus operations outside the urban area within which it provides regularly scheduled mass transportation service, except as provided under section 3(f) of the Urban Mass Transportation Act of 1964, as amended, 49 U.S.C. § 1602(f), and regulations pertaining to Charter Bus Operations, set forth at 49 C.F.R. Part 604 and any amendment 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 behalf, 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. Page 44 Section 119. Private Enterprise The private enterprise provisions of sections 3(e), 8(c), and 9(f) of the Urban Mass Transportation Act of 1964, as amended, and implementing guidance set forth in UMTA Circular 7005.1, December 5, 1986, "Documentation of Private Enterprise Participation Required for Sections 3 and 9 Programs," and any further revisions thereto, and any other DOT or UMTA guidance that may be issued are applicable to projects financed under sections 3 and 9 of the Urban Mass Transportation Act of 1964, as amended, and sections 103(e)(4) and 142 of title 23, United States Code. Section 120. Bus Testing. The Recipient shall comply with the bus testing requirements as set forth in section 12(h) of the UMT Act, 49 U.S.C. § 1608(h), and any implementing regulations issued thereunder. Section 121. Preaward and Postdelivery Audit. The Recipient shall comply with any regulations that may be issued to implement section 12(j) of the UMT Act, 49 U.S.C. § 1608(j). Section 122. Nondiscrimination on the Basis of Handicap. The Recipient shall insure that all fixed facility construction or alteration and all new equipment included int he Project comply with applicable regulations, "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. Section 123. Relocation and Land Acquisition. The terms of the Department of Transportation regulations, "Uniform Relocation and Real Property Acquisition for Federal and Federally Assistance Program," 49 C.F.R. Part 25, are applicable to UMTA-assisted contracts of the Recipient. Any regulations promulgated pursuant to Pub.L. 100-17, title IV, Apr. 2, 1987, shall be applicable to the Project to the extent prescribed in such regulations. Page 45 Section 124. Flood Hazards. The Recipient shall comply with the flood insurance purchase requirements with respect to construction or acquisition purposes, of Section 102 (a) of the Flood Disaster Protection Act of 1973, 42 U.S.C. § 4012 (a). Section 125. 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 126. 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 contractor 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; Page 46 h ' S J (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 are considered to be an employee of the Government with respect to the Government function. 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. 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 a bout 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 printm 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 Page 47 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 127. Hatch Act. The provisions of 5 U.S.C. §§ 1501-1508 (the "Hatch Act"), and implementing regulations set forth in 5 C.F.R. Part 151 are applicable to State and local agencies and their officers and employees to the extent covered by the statute and regulations. The "Hatch Act" restricts the political activity of an individual principally employed by a State or local executive agency in connection with a program financed in whole or in part by Federal loans, grants, or cooperative agreement. Section 128. False or Fraudulent Statements or Claims. The Recipient acknowledges that should it make a false, fictitious, or fraudulent claim, statement, submission, or certification to the Government in connection with this Project, the Government reserves the right to pursue the procedures and impose on the Recipient the penalties of 18 U.S.C. § 1001, 31 U.S.C. §§ 231 and 3801 et seq., and/or 49 U.S.C. § 1607(h), as may be deemed by the Government to be appropriate. Section 129. 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 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 territorial law, the Recipient will Page 48 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 applies will, for each local fiscal year ending on or after July 1, 1978, conform to the reporting system and the uniform system of accounts andd 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 law. Page 49 APPLICATION FOR OPERATING ASSISTANCE CAPITAL ASSISTANCE TECHNICAL STUDIES AND OPERATING ASSISTANCE AMENDMENT UNDER SECTION 9 PROVISIONS OF THE NATIONAL MASS TRANSPORTATION ACT OF 1964, AS AMENDED In Behalf of THE CITY OF LUBBOCK, TEXAS For the Year Beginning October 1, 1987 Prepared by The City of Lubbock - Transit Department OM! APrpM01 Na 2%- nOn$ FEDERAL ASSISTANCE _ "'n+ a. mown X. s*ATi APPLICA. •. NMI" CAN., T TV"I a ❑ ►�fJIHLICJ(T?ON !< ° brow own& w L oR1E row U&NU d" ACTION &*MOT" CATION CA ►1ERt ASSIGNED I! (YaYkar ❑ RMFICATION OF INIENi (OW l.eee a LEGAL APPL)CANTIRECIMENT L FEDERAL EMPLOYER IDENTIFICATION NO. a. wicw Naga • City of Lubbock 75-6000-59OW IL MUL�TI�PLE� k.Orpalwtlft " . Transit Department L s ftd/P.O. k . P. 0. Box 2000 PR4. L NUUM a eTLE Section 9 Capital Lew . Lubbock a ear Lubbock GRAY (r,,fe t. Swis Texas 2)F code 79457 raLrsl Assistant`, Operating It. Comt%( N-M (Now John L. Wilson Assistant, and Technical A tsbp4ew Ns.) 762-6411, extension 2380 Studies 7. TITLE AND DESCRIPTION OF APPLICANT'S PROJECT L TYPE OF APPLICANT/RECIPIENT Capital Assistance for urchase of two lift-equi ped p A -Stela N-Caar..Ly% usltr Ad. . Ftata.:tsls t- MI har £ducatiaaat taabtutias vans, two support vehic es, shop equipment, and bus C.S„� J.