HomeMy WebLinkAboutResolution - 3457 - Contract #511-XXF-6008 - TDHPT - Operating Assistance - 09_27_1990Resolution #3457
September 27, 1990
Item #25
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RESOLUTION
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK:
THAT the Mayor of the City of Lubbock BE and is hereby authorized and
directed to execute for and on behalf of the City of Lubbock a Transporta-
tion Contract (being numbered Contract 511-XXF-6008) to be entered into by
and between the City of Lubbock and the Texas State Department of Highways
and Public Transportation, attached herewith, which shall be spread upon the
minutes of the Council and as spread upon the minutes of this Council shall
constitute and be a part of this Resolution as if fully copied herein in
detail.
Passed by the City Council this 27th day of September , 1990.
B. C. McM NN, MAYOR
ATTES
Ranet(e Boyd, City Secretary
APPR ,VED AS 0 01 T:
Larry V. Abffman, Di or o
Transpo ation
APPR VED AS TO F M: `
J. Acfrth Fullingim, Assistant
Ci y Attorney
CONTRACTOR: City of Lubbock
PROJECT NUMBER:
CONTRACT NUMBER: 511XXF6008
PUBLIC TRANSPORTATION CONTRACT
THE STATE OF TEXAS S
THE COUNTY OF TRAVIS §
THIS CONTRACT is made by and between the State of Texas, acting
by and through the State Department of Highways and Public
Transportation, hereinafter called the State, and the City of
Lubbock, P.O. Box 2000, Lubbock, TX 79457 hereinafter called the
Contractor.
W I T N E S S E T H
WHEREAS, the State is the administering agency for the State
Public Transportation Fund as prescribed by Article 6663c,
V.T.C.S.; and
WHEREAS, the Contractor desires to obtain public transportation
funds from the State for the purpose of establishing and
maintaining public and mass transportation systems; and
WHEREAS, the State is authorized under Article 6663b, V.T.C.S.,
to assist the Contractor in procuring federal aid for the purpose
of establishing and maintainxing public and mass transportation
projects, hereinafter called the Project; and
WHEREAS, the State Highway and Public Transportation Commission
passed Commission Minute Order No. gafj�- authorizing the State
to enter into the necessary agreements with the Contractor for
funding public transportation projects; and
NOW, THEREFORE, in consideration of the premises and of the
mutual covenants hereinafter set forth, the parties hereby agree
as follows.
Rev. 07/90 PAGE 1 OF 19
CONTRACTOR: City of Lubbock
PROJECT NUMBER:
CONTRACT NUMBER: 511XXF6008
A G R E E M E N T
ARTICLE 1. CONTRACT PERIOD
This contract becomes effective on the final date of execution by
the State's Director, Public Transportation and shall terminate
on August 31, 1991 unless otherwise terminated or modified as
hereinafter provided. Termination of the Contract shall not
release the Contractor from the property management standards
outlined in Article 9 below.
ARTICLE 2. PROJECT DESCRIPTION
The Contractor shall undertake the public transportation project
as described in Attachment A and in accordance with the terms and
conditions of this Contract. Further, the Contractor shall
comply with the provisions of the Uniform Grant and Contract
Management Standards prepared in response to the Uniform Grant
and Contract Management Act of 1981.
The Contractor shall commence, carry on and complete the Project
with all practicable dispatch, in a sound, economical and
efficient manner in accordance with the provisions of Attachment
A.
ARTICLE 3. COMPENSATION
A. The maximum amount payable under this Contract without
modification is $102,430. The State will. reimburse the
Contractor for the authorized costs incurred in carrying out
this project which are further described in the budget
contained in Attachment A. The State's payment to the
Contractor is contingent upon the availability of Federal
and/or State appropriated funds. The State shall have no
liability for any claim submitted by the Contractor or its
subcontractors, vendors, manufacturers or suppliers if
sufficient Federal or State funds are not available to pay
the Contractor's claims.
B. To be eligible for reimbursement under this Contract, a cost
must be incurred within the contract period specified in
Article 1 above and be included in the project budget
contained in Attachment A.
Rev. 07/90 PAGE 2 OF 19
CONTRACTOR: City of Lubbock
PROJECT NUMBER:
CONTRACT NUMBER: 511XXF6008
C. Payment of costs incurred under this Contract is further
governed by cost principles outlined in applicable Federal
Office of Management and Budget (OMB) publications as
follows:
State or Local Governments OMB Circular A-87
Nonprofit Organizations OMB Circular A-122
Colleges, Universities,
Educational Institutions OMB Circular A-21
D. Costs claimed by the Contractor shall be actual net costs,
that is, the price paid minus any refunds, rebates or other
items or value received by the Contractor that have the
effect of reducing the cost actually incurred. In
particular, fares and other passenger revenues shall be so
identified on the Contractor's billing to the State.
E. All major items or equipment, as described in the capital
budget in Attachment A, shall be included in this contract
as direct costs. The Contractor hereby certifies that items
of equipment included in direct costs have been excluded
from the indirect costs.
F. Requests for payment are to be submitted to the State no
more frequently than on a monthly basis, except as noted
below, on invoice statements acceptable to the State.
Additional documentation to support all costs incurred
during the billing period may be required at the discretion
of the State. As a minimum, each billing must be
accompanied by a summary by budget line item which indicates
the total amount authorized for each line item, previous
expenditures, current period expenditures and the balance
remaining in the line item. The original invoice with
required documentation is to be submitted to the following
address:
Mr. William M. Pope, P. E.
District Engineer
State Department of Highways
and Public Transportation
P. 0. Box 771
Lubbock, TX 79408-0771
G. The State will make payment within thirty days of the
receipt of properly prepared and documented requests for
payment.
Rev. 07/90 PAGE 3 OF 19
a
CONTRACTOR: City of Lubbock
PROJECT NUMBER:
CONTRACT NUMBER: 511XXF6008
H. The Contractor will submit a final billing within forty-five
days of the contract termination date specified in Article 1
above.
I. The Contractor shall make payments, promptly to all
subcontractors and suppliers. Failure to do so will be
grounds for termination of this Contract by the State. The
State shall not be responsible for the debts of the
Contractor.
ARTICLE 4. CONTRACT AMENDMENTS
Changes in the scope, objectives, cost or duration of the
Project authorized herein shall be enacted by written amendment
approved before additional work may be performed or additional
costs incurred. Any amendment so approved must be executed by
both parties within the Contract period as specified in Article
1.
ARTICLE 5. SUBCONTRACTS
Any subcontract for professional services rendered by individuals
or organizations not a part of the Contractor's organization
shall not be executed without prior authorization and approval of
the subcontract by the State. Subcontracts in excess of $10,000
shall contain all required provisions of this Contract. No
subcontract will relieve the Contractor of its responsibility
under this Contract.
ARTICLE 6. RECORDS AND AUDITS
A. The Contractor agrees to.maintain financial records,
supporting documents, statistical records and all other
records pertinent to this Contract.
B. The Engineer -Director of the State Department of Highways
and Public Transportation, the Texas State Auditor or any of
their duly authorized representatives shall have access to
the records described in Paragraph A above at all reasonable
times during the contract period and for the period set
forth in Paragraph C below for the purpose of making audits,
examinations, excerpts and transcripts.
