HomeMy WebLinkAboutResolution - 052776A - Grant Application - UMTA With Steering Committee - Technical Studies Grant - 05_27_1976KJ:lb
RESOLUTION
WHEREAS, the City Council has determined that it would be in the
best interest to authorize the City of Lubbock to participate with the Urban
Mass Transportation Administration of the U. S. Department of Transportatio.
in the update and revision of past Transit Studies, and to apply for assistance
for such study from UMTA; NOW THEREFORE:
E IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF LUBBOCK:
THAT the Mayor is hereby authorized to make application for a tech-
nical studies grant from UMTA with the Steering Committee (Metropolitan
Planning Organization) of Lubbock Urban Transportation Study, being the
designated planning agency, and further authorizes the Mayor to accept such
grant from UMTA in the event of its approval, and,
THE City of Lubbock does hereby agree to provide matching funds fc
such technical studies which shall be in an amount not to exceed SIX THOUSA
DOLLARS ($6, 000. 00), or 20% of the total study cost. Such matching funds
shall be in cash or in -kind services. UMTA funds will not exceed TWENTY-
FOUR THOUSAND DOLLARS ($24, 000. 00), or 80% of the total study cost.
Passed by the City Council this 27th day of May , 1976.
1 4s5
ROY BASS.. MAYOR
ATTEST:
reva Phillips, CXy Secretary -Treasurer
APPROVED AS TO FORM:
O. Senter, Jr., CWAttorney
UNITED STATES OF AMERICA
DEPARTMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
WASHINGTON, D.C. 20590
URBAN MASS TRANSPORTATION TECHNICAL STUDY CONTRACT
PART I
PUBLIC BODY: City of Lubbock
Project No. TX-09-0050
ESTIMATED PROJECT COST: Thirty thousand dollars ($30,000)
MAXIMUM FEDERAL SHARE: Twenty-four thousand dollars ($24,000)
PROJECT DESCRIPTION: Work to be accomplished will be in accordance
with planning activities as described in the September 1, 1976 - August
310 1977, Unified Work .Program for the Lubbock urbanized area,'as approved
by the Urban Mass Transportation Administration.
Page 1 of 4
r
THIS CONTRACT, effective on the date herein below
specified, by and between the United States of America
(herein called the "Government"),'and the Public Body
named on page one of this Grant Contract, WITNESSETH:
In consideration of the mutual covenants, promises,
and representations herein, the parties hereto agree as
follows:
Sec. 1. Purpose of Contract - The purpose of this
Contract is to provide for the undertaking of an urban
mass transportation technical study project (herein called
the "Project"), with Government financial assistance to
the Public Body in the form of a technical study grant
(herein called the "Grant"), under Section 9 of the Urban
Mass Transportation Act of 1964, as amended, and to state
the terms and conditions upon which such assistance will
be provided and the understandings as to the manner in
which the Project will be undertaken and completed.
Sec. 2. The Project - The Public Body agrees to under-
take, carry out, and complete the technical study comprising
the Project substantially as described in its Application
filed with, and approved by, the Government, and herewith
incorporated by reference, and in accordance with the terms
and conditions of this Contract. The "Project Description"
on page one of this Grant Contract describes the Project
to be funded under this Contract.
Sec. 3.` The Grant - In order to assist the Public
Body in financing the cost of the Project, which cost is
estimated to be that amount stated on page one of this
Grant Contract, the Government will make a Grant in an
amount equal to eighty percent (80%) of the actual cost
of the Project as determined by DOT upon completion of the
Project, or in the amount designated as Maximum Federal
Share on page one of this Grant Contract, whichever is
the lesser.
The obligation of the Government to make Federal Grant
payments in any fiscal year shall not exceed the amount
provided in the Project Budget for the fiscal year in
which requisitions therefor are submitted.
Page 2 of 4
Sec. 4. Minority Business Enterprise - In connection
with the performance of this Contract, the Public Body will
provide for the maximum utilization of minority business
enterprises and will use its best efforts to insure that
minority business enterprises shall have the maximum practi-
cable opportunity to compete for contract and subcontract
work under this Contract.