- Tr, be shelters/turnouts. DWrict K-Mor (sy.rtfr): Operating Assistance for the period October 1, 1987, �ad to September 31, 1988. Dia�a � purr" Technical Studies Assistance for the period October sour agpropV44 teur 0 1, 1987, to September 31, 1988.. IL TYPE DF ASSISTANCE Amendment to FY 1986 Operating Assistance Grant A-+Tiask CrBA D•ta>ir m TX-05-4216 S-Sgw-- 'b( QnW E•00- s"te► �qr"► C-taa yr;ata ktterta) 10. AREA Of PROJECT IMPACT ((N&mm of PWA% sovat+r. IL ESTIMATED NUM- IL TYPE OF APPUCATION i+ssaa, afa.) DER OF PERSONS ISENEFiTINO ;-Pm C-RerFsioee r- upaaebtta _ Lubbock Urbanized Area 187,900 WUNAd D-eatieuatia sour aPpoy-ista Lamar 0 LIL PROPOSED FUNDING M CONGRESWONAL DISTRICTS OF. IL TYPE OF CRANGE (rer Ise er 1!a) 4)WOu Dolan F-0efat (sa.eifr): -� iv�a1 DorlKs 11 a FEDERAL S 1, 038,289 Ao a. AFFLICAIR 1 IRD2ECT 19 19 DvItIm ee" ►. APPLICAM 881,659 oo E� two a STATE 24,688 .@a IL PROJECT START 17. PROJECT DATE Tear mosa An DURATION rsuar a„ro. �. toeaL .a a 87 10 01 12 ]redu %r'is� rden(a) 0. DTlSER pp 1L ESTIMATED DATE TO row seewtA etas 1!. EXISTING FEDERAL IDENTIFICATION NUMBER To +. Tvru t 1,944,636 .00 FEDERAL AL AGENCY fEDEitAI AGENCI' ► It 2L FEDERAL AGENCY TO RECE)YE REQUEST (Noses, Cap. State, irP opdo) 2L REMARKS ADDED D.O.T./UMTA Region VI, Fort Worth, Texas 76102 Yes p No 2L a. To tl a twist a( m luodadM aad WId, b. Hre�ab.t V DYR Crasta " tits apstiotks sa aslwtrod. Prreaast In Is. Nor re. =*Ia 6b is Ws PrompoiatloUapoloss" we tbanis, r aPP WWO elserina6w:ea am WI mposaa an attse►w!: eve"" at THE ttw ad onset, W deeuaw ha tws A►►UCANT " aataorsa/ 4 the rowa &t two IN CERTIFIES ft aPotiesat aN t)te switant sill =a* Q) 0 � THAT sitli t!s stt dmd ampum It 9* aaei*- 0 0 saes k aPlrwef. ❑ ❑ SL a TYPED NAYS ARD TITLE t12RATU E a uAn sir.KD CErMnFY1N Year wostA JN REPRE• C 1! SENTATIyE B. C. McMinn, Mayor _ 2L AGENCY NAME 2 PUCA- rear +wn" 4r TION RECE}YED 1! 2L ORGANUJITIOIiAL UNIT 23. ADORES11 TL ACTION TAIXEN 2L p a NIAN D a FEDERAL L REJECTS a APPLIOW p a STI)>1 n to! s. S= ANDOO1t L UMAL GLNO a aYMB 13 IL tl"eRnRa E "M V. ADMINISTRATIYL OFFICE 2L FEDERAL ATAP(POUCATION IDENT30. FEDERAL GRANT IDENTIFICATION PUNDINO row "VGA be 31. ' row WWW& tt r NG AC ZR. ACTION DATE ► It DATE 1! AO 3L CONTACT FOR ADDITIONAL WMR" as roe. MON A be (94me 0" birlAese awnaia►) ra mmA PEDCRAL Att►SMY = Ms a (a vela.el JAPPROVED AS TO CONTENT F V. REMARKS ADO[D 1 D TM 'ed�MMe=,.orF' 14 AMA 1 fi�I�I ����_ �, J4wnial l% 0E+1. r'etr►�i Y'asw�rst Cir,nia► tN I PART III — BUDGET INFORMATION ' • Page I oMit rto.110•rto•tea • , SECTION A - OUDGEY SUMMARY. Gram xy funactionction or Activity 131 Federal Catalog No. Ibl f 1drnated Unoblipated Funda ' Nw or Revlr.d Oudpat federal Icl Non•Fodaral Idl Federal la) Non•Fedaral 111 Total III Cl I. Assistance S S s 151,923 S 37,981 S' 189,904 2.Operating . 840,000 840,000 1,680,000 3. Technical 24,000 6 000 30,000 4. Amendment to — 216 22,366 22066 44,732 5. TOTALS is S 1, 038, 289 S 906,347 IS 1,944,636 • SECTION B —.BUDGET CATEGORIES 6. Object Class Categories Grant Program. Function or Activity Total Isl a a 1t) ssistance e a IZI ssis an a 1�1 141�_ XNen� n o a. Personnel S S $ 20, 936 $ S 20,936 b. Fringe Benefits 4,195 4,195 c. Travel d. Equipment 2,600 182, 600 ' e. Supplies ' 1. Contractual 2,177,110 4,869 44,732 2,226,711 g. Construction h. Other 7,304 7,304 i. Total Direct Charges j. Indirect Charges k. TOTALS' $189, 904 IS 2, 177,11.0 S 30, A $44, 732 $2, 441, 746 7. Program Income S S 44-7, 610 S $ $ 447,610 _ 3 �j PART Ill — BUDGET INFORMATION Page 2 ome NO. 00•Itolec SECTION C — NON•FEOEAAL f1ESOUnCES la) GRANT PROGRAM (h1 APPLICANT Id STATE Idl OT)ICR SOURCES 191 TOTALS B. Ca ital Assistance' S 13 293• S 24,688 S --- S 37,981 "perating Assistance 840-,000 • --- --- 840,000 lo. Technical Studies 6,000 --- --- 6,000 11, Amen ment to TX-05-4216 22,366'— 22, 366 12. TOTALS IS881,659 SS224�, 688 S --- IS 906 347 SECTION 0 — FORECASTED CASH :DEEDS Total for Its Year lit Ourrier 2nd Owrier 3rd Ouutar 4th Ouartar 13. Federal S 1,038,289 S 238,366 S 291,961 S 291,962 S 216 000 14.Nor.•Federal ' 906,347 233,866 230,490 230,491 is 211,500 15.TOTAL S 1,944,636 S 472,232 Is 522,451� 522,453 S' 427,500 SECTION E - BUDGET ESTIMATES OF FEDERAL FUNDS NEEDED FOA BALANCE OF THE PROJECT ��- f Utllllt ! UNDING P[RIODS (YEARSI (al GRANT PROGRAM -- —• • •- • ••— - - Iiditti5f Sei5LCU1v IdlTfl1R0 (eIfOURTtt » 20. TOTALS S !S S S SECTION F — OTHER BUDGET INFORMATIOW (Altaeh addrtronal Sheets of Necev uYl 21. D:fcct Charges: 22. I idircc t Charges: 23. Remarks: t NOTICE OF PUBLIC HEARING RE: City of Lubbock Section 9 Capital, Technical Study, and 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, February 24, 1987, 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 lift -equipped vans, two support vehicles; shop equipment; and bus shelters and turnouts. Total cost is estimated at $189,904. Of this amount, the State of Texas will provide $24,688, the City of Lubbock will provide $13,293, and $151,923 will come from UMTA Section 9 funds. The project is proposed to begin October 1, 1987. TECHNICAL STUDY 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 $30,000. Of this amount, the City of Lubbock will provide $6,000, and $24,000 will come from UMTA Section 9 funds. The project is proposed to begin October 1, 1987. 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, 1987, to September 30, 1988. Total cost is $1,680,000, of which $840,000 will come from UMTA Section 9 funds, $537,725 from the City of Lubbock, and $302,275 from non-farebox revenues. OPERATING ASSISTANCE GRANT AMENDMENT Program of Projects: This program will consist of an amendment to a prior grant to provide transportation services in the Lubbock urbanized area provided by City Transit Management Company, Inc. Total cost is $44,732, of which $22,366 will come from UMTA Section 9 funds, and $22,366 will come from the City of Lubbock. 