C. Financial records, supporting documents, statistical records
and all other records pertinent to the Contract shall be
retained for a period of three years from final payment,
with the following qualifications:
Rev. 07/90 PAGE 4 OF 19
f
CONTRACTOR: City of Lubbock
PROJECT NUMBER:
CONTRACT NUMBER: 511XXF6008
(1) If any litigation, claim or audit is started before
the expiration of the three-year period, the records
shall be retained until all litigations, claims or
audit findings involving the records have been
resolved.
(2) Records for nonexpendable property acquired in whole or
in part with State funds shall be retained for three
years after its final disposition.
(3) When records are transferred to or maintained by the
State sponsoring agency, the three-year retention
requirement is not applicable to the Contractor.
D. The Contractor further agrees to include these provisions in
each negotiated subcontract.
E. Contractor audit procedures shall meet or exceed the single
audit report requirements outlined in Office of Management
and Budget (OMB) publications as follows:
State or Local Governments OMB Circular A-128
Institutions of Higher OMB Circular A-133
Education and Other
Nonprofit Organizations
ARTICLE 7. FINANCIAL MANAGEMENT SYSTEMS
The Contractor's financial management system shall meet or exceed
the requirements of the "Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Governments"
(49 CPR 18). Those requirements include, but are not limited to:
A. Accurate, current and complete disclosure of the financial
results of each grant program in accordance with State
reporting requirements.
B. Records which identify adequately the source and application
of funds for grant -supported activities. These records
shall contain information pertaining to grant awards and
authorization, obligations, commitments, assets,
liabilities, outlays and income.
C. Effective control over and accountability for all funds
property and other assets. The Contractor shall adequately
Rev. 07/90 PAGE 5 OF 19
i o i
CONTRACTOR: City of Lubbock
PROJECT NUMBER:
CONTRACT NUMBER: 511XXF6008
safeguard all such assets and shall assure that they are
used solely for authorized purposes.
D. Comparison of actual with budgeted amounts for each contract
and relation of financial information to performance of
productivity data, including the production of unit cost
information, whenever appropriate and required by the State.
E. Procedures for determining the eligibility for reimbursement
and proper allocation of costs.
F. Accounting records which are supported by source
documentation.
G. A systematic method to assure timely and appropriate
resolution of audit finding and recommendations.
ARTICLE 8. PROCUREMENT STANDARDS
Contractor procurement standards shall meet or exceed the
requirements of the "Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Governments"
(49 CFR Part 18), including insurance and bonding requirements.
The Contractor shall have written selection procedures which meet
the minimum requirements of that document. The Contractor agrees
to comply with applicable Buy America requirements set forth in
Section 401 of the Surface Transportation Assistance Act of 1978
(P.L. 95-599) and the Urban Mass Transportation Administration's
Buy America regulations at 49 CFR 660. The Contractor agrees to
comply with the cargo preference requirements set forth in 46 USC
1241 and Maritime Administration regulations set forth in 46 CFR
381.
The State must concur in the award of all purchase orders for
nonexpendable personal property as defined in 49 CFR Part 18.
The Contractor will meet all obligations incurred in its
subcontracts with its equipment suppliers, to specifically
include the prompt payment of monies due the supplier upon
delivery of acceptable equipment. Should payment be delayed for
any reason, the Contractor agrees not to operate any equipment
that has been delivered without the express permission,of the
equipment vendor and to lend it the same protection it would its
own equipment.
Rev. 07/90 PAGE 6 OF 19
CONTRACTOR: City of Lubbock
PROJECT NUMBER:
CONTRACT NUMBER: 511XXP6008
ARTICLE 9. PROPERTY MANAGEMENT
The Contractor agrees to comply with the property management
standards specified in the "Uniform Administrative Requirements
for Grants and Cooperative Agreements to State and Local
Governments" (49 CFR Part 18), in its control, use and
disposition of property or equipment governed by those standards.
Further, the Contractor shall comply with the property management
standards adopted by the State in the Texas Administrative Code,
Title 43, Chapter 31. In the event that any project facility and
equipment are not used in the proper manner or are withdrawn from
public transportation services, the Contractor shall immediately
notify the State. The State reserves the right to direct the
sale or transfer of property acquired under this Contract upon
determination by the State that said property.has not been fully
and/or properly utilized.
The Contractor shall maintain at least the minimum insurance on
all vehicles and other nonexpendable personal property as
required by the insurance regulations of the State of Texas.
Irrespective of coverage by insurance, unless otherwise approved
in writing by the State, in the event of loss or damage to
project property, whether by casualty or fire, the fair market
value will be the value of the property immediately before the
casualty or fire. Unless otherwise approved by the State, in the
event of loss due to casualty or fire, straight line depreciation
of the asset, based on, the industry standard for a useful life,
shall be considered fair market value.
The Contractor shall not execute any lease, pledge, mortgage,
lien or other contract touching or affecting the State interest
in any project facilities or equipment; nor shall the Contractor,
by any actor omission of any kind, adversely affect the State
interest or impair its continuing control over the use of project
facilities or equipment.
The Contractor shall notify the State immediately of theft,
wreck, vandalism or other destruction of project -related
facilities or equipment.
ARTICLE 10. LABOR PROTECTION PROVISIONS
The Contractor agrees to undertake, carry out and complete the
Project under the terms and conditions determined by the
Secretary of the United States Department of Labor to be fair and
Rev. 07/90 PAGE 7 OF 19
CONTRACTOR: City Of Lubbock
PROJECT NUMBER:
CONTRACT NUMBER: 511XXP6008
equitable, to protect the interests of employees affected by the
Project and meeting the requirements of Section 13(c) of the
Urban Mass Transportation Act of 1964, as amended.
ARTICLE 11. CHARTER AND SCHOOL BUS OPERATIONS
A. The Contractor, or any subcontractor acting on its behalf,
shall not engage in charter bus operations outside the
Project area within which it provides regularly scheduled
public transportation service, except as provided under
Section 3(f) of the Urban Mass Transportation Act of 1964,
as amended, 49 USC 1602(f), and regulations pertaining to
Charter Bus Operations, set forth in 49 CPR Part 604 and any
amendments that may be issued. Any subcontract entered into
under these regulations is incorporated into this Contract
by reference.
B. The Contractor, or any subcontractor 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 USC 1602(g) and regulations
pertaining to School Bus Operations, set forth at 49 CPR
Part 605 and any amendments thereto that may be issued. Any
subcontract entered into under these regulations is
incorporated into this Contract by reference.
ARTICLE 12. MONITORING AND REPORTING
A. The Contractor shall submit quarterly performance reports
that provide as a minimum the following:
(1) A comparison of actual accomplishments to the goals
established for the period.
(2) Reasons why established goals were not met.
(3) Other pertinent information including, when
appropriate, analysis and explanation of cost overruns
or high unit costs.
B. The Contractor shall promptly advise the State in writing of
events which have a significant impact upon the Contract,
including:
Rev. 07/90 PAGE 8 OF 19
CONTRACTOR: City of Lubbock
PROJECT NUMBER:
CONTRACT NUMBER: 511XXF6008
(1) Problems, delays or adverse conditions which will
materially affect the ability to attain program
objectives, prevent the meeting of time schedules and
goals, or preclude the attainment of project work units
by established time periods. This disclosure shall be
accompanied by a statement of the action taken, or
contemplated, and any State assistance needed to
resolve the situation.
(2) Favorable developments or events which enable meeting
time schedules and goals sooner than anticipated or
producing more work units than originally projected.
ARTICLE 13. DISPUTES
A. The Contractor shall be responsible for the settlement of
all contractual and administrative issues arising out of
procurements entered in support of contract work.