Sec. 5. The Grant Contract - This Contract consists of
this Part I entitled Urban Mass Transportation Technical
Study Grant Contract and Form DOT-UMTA-5, dated 12/72,
entitled Urban Mass Transportation Grant Contract, Part II,
Terms and. Conditions. The latest approved Project Budget is
incorporated herein by reference. Amendments to any of
these documents shall require a formal amendment to this
Contract, except that reallocations of funds among budget
items or fiscal years which do not increase the total amount
of the Federal Grant shall only require prior authorization
from UMTA and the issuance of a new Project Budget.
Sec. 6. Offer and Acceptance
(a) Execution of Contract - This Contract may be simul-
taneously executed in several counterparts, each of which
shall be deemed to be an original having identical legal
effect.
(b) Offer - When dated and signed by the Government,
this instrument shall constitute an offer which should be
accepted by the Public Body by execution within sixty (60)
days of such date. The Government may withdraw, any offer
not accepted within the above sixty-day period. Upon
acceptance of the offer the effective date of the Contract
shall be the date on which this offer was executed by the
Government.
Page 3 of 4
The ov r ent ad duly executed this offer this
day of , 19Xi.
BY A 91401
1 zal dW �tm'
ASSOCIATE ADMINISTRATOR,
URBAN MASS TRANSPORTATION
ADMINISTRATION
(c) Acceptance - The Public Body does hereby ratify and
adopt all statements, representations, warranties, covenants,
materials submitted by it, and does hereby accept the Govern-
ment's offer and agrees to all of the terms and conditions
thereof.
,.-ExaCuted this /5t� day of ���� 19 ��' •
TigEvA PAI.0 ,
=- Ty SCCRV-7AA. - TEAS.
',TITLE AND ORGANIZATION
BY AtkAr
Roy 5ASS,, MAY4A.
e/a OF .4v,BC3o0-K
TITLE AND ORGANIZATION
(d) Certificate of Public Body's Attorney
I, F#?ED_.Ckscym �•+�R• , acting as Attorney for the Public
Body, do hereby certify that I have examined this Grant
Contract and the proceddings taken by the Public Body re-
lating thereto, and find that the acceptance of the Govern-
ment's offer by the Public Body has been duly authorized
by the Public Body's action dated V2.Z/ (a copy of which
has been submitted to UMTA) and t at t e execution of this
Contract is in all respects due and proper and in accordance
with applicable State and local law and further that, in my
opinion, said Grant Contract constitutes a legal and binding
obligation of the Public Body in accordance with the terms
thereof. I further certify that to the best of my knowledge
there is no legislation or litigation pending or threatened
which might affect the performance of the Project in accord-
ance with the terms of this Contract.
Dated this /5 day of42�19�_.
IGN URE
c/7y yr�Rv r
TITLE AND ORGANIZATION
PAGE 4 OF 4
DOT-UMTA-5
( 6/1/76)
k'
UNITED STATES'=OF AMERICA
EEPARMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
WASHINGTON, D. C. 20590
URBAN MASS TRANSPORTATION GRANT CONTRACT It,
' J ,911
TERMS AND CONDITIONS
Section 101.
Section 102.
Section 103.
Section 104.
Section 105.
Section 106.
Section 107.
Section 108.
Section 109.
Section 110.
TABLE OF CONTENTS
Definitions .
1
Accomplishment of the'Project
2
(a)
General Requirements
2
(b)
Pursuant to Federal, State and LocZLaw
2
(c)
Funds of the Public Body . . . . . . . . . . .
2
(d)
Submission of Proceedings, Contract and Other
Documents . . . . . . . . . . . . .
2
(e)
Changed Conditions Affecting Performance . . .
3
(f)
No Government Obligations to Third Party . . . . . .
3
(g)
Land Acquisition Policy . . . . . . . . . . . . . . .
3
The Project Budget . . . . . . . . . . . . . . . . . . . . .
3
Accounting Records . . . . . . . . . . . . . . . . . . . . .
3
(a)
Project Accounts . . . .