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 with comprehensive land use and transportation plans for the area. The City of Lubbock will provide a demand-reponsive system, which will service the needs of the elderly and handicapped, and half fare on all regular transit routes. City Transit Management Company, 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 February 24, 1987. The preliminary program of projects is also available to the public at the Citibus offices and the final program of projects will also be available to the public at the Citibus offices, 801 Texas Avenue. General Manager CITIBUS P. 0. BOX Lubbock, Texas 79457 Dan Mass'7ransportation Act of '1964, as prnended,:_generallyle-, scribed as follows _CAPITAL GRANT Prograrn_6f Prolects:.The O&lect will consisf of the piirchabb 41 two jlff-eOulbil B I vans, two su0port vehicles, .sfiop . *quipment; and --bus shelters and turnouts: -- - Total cost Is estimated'at. $189,904.Of this amount the 'State,', of Texai°!WflI' provide V21 68d;, the. City of Lubbock will provide 513,293i,'Sno 9151:923 will come from UMTA Section_4 funds.'The proiect is proposed to begin'Octo- "ber 1,1987: :TECHNICAL STUDY GRAN 'JP gram of Protects: The prole' witl consist of four elements: alterna. tive financial and operational sce-' narlos; monitoring the system erld' servic@deveiboment; maintenanck" ,of eligibility;''.and_ private sector r(ti rttCi On Tota C is estima'ied of $31i',d8i1 _Ofthij'A_ urif theGttyof WWick. w,llprovi i6ODD.a. $24OODwill "come r4fTa 5ectron b innas."' The prglec`t is Proposed Ia tieg(n October 1,1987. OPEBATCOG ASSISTANCE m GRANT Prograof 'Proiects This 'prograM Wilt consist of the rans-:' 4iortation; mservices in the Lu Cc urbazatf area provided by tity Transit Management Comaan. 4fnc i'1. e kto¢er t; 1987 fo Se .tembe3g 1. Tofal cost.. i"s"°" $1,680,000, of ivhich`5810.060'witr come from' UMTA Sutton 9 funds, 5537172Sh0m the-Ctty of Lubbodi:!' antl 5306,375irom ran-farebOX,rev',' enues ' ' OPERATING ASSIS'TANCit grant to provide transportation ser- vices In the Lubbock urbanized area Provided by Gty Transit, Man- agement Company, Inc. Total`co:f is $40,732, of which S22,366iwlil come from UMTA Section 9 funds;" and $22,366, will come from the_Ctty ' of Lubbock.' No-pefriOrts, families. or bbsV nesses will be displaced by tlleiie proiects. 'There will be no si9nifl; cant anvlronmenial impact upon tha.urban area. The Proposed pr? iects are in Conformance with com- Prehensive )and use and transper Cation plans for the area The City of Lubbock wil l PrOYide a demand -responsive sylt m, u char, rter service in the Lubbock, ur- banized area., , interested ParsOnS or agencies .:.may submit orally or in writing ,'e'v idence and recommeadatl6irs with• respect to sa't` pro As on or . foreFebruary 261M The n, rim• Ina rY program ot-rolects is `tso available tothe-Pubilc it e C111bUi. offices'ariA tt,e final; prO. gram. of Protects split also ba'aGitW, able to the public aft , Citibub Of-, £ices.901 TexiS;Avenue. ," "" General Manager CITIBUS P.O. BOX 2000 Wbbock TX 79497 PO 1790 THE STATE OF TEXAS COUNTY OF LUYBOCKR Before me ane oark a Notary Public in and for Lubbock County, Texas on this day personally appeared Tw i l a A u f i l l+ 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 N o t i c e No.756GQ9 at Lubbock County, Texas and the attached print- ed copy of the Legal Notice is a true copy of the original and was printed in the Lubbock Avalanche -Journal on the following dates: February 1, 1987 —469 wards ig 41-it = $192.29 _�'—�---- Account Manager i LUBBOCK AVALANCHE -JOURNAL Southwestern Newspapers Corporation PMR�YPUBLIC in and For The State of Texas Any Co:ninissmn Expires Oct. 24; 19SIO Subscribed and sworn to before me this 2nd day of February 19 87 NOT r(fE b r'PMLTCRtX*iNCr RE: City of Lubbock. Section 9 Caa ital, Technical Study, and Operat- ing AS istance Grant Application. Notice is hereby given that an op- portunity for a public hearing will be afforded In the' Cititws Confer. ence Room, 801 'Texas Avenue, at 12:30 P,m:, Tuesday, February 24,. 1987, for the purpose of considering Projects for which financiai assis- tance Is being: sought from the Ur- ban Mass Transportation Act of 1964, as amehd'ed, generally de- sSribed as follows: CAPITAL GRANT Program of Projects: The project will consist of the purchase of two lift-eouiooed vans, two support vehicles; shop equipment; and bus shelters and turnout3. Total, cost is, estimated at $189,904. Of, this amount, the'Sfete of Texas will. provide $2a,688,.the City of. Lubbock will prov7`de S13,293, and S151;923 will come from UMTA Section9 funds. The Project is proposed to be9iri';Oct6-'- ber 1, 1967.: TECHNICAL STUDY GRANT Prow gram of Projects: The Project will consist of four elements:- alterrW, five financial and operational;sce._ narios; monitoring the `systerhPind of eligibility: and Private Of rAWCE Inc., fromOctober1, 1967, to Sep. tember 30, 1908. Total coat is 51,660,000, of which 11840,000 will NOTICE OF PUBLIC HEARING „ RE: City of Lubbock.-, Seetidn r 9„u Capital, : Technical Study, and Operating Assistance Grant Application.. Notice is ,hereby given that an opportunity for a public hearing will be afforded" to the Citibus Conference Room,801 Texas . sd Avenue; µat 12:30 p.m., Tueay, February 24, 1987, for the purpose.