B. The State shall act as referee in all disputes regarding
non -procurement issues, and the State's decision shall be
final and binding.
4
ARTICLE 14. REMEDIES
Violation or breach of contract terms by the Contractor shall be
grounds for termination of the Contract and any increased cost
arising from Contractor's default, breach of contract or
violation of terms shall be paid by the Contractor.
This agreement shall not be considered as specifying the
exclusive remedy for any default, but all remedies existing at
law and in equity may be availed of by either party and shall be
cumulative.
ARTICLE 15. TERMINATION
A. The State may terminate this Contract at any time before the
date of completion whenever it is determined that the
Contractor has failed to comply with the conditions of the
Contract. The State shall give written notice to the
Contractor at least seven days prior to the effective date
of termination and specify the effective date of termination
and the reason for the termination.
B. If both parties to this Contract agree that the
continuation of the Contract would not produce beneficial
Rev. 07/90 PAGE 9 OF 19
L
CONTRACTOR: City of Lubbock
PROJECT NUMBER:
CONTRACT NUMBER: 511XXF6008
results commensurate with the further expenditure of funds,
the parties shall agree upon the termination conditions,
including the effective date. In the event that both
parties agree that resumption of the Contract is warranted,
a new contract must be developed and executed by both
parties.
C. Upon termination of this Contract, whether for cause or at
the convenience of the parties hereto, the State shall
retain unlimited and royalty free usage rights of all
finished or unfinished documents, data surveys, reports,
maps, drawings, models, photographs, etc., prepared by the
Contractor.
D. The State shall compensate the Contractor for those eligible
expenses incurred during the contract period which are
directly attributable to the completed portion of the work
covered by this Contract, provided that the work has been
completed in a manner satisfactory and acceptable to the
State. The Contractor shall not incur new obligations for
the terminated portion after the effective date of
termination.
E. Except with respect to defaults of subcontractors, the
Contractor shall be in default by reason of any failure in
performance of this Contract in accordance with its terms,
including any failure by the Contractor to progress in the
performance of the work. Failure on the part of the
Contractor to fulfill its obligations as set forth in this
Contract will be waived by the State for causes due to Acts
of God or force majeure.
ARTICLE 16. GENERAL PROVISIONS
A. CIVIL RIGHTS
During the performance of this Contract, the Contractor, for
itself, its assignees and successors in interest agrees as
follows:
(1) Compliance with Regulations: The Contractor shall
comply with the regulations relative to
non-discrimination in federally assisted programs of
the Department of Transportation (hereinafter "DOT")
Title 49, Code of Federal Regulations, Part 21 and 23
CFR 710.405(b), as they may be amended from time to
Rev. 07/90 PAGE 10 OF 19
CONTRACTOR: City of Lubbock
PROJECT NUMBER:
CONTRACT NUMBER: 511XXF6008
time (hereinafter, referred to as the Regulations),
which are herein incorporated by reference and made a
part of this Contract.
(2) Nondiscrimination: The Contractor, with regard to the
work performed by it during the Contract, shall not
discriminate on the grounds of race, color, sex or
national origin in the selection and retention of
subcontractors, including procurements of materials and
leases of equipment. The Contractor shall not
participate either directly or indirectly in the
discrimination prohibited by Section 21.5 of the
Regulations, including employment practices when the
contract covers a program set forth in Appendix B of
the Regulations.
(3) Solicitation for Subcontracts, Including Procurements
of Materials and Equipment: In all solicitations
either by competitive bidding or negotiation made by
the Contractor for work to be performed under a
subcontract, including procurements of materials or
leases of equipment, each potential subcontractor or
supplier shall be notified by the Contractor of the
Contractor's obligations under this Contract and the
Regulations relative to nondiscrimination on the
grounds of race, color, sex or national origin.
(4) Information and Reports: The Contractor shall provide
all information and reports required by the Regulations
or directives issued pursuant thereto, and shall permit
access to its books, records, accounts, other sources
of information and its facilities as may be determined
by the State or the Urban Mass Transportation
Administration (UMTA) to be pertinent to ascertain
compliance with such Regulations, orders and
.instructions. Where any information required of a
Contractor is in the exclusive possession of another
who fails or refuses to furnish this information, the
Contractor shall so certify to the State or the Urban
Mass Transportation Administration, as appropriate, and
shall set forth what efforts it has made to obtain the
information.
(5) Sanctions for Noncompliance: In the event of the
Contractor's noncompliance with the nondiscrimination
provisions of this Contract, the State shall impose
Rev. 07/90 PAGE 11 OF 19
B.
C.
CONTRACTOR: City of Lubbock
PROJECT NUMBER:
CONTRACT NUMBER: 511XXF6008
such contract sanctions as it or the Urban Mass
Transportation Administration may determine to be
appropriate, including, but not limited to:
(a) Withholding of payments to the Contractor under
the Contract until the Contractor complies, and/or
(b) Cancellation, termination or suspension of the
Contract, in whole or in part.
(6) Incorporation of Provisions: The Contractor shall
include the provisions of paragraphs (1) through (6) in
every subcontract, including procurements of materials
and leases of equipment, unless exempt by the
regulations or directives issued pursuant thereto. The
Contractor shall take such action with respect to any
subcontract or procurement as the State or 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, litigation with a subcontractor or
supplier as a result of such direction, the Contractor
may request the State to enter into such litigation to
protect the interests of the State, and, in addition,
the Contractor may request the United States to enter
into such litigation to protect the interests of the
United States.
NONDISCRIMINATION ON THE BASIS OF HANDICAP
The Contractor agrees that no otherwise qualified
handicapped person shall, solely by reason of his handicap,
be excluded from participation in, be denied the benefits
of or otherwise be subject to discrimination under the
project. The Contractor shall insure that all fixed
facility construction or alteration and all new equipment
included in the project comply with applicable regulations
regarding Nondiscrimination on the Basis of Handicap in
Programs and Activities Receiving or Benefitting from
Federal Financial Assistance, set forth in 49 CFR Part 27,
and any amendments thereto.
DISADVANTAGED BUSINESS ENTERPRISE PROGRAM REQUIREMENTS
It is the policy of the Department of Transportation that
Minority Business Enterprises as defined in 49 CFR Part 23
Rev. 07/90 PAGE 12 OF 19
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CONTRACTOR: City of Lubbock
PROJECT NUMBER:
CONTRACT NUMBER: 511XXF6008
shall have the maximum opportunity to participate in the
performance of contracts financed in whole or in part with
Federal funds. Consequently, the Minority Business
Enterprise requirements of 49 CFR Part 23 apply to this
Contract as follows:
The Contractor agrees to insure that Minority Business
Enterprises as defined in 49 CFR Part 23 have the maximum
opportunity to participate in the performance of contracts
and subcontracts financed in whole or in part with Federal
funds. In this regard, the Contractor shall take all
necessary and reasonable steps in accordance with 49 CFR
Part 23 to insure that minority business enterprise have the
maximum opportunity to compete for and perform contracts.
The Contractor shall not discriminate on the basis of race,
color, national origin or sex in the award and performance
of contracts funded in whole or in part with Federal funds.
These requirements shall be physically included in any
subcontract.
Failure to carry out the requirements set forth above shall
constitute a breach of contract and, after the notification
of the State, may result in termination of the Contract by
the State or other such remedy as the State deems
appropriate.