3
(b)
Funds Received or Made Available for the Project
3
(c)
Allowable Costs . . . . . . . . . . . . . .
4
(d)
Documentation of Project Costs . . . . . . . . . .
4
(e)
Checks, Orders and Vouchers . . . . . . . . . . .
4
(f)
Audit and Inspection . . . . . . . . . . . . . . . .
5
Requisitions and Payments . . . . . . . . . .
5
(a)
Request for Payment by the Public Body . . . . . .
5
(b)
Payment by the Government . . . . . . . . . . . . .
5
(c)
Disallowed Costs . . . . . . . . . . . . .
6
Right
of Gove mment; to Terminate . . . . . . . . . .
6
Project Settlement and Close -Out. . . . . . . . . . . . . .
7
Contracts of the Public Body . . . . . . . . .
7
Restrictions, Prohibitions, Controls, and Labor Provisions .
7
(a)
Equal Employment Opportunity . . . . . . .
7
(b)
Construction Contracts - Nondiscrimination . . . . .
8
(c)
Title VI - Civil Rights Act of 1964 . . . . . . . . .
10
(d)
Competitive Bidding . . . . . . . . . . . . . . . . .
11
(e)
Prohibited Interests . . . . . . . . . . . .
11
(f)
Interest of Members of or Delegates to Congress . . .
12
(g)
Labor Provisions - Construction . . . . . . . . . . .
12
Construction Contracts . . . . . . . . . . . . . . . . . . .
21
(a)
Changes in Construction Contracts . . . . . . . . . .
21
(b)
Contract Security . . . . . . . . . . . . . . . . . .
21
(c)
Insurance During Construction . . . . . . . . . . . .
21
(d)
Signs . . .. . . . . . . . . . . . . . . .
21
(e)
Liquidated Damages Provision . . . . . . . . . . . .
21
(f)
Provisions of Construction Contracts . . . . . . . .
21
(g)
Actual Work by Contractor . . . . . . . . . . . .
22
(h)
Force Account . . . : . . . . . . . . . . . . . . .
22
No Text
IIGPARIMENT OF TRANSPORTATION
URBAN MASS TRANSPORTATION ADMINISTRATION
GRANT CONTRACT
PART II - - TERMS AND CONDITIONS
Constituting part of the GRANT ODNTRACr providing for
Federal financial assistance under the provisions of
the Urban Mass Transportation Act of 1964, as amended.
Section 101. Definitions. As used in this Grant Contract:
"Application" means the written application for.
Federal financial assistance for the Project,
together with all explanatory, supporting, or
supplementary documents, heretofore filed with
UMTA by or on behalf of the Public Body, which
has been accepted and approved by UMTA.
"Approval, Authorization, Concurrence, Waiver"
An approval, authorization, concurrence, or
waiver is a conscious, written act by an autho-
rized official of the Government granting per-
mission to the Public Body to perform an act
pursuant to this contract which could not be
performed without such permission. An approval,
authorization, concurrence, or waiver permitting
the performance of a.specific act shall not
constitute permission to perform similar acts
unless such broad permission is clearly stated.
Oral permission or interpretations shall have
no legal force or effect.
"Government" means the United States of America,
or its cognizant Agency, the Department of
Transportation (DOT) or its Agency, the Urban
Mass Transportation Administration, used hereafter
interchangeably.
"Mass Transportation Service" Mass Transportation
service is general or special transportation
service_ provided to the public (but not school
bus, charter or sightseeing service) on a re-
gular and continuing basis in the urban area
described in the application. Project equipment
and facilities may be used for incidental charter
or sightseeing service when not needed for mass
transportation service operations. Project
facilities or equipment may not be used for the
provision of service under contract either for
4.
2
the exclusive use of students going to and from
school or for which an individual fare is not
charged.
"Procedural Guide" is the most recently dated
,.document entitled "Procedural Guide .for Project
Sponsors", which sets forth procedures,desigaed
to assist the Public Body in performing the
obligations imposed by the contract.
"Project Description" is the most recently dated
statement, signed .by UWA,; setting orth all of
the activities to be per by the'.PublicBody
with regard to its urban transportation program
pursuant to.this contract which,are not other
wise specifically provided fer in this contract.