- ofconsidering projects for which_ financial __assistance, is being sought V,f from the —Urban „Mass Transportation Act of 1964, as amended, generally " described as f6flowsi CAPITAL GRANT , ,Program of Projects: The project will consist of the," purchase of two lift -equipped vans, two support vehicles, shop equipment, and bus shel ers . and turnouts. ERATING .`''ASSISTANCE GRANT AMENDMEP gram of Projects: This program will consist T"otar cost yis est11-11,"imated at189,904" Of this amount, amendment to a prior grant to provide transport the State of Texas will, 'provide $24,688, the City n services in the Lubbock urbanized area provid of Lubbock will 'provide $13,293, and,.. $151,9,23 will City Transit Management Company, Inca To come from .UIViTA _.Section 9 funds The project is t is _ $40,732, of which $22,366 will come frc � proposed to begin October 1, 1987 TA Section 9 funds, and $22,366 will come frc City of _Lubbock. TECHNICAL STUDY GRANT Program of ­ Projects: hie J ro ect will consist` o lour W elements " alternative persons, families, or businesses will be displac P financiaI. and operational scenarios; monitoring the these projects. There will be no significant enviro system and service. , development; " maintenance of ntal impact upon the urban area. The propos eligibility; and private sector' participation: Jects are in conformance with comprehensive la and transportation plans for the area. Total cost is estimated, 4ty_n$309000. Of this amount, " the City of Lubbock will provide $6,000, and $249000 e City' of Jubback- w ll provide a .deT4nd--responsi will come from UM.TA Section 9 funds., -The projectstem;iwhiclia will, seraTc tie needs" ,-of the elde is proposed to begin October 1, 1987. d handicapped, and half fare on all regular tr'an: t tes. " City Transit Management ' Company, Inc. pr OPERATING:,;_ ASSISTANCE GRANT Program of Pro•= es " the incidental charter service" in `the Lubbo jests: This program will consist„ of the -transportation anized area. services in ,the ,Lubbock urbanized area provided by City Transit Management Company, from October erested persons or, agencies may submit oral September, Inc.,,t js. $1968090009 <in writing evidence and recommendations wi 1f lwhich $840,0030 19om Total _UMTA Section pect to said projects on _or, before February 000 will come ,from - � _�, 9 funds, $537,725 from the City of Lubbock, and 7, $306,375 from non-farebox revenues - The preliminary program of projects is also 'availak to the public at the Citibus ` offices and the "' fi program . of projects will also be available to t public at,,the Citibus offices, 801'' `Texas Aven General Manager CITIBUS P.O. Box 2000 Lubbock, Texas 79457 Page 8, Southwest 13igest, -lhursaay, reuruary o, tyai action 9 funds. , T fie alternat:ue finnnc. .nd Total cost is estimate PBL/C project is proposed to operational scenarios at $30,000. Of this' A FARING begin October I, I987. TECHNICAL monitoring the system amount, the City, of STUDY "Program and service develop - develop - Lubbock wil provide GRANT of maintenance of RE City of %ubock Projects: The projec will eligibility; and private $6,o00, and $24,000 will, Section 9 'Capital, P y-- consist of four eler ,ts: sector participation. =�-..Section come fro m UM -TA Techmal Study, ands:... 9 funds. 7}re`' - ,.. p:. ` n Operating Assistance ": "ject is proposed to Grant Application. = begin October 1, 1987. Notice is hereby given that an oppo11 rtunity for a public hearing will be afforded In the Citibus.'+"' Conference Room, '801 Texo Avenu" at 12:30` P. m esdc F-br uar Is fo? he ptarpos� of nsic. ng ' Projects , - u h financial assistant, is being sought from the ` Urban Mass Transpor- tation Act of 1964, as amended, generally described as follows: CAPITAL GRAINY , Program of Projects: The project will consist of the purchase of two lift- eyqu p e,d vans two supPon uehic, hop equipment, t . us shelters and tu, Total cost is es'. ed at $189,904. Oj ihis = amount, the State of Texas wi"ll provide $24,688, " the City of Lubbock will provide $13,293, and $I5I,9�3. comer from UMTA. `' January 30, 1987 Mr. Eddie Richardson Southwest Digest 510 East 23rd Street Lubbock, TX 79404 Dear Mr. Richardson: IV 4 Enclosed is a copy of a Notice of Public Hearing. Please publish it on the earliest possible date. Citibus will need a copy of the original publication, stating the date it was published. Sincerely, Melinda Green Harvey Administrative Assistant MGH:mj Enclosure McDonald Transit Associates, Inc., Contract Operator for CITI BUS P.O. Box 2000 ® 801 Texas Avenue 9 Lubbock, Texas 79457 ® (806) 762-6411 January 30, 1987 Editor West Texas Hispanic News P. 0. Box 24 Lubbock, TX 79408 Dear Editor: Enclosed is a copy of a Notice of Public Hearing. Please publish it on the earliest possible date. Citibus will need a copy of the original publication, stating the date it was published. Sincerely, Melinda Green Harvey Administrative Assistant MGH:mj Enclosure McDonald Transit Associates, Inc., Contract Operator for CITI BUS P.O. Box 2000 a 801 Texas Avenue • Lubbock, Texas 79457 • (806) 762-6411 STATEMENT OF CONTINUED VALIDITY OF ONE-TIME SUBMISSIONS The following documents (and dates submitted to/acknowledged by UMTA) have been submitted to UMTA previously, continue to remain valid and accurate, and do not require revisions or updating: o Opinion of Counsel - May 8, 1986 o Standard Assurances (UMTA C 9100.1A) - August 19, 1985 o Self -Certifications - May 8, 1986 o Private Enterprise Description - May 8, 1986 o Intergovernmental Cooperation Certification - June 12, 1986 o Title VI Compliance - June 14, 1985 The applicant understands and agrees that the use of UMTA funds approved for this project shall be consistent with the applicable sections of the Urban Mass Transportation Act of 1964, as amended M 3, 3(a)(1)(C), 3(a)(1)(D), 4(i), 5, 9A, or 9), or 23 U.S.C. §§103(e)(4), 142; pertinent Federal laws; and pertinent Federal rules, regulations and circulars, and that the use of UMTA funds is subject to audit and review. Such funds shall be returned to UMTA if, after audit, it is found that they have been used improperly. The applicant's eligibility to receive UMTA grants, as originally certified in the Opinion of Counsel, remains in effect. Further, signature of the attorney is certification that there is no pending or threatened litigation or other action which might adversely affect the ability of the grantee to carry out the project. r "V, B. C. McMinn' J. W rth Fullingim Mayor Askystant City Attorney V March 12. 