D. EQUAL EMPLOYMENT OPPORTUNITY
The Contractor agrees to comply with Executive Order 11246
titled "Equal Employment Opportunity" as amended by
Executive Order 11375 and as supplemented in Department of
Labor Regulations (41 CFR, Part 60).
E. AFFIRMATIVE ACTION
The Contractor warrants that affirmative action programs as
required by the rules and regulations of the Secretary of
Labor (41 CFR 60-1 and 60-2) have been development and are
on file.
F. SPECIAL PROVISIONS FOR CONSTRUCTION OR REPAIR CONTRACTS
(1) Contract Work Hours and Safety Standards Act
The Contractor agrees to comply with Sections 103 and
107 of the Contract Work Hours and Safety Standards Act
Rev. 07/90 PAGE 13 OF 19
CONTRACTOR: City of Lubbock
PROJECT NUMBER:
CONTRACT NUMBER: 511XXF6008
(40 USC, Part 327-330) as supplemented by Department of
Labor Regulations (29 CFR, Part 5).
(2) Copeland "Anti -Kickback" Act
The Contractor agrees to comply with the Copeland
"Anti -Kickback" Act (18 USC 874) as supplemented in
Department of Labor regulations (29 CFR, Part 3).
(3) Davis -Bacon Act
The Contractor agrees to comply with the provisions of
the Davis -Bacon Act (40 USC 176a to 9-7) as
supplemented by Department of Labor regulations (29
CFR, Part 5).
(4) Relocation and Land Acquisition
The terms of the Department of Transportation
regulations "Uniform Relocation and Real Property
Acquisition for Federal and Federally Assisted
Programs" (49 CFR Part 25) are applicable to this
Contract.
(5) Insurance and Bonding
The Contractor shall comply with insurance and bonding
requirements as established in 49 CFR Part 18.
(6) Signs
The Contractor shall cause to be erected at the site of
construction, and maintained during contraction, signs
satisfactory to the State and the United States
Department of Transportation identifying the project
and indicating that the Government is participating in
the development of the project.
G. ENVIRONMENTAL PROTECTION AND ENERGY EFFICIENCY
The Contractor agrees to comply with all applicable
standards, orders or requirements issued under Section 306
of the Clean Air Act (42 USC 1857[h]; Section 508 of the
Clean Water Act (33 USC 1368); Executive Order 11738 and
Environmental Protection Agency Regulations (40 CFR, Part
15). The Contractor further agrees to report violations to
the State.
Rev. 07/90 PAGE 14 OF 19
CONTRACTOR: City of Lubbock
PROJECT NUMBER:
CONTRACT NUMBER: 511XXF6008
The Contractor agrees to recognize 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 (P.L. 94-163).
H. CONTROL OF DRUG USE
The Contractor agrees to comply with the terms of the
Omnibus Anti -Drug Abuse Act of 1988 (P.L. 100-890, Title V,
Subtitle D).
I. SUSPENSION AND DEBARMENT
The terms of the Department of Transportation regulation,
"Suspension and Debarment of Participants in DOT Financial
Assistance Programs" set forth at 49 CPR Part 29, are
applicable to this Contract and the Contractor must complete
the Contractor Certification which is included as Attachment
B. Further, any subcontractor employed by the Contractor is
also bound by the terms of 49 CFR Part 29 and must complete
a Contractor Certification (Lower Tier) form.
J. RESTRICTIONS ON LOBBYING
Pursuant to Section 319 of Public Law 101-121, which
generally prohibits recipients of Federal funds from using
those monies for lobbying purposes, the Contractor shall
comply with the attached Special Provision "New Restrictions
on Lobbying", which is included as Attachment C.
K. PROHIBITED ACTIVITIES
The Contractor or any subcontractor shall not use Federal or
State assistance funds for publicity or propaganda purposes
designed to support or defeat legislation pending before
Congress or the Texas Legislature.
No member of or delegate to the Congress of the United
States shall be admitted to any share or part of this
Contract or to any benefit arising therefrom.
No member, officer or employee of the Contract during this
tenure or one year thereafter shall have any interest,
direct or indirect, in this Contract or the proceeds
thereof.
Rev. 07/90 PAGE 15 OF 19
CONTRACTOR: City of Lubbock
PROJECT NUMBER:
CONTRACT NUMBER: 511XXF6008
State Highway and Public Transportation Commission policy
mandates that employees of the Department shall not accept
any benefits, gifts or favors from any person doing business
or who reasonably speaking may do business with the State
under this Contract. The only exceptions allowed are
ordinary business lunches and items that have received the
advanced written approval of the State Engineer -Director for
Highways and Public Transportation. Any persons doing
business with or who may reasonably speaking do business
with the State under this Contract may not make any offer of
benefits, gifts or favors to Departmental employees, except
as mentioned hereabove. Failure on the part of the
Contractor to adhere to this policy may result in the
termination of this Contract.
L. ASSURANCES
The Contractor will comply with Texas Civil Statutes,
Article 5996a, by insuring that no officer, employee or
member of the Contractor's governing board or of the
Contractor's subcontractor shall vote or confirm the
employment of any person related within the second degree by
affinity or third degree by consanguinity to any member of
the governing body or to any other officer or employee
authorized to employ or supervise such person. This
prohibition shall not prohibit the employment of a person
who shall have been continuously employed for a period of
two years prior to the election or appointment of the
officer, employee, governing body member related to such
person in the prohibited degree.
The Contractor will insure that all information collected,
assembled or maintained by the applicant relative to this
project shall be available to the public during normal
business hours in compliance with Texas Civil Statutes,
Article 6252-17a, unless otherwise expressly provided by
law.
The Contractor will comply with Texas Civil Statutes,
Article 6252-17, which requires all regular, special or
called meetings of governmental bodies to be open to the
public, except as otherwise provided by law or specifically
permitted in the Texas Constitution.
M. PATENT RIGHTS
If any invention, improvement or discovery of the Contractor
or any of its subcontractors is conceived or first actually
Rev. 07/90 PAGE 16 OF 19
N.
0.
P.
CONTRACTOR: City of Lubbock
PROJECT NUMBER:
CONTRACT NUMBER: 511XXF6008
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; and if said invention, improvement or
discovery has not already become the property of the State
under Article 15.0 above; the Contractor shall immediately
notify the State and provide a detailed report. The rights
and responsibilities of the Contractor, subcontractors and
the United States Government with respect to such invention
will be determined in accordance with applicable Federal
laws, regulations, policies and any waivers thereof.
Further, the Contractor shall comply with the provisions of
41 CFR, Part 1-9.
COPYRIGHTS
The State and the United States Department of Transportation
shall have the royalty -free, non-exclusive and irrevocable
right to reproduce, publish or otherwise use, and to
authorize others to use, the work for government purposes.
INDEMNIFICATION
To the extent permitted by law, the Contractor shall
indemnify and save harmless the State from all claims and
liability due to activities of itself, its agents or
employees, performed under this agreement and which result
from an error, omission or negligent act of the Contractor
or of any person employed by the Contractor. The Contractor
shall also save harmless the State from any and all
expenses, including attorney fees which might be incurred by
the State in litigation or otherwise resisting said claim or
liabilities which might be imposed on the State as a
result of activities by the Contractor, its agents, or
employees. Such indemnity shall also apply where claims,
losses, damages, causes of actions, suits or liability arise
in whole or in part from the negligence of the State.
SUCCESSORS AND ASSIGNS
The Contractor binds itself, its successors, assigns,
executors and administrators in respect to all covenants of
this agreement. The Contractor shall not sign, sublet or
transfer its interest in this agreement without the written
consent of the State.
Rev. 07/90 PAGE 17 OF 19
CONTRACTOR: City of Lubbock
PROJECT NUMBER:
CONTRACT NUMBER: 511XXF6008
Q. CONTRACTOR ACKNOWLEDGEMENT
The Contractor acknowledges that it is not an agent, servant
or employee of the State and is responsible for its own act
and deeds and for those of its agents or employees during
the performance of the contract work.
R. LEGAL CONSTRUCTION
In case any one or more of the provisions contained in this
agreement shall for any reason be held to be invalid,
illegal or unenforceable in any respect, such invalidity,
illegality or unenforceability shall not affect any other
provision thereof and this agreement shall be construed as
if such invalid, illegal or unenforceable provision had
never been contained herein.
S. PRIOR AGREEMENTS
This agreement constitutes the sole and only agreement of
the parties hereto and supersedes any prior understandings
or written or oral agreements between the parties respecting
the within subject matter.
Rev. 07/90 PAGE 18 OF 19
CONTRACTOR: City of Lubbock.
PROJECT NUMBER:
CONTRACT NUMBER: 511XXF6008
IN TESTIMONY WHEREOF, the parties hereto have caused these
presents to be executed.
STATE OF TEXAS
Certified as being executed
for the purpose and effect of
activating and/or carrying out
the order, established
policies or work programs
heretofore approved and
authorized by the State
Highway and Public
Transportation Commission
under the authority of
MinuteOrder 89210.
APP ED•
By:
Director. Public
Transportation
Date: —1 21' 1 u
RECOMMENDED FOR EXECUTION:
District7 Engineer, Dis c 5
CONTRACTOR
City of Lubbock
c
By: lef c4
B.C. McMInn
Title: Mayor
Date: September 27, 1990
T:
anet a /Boyd, City Secre ary, City of Lubbock
Date:-a�►-�o
APPROVED AS TO CONTENT:
Larry H fman
Direct of Tra sportation
City o Lubbock
APPROVED AS TO FORM:
S I U 11�f. _ 74, mi�.
rtnf Fullingim
ss stant City Attorney
C y of Lubbock
Rev-._.07/90 PAGE 19 OF 19
CONTRACTOR: CITY OF LUBBOCK
PROJECT NUMBER:
CONTRACT NUMBER: 511XXF6008
LINE ITEM # DESCRIPTION
1. CAPITAL (80/13/7)
1 NONE
SUBTOTAL CAPITAL
Il. OPERATING ASSISTANCE (50/25/25)
1 OPERATING ASSISTANCE
SUBTOTAL OPERATING
11. PLANNING ASSISTANCE (80/13/7)
1 NONE
SUBTOTAL PLANNING
NET PROJECT COSTS
ATTACHMENT A
CONTRACT BUDGET
TOTAL FEDERAL STATE
0 0 0% 0 0%
0 0 0% 0 0%
LOCAL
0
0
2,500,000 1,250,000 50% 102,430 4% 1,147,570
2,500,000 1,250,000 50% 102,430 4% 1,147,570
0 0 0% 0 0% 0
0 0 0% 0 0% 0
2,500,000 1,250,000 50% 102,430 4% 1,147,570
Contractor Certification
being (1)
duly sworn or under penalty of perjury under the laws of the United States,
certifies that, except as noted below, or (2)
any person associated therewith in the capacity of owner, partner, director,
officer, principal investigator, project director, manager, auditor, or any
position involving the administration of federal funds:
• is not currently under suspension, debarment, voluntary exclusion, or
determination of ineligibility by any federal agency;
• has not been suspended, debarred, voluntarily excluded or determined
ineligible by any federal agency within the past three years;
• does not have a proposed debarment pending; and
• has not been indicted, convicted, or had a civil judgment rendered
against it by a court of competent jurisdiction in any matter involving
fraud or official misconduct within the past three years.
Exceptions will not necessarily result in denial of award, but will be considered
in determining bidder responsibility. For any exception noted, indicate below
to whom it applies, initiating agency, and dates of action. Providing false
information may result in criminal prosecution -or administrative sanctions.
Exceptions: (3)
C . c (4)
ameof certi yingofficial B.C. McMinn
Mayor
Title
September 27, 1990
Date -
Ap oveO to Form: App oved as to Con ent:
I-JWorth Fullingim Larry V. Hoffman Ra ette Boyd
s istant City Attorney Director of Transportation Ci y Secretary,
Lower Tier Participant Debarment Certification
(Negotiated Contracts)
, being duly sworn
(insert name of certifying official)
or under penalty of perjury under the laws of the United States, certifies that
neither nor its
(insert name of lower tier participant)
principals are presently:
• debarred, suspended, proposed for debarment,
• declared ineligible,
• or voluntarily excluded from participation in this transaction
by any Federal department or agency
NVhere the above identified lower tier participant is unable to certify to any of the
above statements in this certification, such prospective participant shall indicate
below to whom the exception applies, the initiating agency, and dates of action.
Exceptions will not necessarily result in denial of award, but will be considered in
determining contractor responsibility. Providing false information may result in
criminal prosecution or administrative sanctions.
EXCEPTIONS:
Signature of Certifying Official
Title
Date of Certification
See Reverse for Information
Form 1734
Rev.4.89
Lower Tier Participant Debarment Certification
(Negotiated Contracts)
, being duly sworn
(insert name of certifying official)
or under penalty of perjury under the laws of the United States, certifies that
neither nor its
(insert name of lower tier participant)
principals are presently:
• debarred, suspended, proposed for debarment,
• declared ineligible,
• or voluntarily excluded from participation in this transaction
by any Federal department or agency
Where the above identified lower tier participant is unable to certify to any of the
above statements in this certification, such prospective participant shall indicate
below to whom the exception applies, the initiating agency, and dates of action.
Exceptions will not necessarily result in denial of award, but will be considered in
determining contractor responsibility. Providing false information may result in
criminal prosecution or administrative sanctions.
EXCEPTIONS:
Signature of Certifying Official
Title
Date of Certification
See Reverse for Information
Form 1734
Rev. 4-89
CBRTIFICATION
OF
RESTRICTIONS ON IDUYING
I� B.C. McMinn, Mayor , hereby certify on
(name and title of grantee official)
behalf of _City of Lubbock that:
(name of grantee)
(1) No Federal appropriated funds have been paid or will be paid,
by or on behalf of the undersigned, to any person for influencing
or attempting to influence an officer or employee of any agency, a
Member of Congress, an officer or employee of Congress, or an
employee of a Member of Congress in -connection with the awarding
of any Federal contract, the malting of any Federal grant, the
making of any Federal loan, the entering into of any cooperative
agreement, and the extension, continuation, renewal, amendment, or
modification of any Federal contract, grant, loan, or cooperative
agreement.
(2),If any funds other than Federal appropriated funds have been
paid or will be paid to any person for influencing or attempting
to influence an officer or employee of any agency, a Umber of
Congress, an officer or employ" of Congress, or an employee of a
Member of Congress in connection with this Federal contract,
grant, loan, or cooperative agreement, the undersigned shall
complete and submit Standard Form-LLL, "Disclosure Fors to Report
Lobbying," in accordance.with its instructions.
(3) The undersigned shall require that the language of this
:certification be included in the award documents for all subawards-
at all tiers (including subcontracts, subgrants, and contracts
under grants, loans, and cooperative agreements) and that all
subrecipients shall certify and disclose accordingly.