1987 � Date Date ATTENTION: Whoever, in any manner within the jurisdiction of any department or agency of the United States knowingly and willfully falsifies or conceals a material fact, or makes any false, fictitious, or fraudulent statements or representations, or makes or uses any false writing or document knowing the same to contain any false, fictitious or fraudulent statement or entry, shall be fined not more than $10,000 or imprisoned not more than 5 years, or both. 18 U.S.C. §10001 (1982). APPROVED AS TO CONTENT ATTEST: Larry V. f fman Ran ette yd, City Secretary,. Director Transportation SECTION 9 PROGRAM OF PROJECTS CITY OF LUBBOCK Project Project Total Type Designated Description Amount (P/C/O) Recipient 1. Amendment to $ 44,732 0 City of Lubbock FY 1986 Operating Grant TX-05-4216 2. Operating Assistance 1,680,000 0 City of Lubbock FY 1987-88 3. Capital Assistance - 189,904 C City of Lubbock FY 1987-88 - Purchase two lift -equipped vans, two support vehicles, shop equipment, and bus shelters/turnouts 4. Technical Study - 30,000 P City of Lubbock FY 1987-88 Subtotal $1,944,636 Contingency 5. One Support vehicle $ 11,920 C City of Lubbock TOTAL PROGRAMMED $1,956,556 Urbanized Area: Lubbock, Texas Designated Recipient: City of Lubbock Grantee: City of Lubbock A. Planning FY 1987-88 Technical Studies B. Bus and Bus -Related Facilities Two lift -equipped vans Two support vehicles Shop equipment Bus shelters/turnouts Contingency (10%) Administration (4%) Subtotal C. GROSS PROGRAM COST Revenue Financing NET PROGRAM COST Federal Share (80%) State Share Local Share D. Operating FY 1987-88 Operating Assistance Amendment to FY 1986 Operating Assistance Grant TX-05-4216 Subtotal Federal Share (50%) Local Share (50%) D. TOTAL FEDERAL FUNDS REQUESTED SECTION 9 PROGRAM BUDGET $219,904 -0- $219,904 175,923 24,688 19,293 $ 30,000 $ 91,000 20,000 5,000 50,000 16,600 7,304 $ 189,904 $1,680,000 44,732 T1,724,732 862,366 862,366 $1,038,289 PROJECT BUDGET For the Period: October 1, 1987, to September 30, 1988 Transit Operator: City Transit Management Company, Inc. Designated Recipient: City of Lubbock, Texas (1) CONTRACT COSTS Labor $1,045,460 Fringe Benefits 316,000 Services 119,000 Materials and Supplies 415,000 Utilities 50,000 Casualty and Liability 140,000 Taxes 42,500 Miscellaneous 45,000 Interest Expenses 42!150 TOTAL OPERATING EXPENSES $2,177,110 $2,177,110 (1) (2) LESS ELIMINATIONS Non -Mass Transportation Expenses -Charter $ 49,500 (2) (3) ELGIBLE OPERATING EXPENSES $2,127,610 (3) (4) LESS FAREBOX REVENUE $ 447,610 (4) (5) NET PROJECT COST $1,680,000 (5) (6) LOCAL SHARE City of Lubbock $ 537,725 University Student Funds 256,375 Charter Profit 35,900 Route Guarantee 10,000 TOTAL LOCAL SHARE $ 840,000 $ 840,000 (6) (7) NET EXPENSES ADVANCED ON OPERATING BEFORE APPLYING UMTA FUNDS $ 840,000 (7) (8) UMTA FUNDS REQUESTED $ 840,000 (8) Prepared by: John L. Wilson Title: General Manager Date: January 28, 1987 ANNUAL ELEMENT TRANSPORTATION IMPROVEMENT PROGRAM FY 1988 (October 1, 1987 - September 31, 1988) F U N D I N G CLASSIFICATION PROJECTS COST FEnRRAL STATE LOCAL Section 9 Operating Assistance $1,680,000 $ 840,000 $----- $ 840,000 (FY 1988) Section 9 Operating Assistance 44,732 22,366 ----- 22,366 (Amendment to FY 1986 TX-05-4216) Section 9 Capital Improvements 189,904 151,923 24,688 13,293 (FY 1988) Section 9 Operating Assistance 1,750,000 875,000 ----- 875,000 (FY 1989) Section 9 Capital Improvements 213,408 170,726 27,743 14,939 (FY 1989) TOTALS $3,878,044 $2,060,015 $52,431 $1,765,598 IV. Urban Mass Transportation Administration 1988-1992 Element FUNDING ESTIMATED UMTA STATE LOCAL PROJECT DESCRIPTION YEAR SOURCE COST SHARE SHARE SHARE Operating Assistance 1988 Section 9 1,680,000 840,000 --- 840,000 Purchase two lift -equipped 1988 Section 9 189,904 151,923 24,688 13,293 vans, two support vehicles, shop equipment, and bus shelters and turnouts Operating Assistance - 1988 Section 9 44,732 22,366 ------- 22,366 amendment to FY 1986 grant TK-05-4216 Operating Assistance 1989 Section 9 1,750,000 875,000 ------- 875,000 Purchase four lift -equipped 1989 Section 9 213,408 170,726 27,743 14,939 vans Operating Assistance 1990 Section 9 1,820,000 910,000 ------- 910,000 Purchase one service vehicle, 1990 Section 9 446,628 357,302 58,062 31,264 Management Information System, land, building and/or renovation for transfer facility, and two lift -equipped vans Operating Assistance 1991 Section 9 1,890,000 945,000 945,000 Purchase six 30' coaches and 1991 Section 9 1,220,310 976,248 158,640 85,422 equipment, two lift -equipped vans, spare engine and transmission, office copier, hot vat, and route information signs Operating Assistance 1992 Section 9 1,970,000 985,000 ------- 985,000 Purchase three lift -equipped 1992 Section 9 429,156 343,325 55,790 30,041 vans, and a radio communication system 1987-1992 ELEMENT TOTALS 11,654,138 6, 76,890 324,923 4,752,325 GRANTEE: City of Lubbock BUDGET INFORMATION PROJECT BUDGET LINE ITEM Personnel Fringe