This certification is a material representation of fact upon which
reliance is placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31,
U. S: Code. Any person who fails to file the required
certification shall be subject to a civil penalty of not less than
$10,000 and not more than $100,000 for each such failure.
Executed this 27th day of _ September , 18 .
C
BY
(- 1gnature cff authorized official)
Manor B.C. McMinn
(title of authorized official)
,Federal Register / Vol. 54, No. 243 / Wednesday.'Decetnber �, 1989 / No kes 5:
DISCLOSURE Of LOBBYING ACTIVITIES 81444i° Or °"'
e3.a�os
Complete tN% tom+ to disdwe lobbying activities pursuant to 31 U.S.C. 1352
(Set reverse for pubk bufden d►sdosure.)
1. Type of fede►ai Action:
t Rolm N federal Acdm
3 Report Type:
L contract
b.
El a bidlof(erfaWcation
❑ L k►WW On
grant
d� tMe agfnernent
b. WtW award
c. post•swsrd
b. ntaterW change
ht Mats Grange owr.
quarter
(. ban Insurance t
daft of int report
t. Nam utd Add" of Regtiortbtgf Eadtr
!r. It Reprtintg Entity In Na.4 Is Sel &wwdee. Enter Name
D ®rime O 5ubtwvdee
and Address of Pointe:
Tie► . if ibrown:
C Olsten L if bte►wrr
DialrkL fbmwn. .
f,. federal DepartrnwWAaa wr
7. YedoW Paag nr Nanw%kieriptiortt -
CFDiA Ntatnber, if vpli aWe:
t . federal Action Nund r, if blows:
A Awwd AnWwK d brown.
S
is. a Name and Address d LobbyMi Eta! L ineI P Sot *a tirnrsrxt addtess i
(if owwfow, list names .16sf rwne. +tFllJt Ott kom NO. TOO
f e mass; *9 "am. MIX
Anwo of Payment fda%t al! daft *P4*
>S :jp! M rJ�sxgt fdnlCi aX daat
111.
S O acted CIA,
O a netdnee
0. 4 OOtutdpi0tt
12. dorm of hyt
e a. t�stf �
O a ke .
® b. in-&14 speciyr: sistm
O, � .
mi
O >c >tpedyt
t+aitfe
14, 1" M Se1tk. ftowtttad erw iia PtdtatttM ad titaMiW of Un tt, b&ft edlaft tMPiOrtets?.
or Comm" IN P%w" bdkwd `ttefo ft.
1IS. Colltif dkn 01410) S1-LvA 806016 O Yes ONO
346 bftosww.warlsW Memo ob f m b ar~ by ab as M=
.IgMwsssa.wrwdlNfalYlfi�eae�ar�ra�rillw�rrwrllrl
.f � I«w ..r. w�arLl .r rswr ti «.. aara row r
h� NMR
YNIdtnl ar t MrAt ow fAp dM"M Y no*" Awr r
so VAc an EMI bdowam so t. "pow r ton Ca/m one.
+rw�1►.ira tt. a�ia1.1.. /die wN�rllt► w� /�w.Ir M r
u. ow MOMW ambM Mi b Mies r bow two d so Yw ►iw
I Is.aot w1 w�I we Miw am taotr west, ndI Mrt.
Tt4pbeatr No.: Date
fr ame s«. - U&
523Z4 Federal Register / Vol. 54, No. 243 f Wedneiday, December 20. 1989 / Notices
INSTRUCTIONS FOR COMPLETION OF SF-LLL, DISCLOSURE OF LOBBYING ACTIVITIES
This disdosure fore shall be completed by thereporting entity, whether subawardee or prime Federal recipient, at the
Initiation or receipt of a covered federal action, or a material change to a previous filing, pursuant to title 31 U.S.C.
section 1352. The filing of a form is required for each payment or agreement to make payment to any lobbying entity for
Influencing or attempting to influence an officer or empioyet of any agency, a Member of Congress, an officer or
employee of Congress, or an employer of a Member of Congress In connection with a covered Federal action. Use the
SF-LLL-A Continuation Sheet for additional Information if the space on the form is inadequate. Complete ail items that
apply for both the Initial filing and material change report. Refer to the Implementing guidance published by the Office of
Management and Budget for additional Information.
1. identffy the type of covered Federal action for which lobbying activity is "or has been secured to Influence the
outcome of a covered Federal action.
2. Identify the status of the covered Federal action.
3. identify the appropriate classification of this report. If this Is a followup report caused by a material change to the
information previously reported, enter the year and quarter In which the change occurred. Enter the date of the last
previously submitted report by this reporting entity for this covered Federal action.
4. Enter the full name, address, dry, state and tip code of the reporting entity. include Congressional District, if
known. Check the appropriate classification of the reporting entity that designates if It IS, or expects to be. a prime
or subaward recipient. identify the tier of the subawardee, e.g., the first subawardee of the prime is the 1st tier.
Subawards include but are not limited to`subcontracts, subgrams and contract awards wtcWgrants.
5� If the organization filing the report in item 4 checks "Subawardee", then enter the full name, address, sty, state and
zip code of the prime Federal recipient. Include Congressional District, If known.
6. Enter the name of the Federal agency making the award or loan commitment. Irhtiude at least one organizational
level below agency name, if known. For example, Department of Transportation, United States Coast Guard.
7. Enter the Federal program name or description for the covered Federal action (item 1). if known, enter the full
Catalog of Federal Domestic Assistance (CF1W number for Srarits, cooperatin agneemeMs Ioarhs, and loan
commitments. _
8. Enter the most appropriate Federal identifying number available for the Federal action identified in Item *1 (e g.,
Request for Proposal (RFP) number, invitation for Bid (IFB) number, grant announcement number; the contract,
grant, or loan award number, the application/proposal control nwnber asslgned by the Federal agency). Include
prefixes, e.g., "RFP-DE-90-001."
9. For a covered Federal action where then has been an award or loan commitment by the Federal agency, enter the
Federal amount of the awardloan connnitment for the prone entity Mend W In Item 4 or S.
10. (a)Enter the lull name, address, city. state and tip code of the iobbft entity engaged by the repo*q entity
Identified in item 4 to influence the covered Federal action.
(b)Enter the full names of the in9ridual(s) pafonnirhg services, and include full address If different from 10 W.
Enter Last Name, First Name, and Middle Initial (MI).
11. Enter the amount of compensation paid a reasonably expected to be paid by the reporft entity own 4). to the
lobbying entity {item 10). indicate whether the payrtwt has been nude (actual) or will be made (platuud). Check
all boxers that apply. if this is a material dharW mport, erger theolnujom wrAmm of payment made or planned
to be made.,.
12, Check the appropriate box(es). Check all boxes that apply. if payment is made through an unkind contribution.
specify the nature and value of the in�kind payment.
13. Check the appropriate box(es). Check all boxes that apply. If other, specify nature. -
14. Provide a specific and detaned description of the services that the lobbyist has performed, of wMl be expected to
perform, and the date(s) of any services tendered- Include all p end ndated activity, sat Just Ow spent
actual contact with Federal officals. Identify the federal ofli erpdoyee(s) contacted or the ~s),
employee(s), or Member(s) of Congress that were contacted.
IS. Check whether or not a SF-LLL,A Continuation Sheets) Is attached.