Benefits Contractual TOTAL SUMMARY TASK BUDGET TECHNICAL ACTIVITY Alternative Financial and Operational Scenarios: Maintain a Five Year Financial Plan and an Operation Contingency Plan. The Financial Plan defines the amount of resources required to continue the current level of service in the future. The Contingency Plan provides an implementation plan in the event of a reduction in or loss of Federal operat- ing assistance. Identification of new funding sources and proposed fare structures and service level changes would include appropriate private sector participation. TOTAL $20,936 4,195 4,869 $30,000 $ 7,500 Monitor System and Service Development: $12,000 Conduct an ongoing program of monitoring and evaluating the efficiency of the System's route and schedule, main- tenance, and management's performance. Periodic compre- hensive analyses and special one-time projects/studies will complement the on -going program. Maintenance of Eligibility: $ 3,000 Prepare and/or coordinate activities in the areas of: Title VI Certification; Disadvantaged Business Enterprise Participation; FY 1989's UWP and TIP. Private Sector Participation: $ 7,500 As part of its ongoing process to reduce costs, Citibus will continue to review the possibilities for increased private sector participation in all aspects of Citibus' operations, with special emphasis placed on planning, programming, and implementation of private sector participation. Federal Grant (80%) Local Contribution (20%) TOTAL PROJECT FINANCING CASH DISBURSEMENT SCHEDULE $24,000 6,000 $30,000 FY 1988 QUARTER AMOUNT 1 $ 7,500 2 7,500 3 7,500 4 7,500 $30,000 UNIFIED PLANNING WORK PROGRAM TRANSIT ELEMENT JANUARV; 987 TRANSIT STUDY IMPROVEMENT PLAN OBJECTIVES The objectives of this task are: to examine the Transit System operated by the subsidized private operator, City Transit Management Co. Inc.; to prepare recommendations for action which could improve service and/or reduce deficits; and to update and review previous work with an ongoing process as may be required by UMTA for Capital Grant and Operating Assistance Programs. PREVIOUS WORK The FY 1986 Technical Study included a comprehensive review of Citibus' marketing program as well as an evaluation of Citibus' capital investment plan. As a part of the capital investment plan, the twenty year capital acquisitions program was updated and preventive maintenance policies were reviewed. The ongoing monitoring program and the periodic comprehensive analyses resulted in increasing the efficiency of the system. CURRENT WORK The FY 1987 Technical Study task has been divided into five elements: 1. Alternative Financial and Operational Scenarios A. Maintain short range financial and operational plans for transit to survive reduced Federal funding. The Five Year Financial Plan defines the amount of resources required to continue the current level of service in the future, while the Contingency Plan provides an implementation plan in the event of a reduction in or loss of Federal operating assistance. Identification of new funding sources and proposed fare structures and service level changes would include appropriate private sector participation. B. Funding UMTA $5,400 City 1,350 Total $6,750 or 15% of the total project budget 2. Monitor System and Service Development A. Conduct an ongoing program of monitoring and evaluating the efficiency of the routes and schedules, special efforts programs, maintenance, and management's performance. Periodic comprehensive analyses and special one-time projects/studies will complement the ongoing program. B. Funding UMTA $ 9,600 City 2,400 Total $12,000 or 27% of the total project budget 3. Maintenance of Eligibility A. Prepare and/or coordinate activities in the areas of: Title VI Certification; Disadvantaged Business Enterprise participation; FY 1987's UWP and TIP, etc. B. Funding UMTA $1,800 City 450 Total $2,250 or 5% of the total project budget 4. Private Sector Participation A. Prepare a comprehensive report detailing the possible benefits of increased private sector participation in system operations. The report will examine all aspects of the system, and emphasis will be placed on locating potential cost savings and better efficiency/effectiveness, and on improving service. It will include a specific examination of the planning, programming, and implementation processes and suggest and/or implement changes which would facilitate an ongoing involvement of the private sector (building maintenance, data processing, computer services, for example) will be re-examined in order to ascertain the viability of such an arrangement. In addition, the current system policies regarding private sector participation will be evaluated and expanded, if necessary. B. Funding UMTA $19,200 City 4,800 Total $24,000 or 53% of the total project budget PROPOSED WORK 1. Alternative Financial and Operational Scenarios A. Maintain a Five Year Financial Plan and an Operation Contingency Plan. The Financial Plan defines the amount of resources required to continue the current level of service in the future. The Contingency Plan provides an implementation plan in the event of a reduction in or loss of Federal operating assistance. Identification of new funding sources and proposed fare structures and service level changes would include appropriate private sector participation. B. Funding UMTA $6,000 City 1,500 Total $7,500 or 25% of the total project budget 2. Monitor System and Service Development. A. Conduct an ongoing program of monitoring and evaluating the efficiency of the System's route and schedule, maintenance, and management's performance. Periodic comprehensive analyses and special, one-time projects/studies will