16. The certifying official AM sign and date the kM print 154M noM ilk, and Nkphohe aWrJ er-
Public reporting burden for this collection of inforoubm is estinkated to average 30 s AMues per wspawe. trKhsdwkg tlntnt for neviewirkg
ins morons, wa►chins existog dau souses, pV" and mwwe m ft the data needed and eornpfe" and rfWWW erg ttire eoMeedon of
InMrr:r►tion. Send can�merm nta the ehrden estimate a arty other aspect err this Wflcdion ere Mdorrrnitiars trrctnhdir� wggeatiorts
for reduces this trurden, to the Of & of M&%Wment and kmkK Paperwork Mdutfion Fr*ct (0340WO, W O.C. M01
A
Federal Register I Vol. 54. No. U3 1 Wednesday. December 2o, ton / Notices S
DISCLOSURE OF LOBBYING ACTIVITIES by 0A/1
CONTINUATION SHEET
Repoeli+gt EnWr. ►>Re ®1
arM1� Ir Yd Mprrestew
$2326 Federal Register / Vol. 54. No, 243 [Wednesday, December..20, Ian / Notices
Appendix C to Part - Contract Clause
NEW RESTRICTIONS ON LOBBYING
(a) Definitions. As used in this clause,
"Agency", as defined in 5 U.S.C. 552(f), includes Federal
executive departments and agencies as well as independent
regulatory commissions and Government corporations, as defined in
31 U.S.G. 9101(1).
"Covered Federal action" means any of the following Federal
actions:
(1) The awarding of any Federal contract;
(2) The making of any Federal grant;
(3) The making of any Federal loan;
(4) The entering into of any cooperative agreement; and,
(5) The extension, continuation, renewal, amendipent, or
modification of. any Federal contract, grant, loan, or
cooperative agreement.
Covered Federal action does not include receiving from an agency
a commitment providing for the United States to insure or
guarantee a loan.
- "Indian tribe".and "tribal organisation" have the meaping
provided in section 4 of -the Indian "It -Determination and
Education Assistance Act (25 U.S.C. 450B). Alaskan Wativea are
included under the definitions of Indian tribes in that Act.
"Influencing or attempting to influence" means Making, with -.-`,-
the intent to influence, any communication to or appearance -
before an officer or employee of any agency, a Member of,
Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with any covered Federal action.
*Local government" means a unit of government in a State
and, if chartered, established, or otherwise recognized by a
State for the' performance of a governmental duty, including a
local public- authority, a special district, an intrastate
district, a council of governments,. a sponsor group
representative organization, and any other—U strumentality of a
local government.
"officer or employee of an agency" includes the following
Individuals who are employed by an agency:
(1) An individual who is appointed to a position in the
Government under title 50 U.S. Code, including a position
under a temporary appointment;
(2) A member of the uniformed services as defined' -in
section 101(3), title 37, O.S. Code; - -
(3) A special Government esployes as defined in section
202, title 18, U.S. Codes and,
21
Federal Register / Vol 54, No 243 / Wednesday, December 20. 1989 / Notices 52,
(4) An individual who is a member of a Federal advisory
committee, as defined by the Federal Advisory Committee Act,
title 5, U.S. Code appendix 2.
"Person" means an individual, corporation, company,
association, authority, firm, partnership, society, State, and
local government, regardless of whether such entity is operated
for profit or not for profit. This term excludes an Indian
tribe, tribal organization, or any other Indian organization with
respect to expenditures specifically permitted by other Federal
law.
f9Reasonable compensation" means, with respect to a regularly
employed officer or 'employee of any person, compensation that is
consistent with the normal compensation for such officer or
employee for work that is not furnished to, not funded by, or not
furnished in cooperation with the Federal Government.
` "Reasonable payment" means, with respect to professional acid
other technical services, a payment in an amount that is
consistent with the amount normally paid for such services in the
private sector.
"Recipient" includes all contractors and subcontractors at
any tier. in connection with a Federal contract.- The term
excludes an Indian tribe, tribal organisation, or any other
Indian organization- with respect toditurss specifically
permitted by other Federal law.
"Regularly emplayede means, with zMspect to an officer or- _
employee of a person requesting or receiving a Federal contract,
an officer or employee who is employed by such person for 'at
least 130 working days within one year imm diatelp preaeditlig the
date of the submission that initiates agenc? consideration of
.such person for receipt of such contract. An officer or aVloyee
=who is employed by such person for less than 130 working days
within one year immediately preceding the date of the sWNdssion
that initiates -agency consideration of -smote person shall be.
considered to be regularly asployed as soon as be or she is
employed by such person -for -130 vorking days.
"state" means a- State - of the trnitlt states; the District of
Coluipbia, the • Coaaonvealth of Puerto - bieo, a -territory or
possession of the United States, an agendy or instsnsaxtality of._.
a State, and a multi -State, regionalp or. interstate entity bavinq..�
governmental duties and powers.
fib) Prohibition.
(1) Section 1352 of title 31, U.S. Code providesr in part
that no appropriated funds may be expended by the recipient of a
Federal contract, grant, loan, or cooperative agreement to pay
22
52328 Federel RegWer / Vol 54. No .243 / Wednesday. December 20, ion /. Notice@
any person for influencing or attempting to influence an officer
or employee of any agency, a Member of Congress, an officer or
employee of Congress, or an employee of a Member of Congress in
connection with any of the following covered Federal actions:
the awarding of any Federal contract, the making of any Federal
grant, the making of any Federal loan, the entering into of any
cooperative agreement, and the extension, continuation, renewal,
amendment, or modification of any Federal contract, grant, loan,
or cooperative agreement.
(2) The prohibition does not apply as follows:
(i) agency and legislative liaison by Own Employees.
(A) The prohibition on the use of appropriated
funds, in paragraph yl) of this section, does not apply in the
case of a payment or reasonable compensation made to an officer
or employee of a person requesting or receiving a Federal
contract if the payment is for agency and legisls*ivW liaison
activities not directly related to a covered Federal action.
(a) For purposes of paragraph A (L) of this
section, providing any information specifically requested by an
agency or Congress is allowable at any tine.
(C) .. For,, purposes of paragraph (k) of this
section, the following agency and legislative i= activities
are allowable at any time only where they are not related to a
specific solicitation_for any covered Federal actiom-
3 Discussing with an agency (including.
.individual demonstrations) the qualities andies of ,
the person's products or services, conditions or terns of sale;...
and service capabilities: and,
(iii f Technical discussions and other
activities regathe application or idsptatios of the
person's products or services for an agencyle nee.
Cb�3�i
(D) For purposes of. P�graDh (A) of this
section, le glthe following agency and ove lia�son activities
are allowable only where they Ar* prior to fosaal solicitation of
any covered Federal ions
s {j Providing any inforsation not
specifically requested but secessary for an agency to soft an
informed decision t initiation of a covered Federal actions
i) Technical discussions regarding the
preparation of an unsolicited proposal prior to its official.
submissions and,
3 I(i) Capability presentations by persons
seeking awards from an agency pursuant to the provisions of the
small Business Act, as amended by Public Law 95•507 and other
subsequent amendapents0
23
.Federal Register ! Vol 54 No. 243 / Wednes'%v. December 20 1989 / Notices 5:
(E) only those activities expressly authorized by
paragraph�(i) of this section are allowable under paragraph (i).
(ii) Professional and technical services by own
Employees.