complement the ongoing program. B. Funding UMTA $ 9,600 City 2,400 Total $12,000 or 40% of the total project budget 3. Maintenance of Eligibility A. Prepare and/or coordinate activities in the areas of: Title VI Certification; Disadvantaged Business Enterprise Participation; FY 1989's UWP and TIP. B. Funding UMTA $2,400 City 600 Total $3,000 or 10% of the total project budget 4. Private Sector Participation A. As part of its ongoing process to reduce costs, Citibus will continue to review the possibilities for increased private sector participation in all aspects of Citibus' operations, with special emphasis placed on planning, programming, and implementation of private sector participation. B. Funding UMTA $6,000 City 11500 Total $7,500 or 25% of the total project budget RESPONSIBILITY The primary responsibility for completion of the proposed work rests with City Transit Management Company, Inc., d/b/a Citibus. Performance of the tasks is anticipated to be accomplished by Citibus staff with the support and involvement of the staff of the management firm, McDonald Transit Associates, Inc. COORDINATION This task will be accomplished as part of the City of Lubbock's responsibility in evaluating transportation facilities for the Lubbock Urban Transportation Plan. All efforts will be coordinated with the private operator, the State Department of Highways and Public Transportation, and other interested local private and public agencies. There will be no duplication of effort, since Transit System review is a sole responsibility of the City. PRODUCT Documentation in report form. FUNDING Urban Mass Transportation Administration (Section 9) $24,000 City of Lubbock 6,000 Total Project $30,000 BOUNCER, SEGARS. GrILBERT & MOSS CERTIFIED PUBLIC ACCOUNTANTS 1623 - 10TH STREET LUBBOCK. TEXAS 79401 Mr. John Wilson, General Manager City Transit Management Company, Inc. D/B/A Citibus Lubbock, Texas We have examined the balance sheet of City Transit Management Company, Inc., d/b/a Citibus, as of September 30, 1986 and 1985, and the related statements of revenues and expenses for the ,years then ended. Our examinations were made in accordance with generally accepted auditing standards and, accordingly, included such tests of the accounting records and such other auditing procedures as we considered necessary in the circumstances. In our opinion, the financial statements referred to above present fairly the financial position of City Transit Management Company, Inc . , d/b/a Citibus as of September 30, 1986 and 1985, and its revenues and expenses for the years then ended, in conformity with generally accepted accounting principles applied on a basis consistent with that of the preceding year . a F i YV/ Certified Public Accountants Lubbock, Texas October 12, 1986 i CITY TRANSIT MANAGEMENT COMPANY, INC. D/B/A CITIBUS BALANCE SHEET SEPTEMBER 30, 1986 AND 1985 ASSETS September 30, 1986 1985 CURRENT ASSETS: Cash - Checking $ 51,910 $ 24,292 Cash - Savings 919 1,299 Accounts Receivable - City of Lubbock ( Note 2) 107,970 81,918 Accounts Receivable - Other ( Note 2) 55,510 64,219 Inventories (Notes 1 and 3) 104,306 104,122 Prepaid Insurance 9,351 Total Assets $ 329,966 $ 275,850 LIABILITIES CURRENT LIABILITIES: Accounts Payable - City of Lubbock ( Note 4) $ 119,498 $ 85,563 Accounts Payable - Employee Incentive Pay Plans 16,550 15,150 z Accounts Payable - Other 88,150 64,142 Accrued Vacation 27,529 29,893 Other Current and Accrued Liabilities 3,739 6,602 Total Current Liabilities $ 255,466 $ 201,350 ADVANCES PAYABLE (Note 5) $ 74,500 $ 74,500 COMMITMENTS AND CONTINGENCIES (Note 6) Total Liabilities $ 329,966 $ 275,850 r: The accompanying notes are an integral part of these financial statements. CITY TRANSIT MANAGEMENT COMPANY, INC. D/B/A CITIBUS STATEMENT OF REVENUES AND EXPENSES YEARS ENDED SEPTEMBER 30, 1986 AND 1985 September 30, Increase 1986 1985 (Decrease) REVENUES: Local Cash Grants and Reimbursements - City of Lubbock (Note 7) $1,287,600 $1,259,626 $ 27,974 Full Adult Fares 269,730 274,334 (4,604) Handicapped and Senior Citizen Fares 29,928 32,220 (2,292) Demand Response Service 25,390 15,052 10,338 Econocard Fares 79,876 84,642 (4,766) Ticket Fares 25,021 21,503 3,518 Special Route Fares 273,899 271,105 2,794 Charter Services 69,178 63,288 5,890 Total Revenues $2,060,622 $2,021,770 $ 38,852 EXPENSES: Operations $ 946,650 $ 988,008 $(41,358) Maintenance 427,816 380,250 47,566 Non-INtaintenance 17,997 17,305 692 General Administrative 389,141 368,745 20,396 Fringe Benefits 279,018 267,462 11,556 $2,060,622 $2,021,770 $ 38,852 EXCESS REVENUES OVER EXPENSES $ -0- $ -0- $ -0- The accompanying notes are an integral part of these financial statements. CITY TRANSIT MANAGEMENT COMPANY, INC. D/B/A CITIBUS NOTES TO FINANCIAL STATEMENTS Note 1 Summa" of Significant Accounting Policies The significant accounting policies followed by City Transit Management Company, Inc., d/b/a Citibus are described below. Basis of Accounting The financial statement accrual basis of accounting where revenues are recog- nized when earned and expenses are recognized when incurred is followed by City Transit Management Company, Inc., d/b/a Citibus. The books and records of the company are maintained in a manner consistent with the account classifications set down by the Department of Transportation's Urban Mass Transportation Administration. General Fixed Assets All fixed assets including the building, fixtures, buses, etc. are owned by the City of Lubbock and are not reflected on these financial statements. Inventories Inventories consist of repair parts and fuel which are priced at average unit cost and recorded as an expense as used on an average cost basis. Other Matters At the end of each month the City of Lubbock reimburses the company for the excess expenditures over receipts. As a result, there is no fund balance and none is reflected in these statements. Note 2 - Accounts Receivable Accounts receivable at September 30, 1986 and 1985 are as follows: City of Lubbock Other Total September 30, 1986 1985 $ 107,970 $ 81,918 55,510 64,219 $ 163,480 $ 146,137 Accounts receivable from the City of Lubbock represent the amounts due for excess expenditures over receipts for the month of September, 1986 and 1985. Accounts Receivable - Other reflect amounts due such as charter services and special route guarantees. No provision for uncollectible accounts has been established. CITY TRANSIT MANAGEMENT COMPANY, INC. D/B/A CITIBUS NOTES TO FINANCIAL STATEMENTS Note 3 - Inventories Inventories at September 30, 1986 and 1985 were as follows: September 30, 1986 1985 Repair Parts $ 75,255 $ 85,948 Fuel and Lubricants 29,051 18,174 $ 104,306 $ 104,122 Note 4 - Accounts Payable - City of Lubbock At September 30, 1986 the net amount due to the City of Lubbock is $119,498. Of this amount $104,306 is represented in the value of the inventory recorded on the books at September 30, 1986. The balance of $15,192 is due to the excess of assets (excluding inventory) over liabilities (excluding Accounts Payable - City of Lubbock) and advances payable at September 30, 1986. Note 5 - Advances Payable At September 30, 1986 and 1985 the balance in advances payable is made up of the following: September 30, 1986 1985 McDonald Transit Associates, Inc. $ 70,000 City of Lubbock 4,500 $ 74,500 $ 70,000 4,500 $ 74,500 An agreement between McDonald Transit Associates, Inc., Ft. Worth, Texas, and Citibus provides for interest to be paid on the $70,000. This is paid monthly and the rate is set at 2% below prime. Interest totaling $4,986 was paid during the current period . Note 6 - Commitments and Contingencies At September 30, 1986, the company was obligated to a lease commitment with Goodyear Tire and Rubber Co. Under the provisions of the lease, the company leases tires for the buses on a per mileage basis. The company has agreed to pay a flat rate per mile up to a minimum total mileage. The company paid $29,115 and $26,818 for the CITY TRANSIT MANAGEMENT COMPANY, INC. D/B/A CITIBUS NOTES TO FINANCIAL STATEMENTS periods ended September 30, 1986 and 1985, respectively. Amounts due for the next five years cannot be calculated at this time. Note 7 - Local Cash Grants and Reimbursements - City of Lubbock The local cash grants and reimbursements - City of Lubbock totaling $1,287,600 are made up of two components. They are as follows: 1) This amount represents actual billings sent to and paid by the City of Lubbock for excess expenditures over receipts during the months of October 1985 through September 30, 1986 $1,321,535 2) As mentioned above, excess expenditures over receipts are reimbursed to City Transit Management Company, Inc., d/b/a/ Citibus (Citibus) by the City of Lubbock on a monthly basis and these amounts are recognized as revenue on the books of Citibus. Not all expenditures and receipts used in calculating the monthly reimbursements are immediately classified as expenses and revenue, and as such differences created by this are handled as adjustments to revenue on the books of Citibus. The amount recognized this year as a reduction to revenue totals (33,935) $1,287,600 Note 8 - Associated Entities City Transit Management Company, Inc., d/b/a/ Citibus is an operating subsidiary of McDonald Transit Associates, Inc. McDonald Transit Associates was contracted by the City of Lubbock to operate and manage the city bus system for the year ended September 30, 1986. CITY TRANSIT MANAGEMENT COMPANY, INC. D/B/A CITIBUS DETAIL OF EXPENSES BY TYPE Schedule 1 YEAR ENDED SEPTEMBER 30, 1986 Non- General Fringe Operations Maintenance Maintenance Administrative Benefits Total DESCRIPTION: Salaries Operators $594,478 $ $ $ $ $ 594,478 Supervision 83,775 59,916 143,691 Repair and Service 180,867 180,867 Finance, Accounting and Purchasing 78,906 78,906 Fringes Payroll Taxes - FICA 75,986 75,986 Group Medical Insurance 87,400 87,400 Payroll Taxes - Unemployment 16,8B5 16,8B5 Workman's Compensation Insurance 41,648 41,648 Holiday 17,064 17,064 Vacation 34,321 34,321 Uniform Allowance 9,248 5,714 14,962 Outside Services Management Service Fees 73,800 73,800 Professional and Techni- cal Service 1,232 783 7,728 9,743 Contract Maintenance Service 4,934 17,892 4,440 27,266 Security Services 3,174 3,174 Other Outside Services 1,735 1,735 Materials and Supplies Fuel 187,354 1,508 1,720 190,582 Oil and Lubricants 13,162 13,162 Anti -Freeze and Freon 4,357 4,357 Tires and Tubes 31,804 501 32,305 Parts 145,454 145,454 Other Maintenance and Supplies 4,527 16,334 105 12,391 33,357 Utilities Electric Water and Heat 36,370 36,370 Telephone 8,758 8,758 Insurance Building - Fire and Contents 13 13 Comprehensive Auto Fleet 68,260 68,260 Uninsured Personal Liability and Property Damage 2,865 2,865 (Continued) DESCRIPTION: (Concluded) Insurance (Continued) General Liability and Unb rel l a Taxes Fuel and Lubricants Miscellaneous Audits Dues and Subscriptions Travel and Meetings Advertising Other Miscellaneous Expense Interest Expense Interest Expense Total Expenses CITY TRANSIT MANAGEMENT COMPANY, INC. D/B/A CITIBUS DETAIL OF EXPENSES BY TYPE YEAR ENDED SEPTEMBER 30, 1986 Schedule 1 (Continued) Non- General Fringe Operations Maintenance Maintenance Administrative Benefits Total 6 $ $ $ 6,540 $ $ 6,540 34,232 34,232 3,700 3,700 4,021 4,021 13,096 13,096 51,117 51,117 5,521 5,521 4,986 4,986 $946,650 $42 7 816 $17,997 $389,141 $279,018 $21 060,622