(A) The prohibition on the use of appropriated
funds, in paragraphM1) of this section, does not apply in the
case of a payment o reasonable compensation made to an officer
or employee of a person requesting or receiving a Federal
contract or an extension, continuation, renewal, amendment, or
modification of a Federal contract if payment is for professional
or technical services rendered directly in the preparation,
submission, or negotiation of any bid, proposal, or application
for that Federal contract or for meting requirements imposed by
or pursuant to law as a condition for receiving that Federal
contract. (Ob-i C;s�
(B) For purposes of paragraph4 (A) of this
section, "professional and technical services" shall be limited
to advice and analysis. directly applying -any professional or'.
technical discipline. For example, drafting of a legal document
accompanying a bid or proposal by a lawyer is allowable.
'Similarly,, technical advice provided by an engineer.. on the .
perforsnnos or operational capability of a piece of equipment
rendered directly. in -the negotiation of a eoatract in allowable.
However, communications with the intent' to influence made by a
professional (such as a licensed lawyer) or a technical parson.
(such as a licensed accountant) are not allowable under this..
section unless they provide advice and analysis directly applying
their professional or technical expertise and unless the advice :.
or analysis is rand*rad 'Airectly and solely in the preparation v
submission or negotiation of a covered Federal action. Thus,'for
example, coam►unications with .the intent to influence made by a
lawyer that, do not provide legal advice -or analysis directly and
solely related to the legal aspects of his or bar client's.
Proposal, but generally advocate one proposal over another are
not all nimble" under We section .because the lawyer is not
providing professional legal services.-Sbaitarlp, cos nieations.
with the .intent . to . nfluence ` made JW--an engineer providing an . '
engineering analysis prior to the preparation or wMi ission.of a'
bid or proposal are not allowable under this - section slaci the
engineer Is. providing .xechn-ical services but not directly in the.'
preparation; submission or Negotiation of a cowered 8ederal
action.
CCj Requirements imposed by or pursuant to law as
a- condition for receivin4 a covered Federal award include those
required by law or regulation, or reasonably expected to be
required. by. law or regulation, and any other requirements in the
actual award documents..
24
52330 IF'ederal'Re�ieter / W 54 No 243 / WcdnesdBv. December X, 1989_/ Notices
CbX') (D) Only those services expressly authorized by
paragraph �(ii) of this section are allowable under paragraph
(ii)
(iii) Reporting for Own Employees.
No reporting is required with respect to payments of reasonable
compensation made to regularly employed officers or employees of
a person.
(iv) Professional and technical services by other than
own Employees.
(A) The prohibition on the use of appropriated
funds, in paragraphol) of this section, does not apply in the
case of -any reasonable payment to a person, other than an officer
or employee of a person requesting or receiving a covered Federal
action, if the payment is for professional or technical services
rendered directly in the ,preparation; submission, or negotiation
of any bid, proposal, or application for that Federal contract or
for meeting requirements imposed by or pursuant to law as a
condition for receiving that Federal contract.
(bX3�G r)
(8) For —purposes -purposes of paragraph * (A) of this
section, . �"professional.. and -technical.-servieesM shall b's.. limited
to advice. and -'analysis directly applying any professional or
technical discipline. For example, drafting of a legal document
accompanying a bid or proposal by a lawyer is allowable..:
similarly, technical advice provide by an engineer on. the
performance or operational capability of a piece of squipment
rendered directly in the negotiation of a contract is allowable.
-
However, communications with the intent to influence made by a
professional (such as a licensed, lawyer) or a tecImieal person
(such as -a licensed accountant) are not allowable under this
section unless they provide advice and analysis directly applying
their professional or technical expertise and unless the advice
or. analysis is rendered .directly and solely in the preparation,
submission or negotiation of a covered Federal action. IMus, for
example, communications with the intent to influence made by a
lawyer that do not provide legal advice or analysis directly and
solely related to the legal aspects. "obis or her client's
proposal, but generally advocate one proposal over another are
not allowable under this section because the lawyer is not
providing professional legal services, similarly, co3ormicatiens
with the intent to influence made, by an engineer providing an
engineering analysis prior to the preparation.or submission. of a
bid or proposal are not allowable raider this section since the
engineer is ,providing technical services but not directly in the
preparation, submission or negotiation of a covered Federal
action.
25
Federal Register / VoL 54, No. 243 J Wednesday, December 20, 19M / Notices
(C) Requirements imposed by or pursuant to law as
a condition for receiving a covered Federal award include those
required by law or regulation, or reasonably expected to be
required by law or regulation, and any other requirements in the
actual award documents.
(D) Persons other than officers or employees of
a person requesting or receiving a covered Federal action include
consultants and trade associations.
Ci(r) (E) only those services expressly authorized by
paragraph (iv) of this section are allowable -under paragraph 406-)
(iv) -
(c) Disclosure.
(1) Each person vho requests br receives from an agency a
Federal contract shall file with that agency a certification, set
forth in , that the person has tact made, and will not make,
any payment prohibited by paragraph (b) of. this clause.
(2) Each person who requests or receives from an agency a
Federal contract shall file with that agency a disclosure form,
Standard Form-LLL, *Disclosure of Lobbying Activities," if such
person has made or has agreid to make any payment using
nonappropriatod funds (to IWJM&. profits from, any covered
Federal action) , which vould be psof- . ited wider paragraph (b) of
this clause if paid for with apprapriatod tunes.
(3) Each person shall file a disclosure form at the and of
each calendar quarter in which there occurs any went - that
requires disclosure or that materially affects the accuracy of
the information contained in disclosure form previously filed
by such person under paragrapph(cX2) of this section. An event
:that materially affects tbLe accuracy of the information reported
includest
(i) A cumulative increase
of $25,000
or sore in the
amount paid or
expected to be
paid for influencing or attempting
to influence a
covered -Federal
aetioul-or
(ii)
A change I&
the Qn(s) or individuals} --
influencing or
attempting to influenoe=a—eoaered
federal action;
Or,
(iii)
A change in
the officer(s),
esploya(s), or
Member(s) contacted to influence or attempt
to influence -a
covered Federal
action.
(4) Any person who requests or receives tram a *Person
referred to in paragraph(e)(1) of this section a subcontract
exceeding $100,000 at any tier under a Federal contract shall
file a certification, AM a disclosure form, if required, to the
next tier above.
26
52332 Federal Reo,,$tor / Vol. 54. No.:43 / Wednesday. December 20, 19W Notice$
(5) All disclosure forms, but not certifications, shall be
forwarded frcm tier to tier until received by the person referred
to in paragrapkiz i) of this section. That person shall forward
all disclosure forms to the agency.
(d) Agreement. In .accepting any contract resulting from this
solicitation, the person submitting the offer agrees not to make
any payment prohibited by this clause.
(e) Penalties.
(2) Any person who makes an expenditure prohibited under
paragraph (b) of this clause shall be subject to a civil penalty
of not less than $10,000 and not more than $100,000 for each such
expenditure.
(2) Any person who fails to file.or amend the disclosure
form to be filed or amended if required by this clause, shall be
subject to 'a civil penalty of not less than $10,000• and llot more
than $100,000 for each such failure.
(3) Contractors may rely without liability on the
representations made by their subcontractors in the certification
and disclosure form.
(f) Cost ailowability. Nothing its this clause is to be
interpreted to make allowable or reasonable any costs which would
be unallowable or unreasonable in accordance with Part 31 of the
Federal Acquisition Regulation. Conversely, costs made
specifically unallowable by the requirements in this clause will
not be made allowable under any of the provisions of Part 31 of
the Federal Acquisition Regulation.
(PR Doc » t�lta�t sz�oe Fml
e� amt s�
(ErA of Clause)
27