Section 102. Accomplisluwnt of the Project.
(a) General Re uirements. The Public Body shall commence, carry on, and
complete.the roject with all,practicable dispatch, 'in a sound,
economical, and efficient manner, and in accordance with the provisions
hereof, the Application, and all ,applicable laws.
(b) Pursuant to Federal, State, and Local Law. In performance of its
obligations pursuant to is contract, the Public Body and its
contractors shall comply,with:all applicable provisions of Federal,
State, and local,law.. All.limits or standards set forth in this
contract to be observed in the performance of the Project are
minimum requirements, and shall not affect the application of more
restrictive State or local standards to the performance of the
project. Provided, however, in its procurement actions pursuant
to the project, the Public Body shall not give any preference to or
discriminate against goods produced or manufactured in any country,
State, or other geographical area.
(c) Funds of the Public Body. The Public Body shall initiate and pro-
secute to completion all proceedings necessary'to enable the Public
Body to, provide its share of the Project costs at or prior to the
time that such funds are needed'to meet Project costs.
(d) Submission of'Proceedin s, Contract and Other DoCUMnts. The Public
Body s a su mit tote Government such data, reports, records,
contract and other documents relating to the Project'as the Government
may require. Tne Public Body shall retain intact, for three years
following project close-out,_'all project documents, financial records,
and supporting documents.
,3
(e) Chan ed Conditions Affecting Performance. The Public Body shall
rm ia ately notity MrA 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
contract.
(f) No Government Obligations to Third Parties. The Government shall
not Be subject to any obligations or lia ilities by contractors
of the Public Body or their subcontractors or any other person
not a party to this contract in connection with the performance
of this Project pursuant to the provisions of this contract without
its specific consent and notwithstanding its concurrence in or
approval of the award of any contract or subcontract or the soli-
citation thereof.
(g) Land Acquisition Policy. Any acquisition of land for use in
connection with the Project must conform to the policies and
procedures set forth in the Procedural Guide for Project Sponsors.
Section 103. The Project Budget. A Project Budget shall be prepared
and maintained by the Public Body. The Public Body 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 budget may be revised from time to time, but no
Budget or revision thereof shall be effective unless and until UMTA shall
have approved the same.
Section 104. Accounting Records.
(a) Project Accounts. The Public Body shall establish and maintain
as a separate set of accounts, or as an integral part of its
current accounting scheme, accounts for the Project as described
in the most recently dated UMTA "Accounting Procedures Guide",
unless IMTA specifically authorizes the use of some other accounting
procedures.
(b) Funds Received or Made Available for the Project. The Public Body
shall appropriately recor in the Project Acc , and deposit
in a bank or trust company which is a member of the Federal Deposit
Insurance Corporation, all Grant payments received by it from
the Government pursuant to this Contract and all other funds provided
for, accruing to, or otherwise received on account of the Project,
which Government payments and other funds are herein collectively
referred to as "Project Funds." The Public Body shall require the
depositories of Project Funds to secure continuously and fully all
Project Funds in excess of the amounts insured under Federal plans,
or under State plans which have been approved for the deposit of
4
Project Funds by DOT,, by the deposit or setting aside of
collateral of the types and in the manner as described by
State law for the security of public funds, or approved
by UMM
(c) Allowable Costs. Expenditures made by the Public Body shall
e resin ursa le as allowable costs to the extent they meet
all of the requirements set forth below. They must:
(1) be made in conformance with the Project Description
and the.Project Budget and all other provisions of this contract;
(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 Public Body (i.e., the price
paid minus any refunds, rebates, or other items of value received
by the Public Body which have the effect of reducing the cost actually
incurred;)
(5) be incurred (and be for work performed) after the date
of this contract, unless specific authorization from UMrA to the
contrary is received;
(6) be in conformance with the standards for allowability
of costs set forth in OMB Circular A-87 and the Procedural.Guide;
(7) be satisfactorily documented; and
(8) be treated uniformly and consistently under accounting principles
and procedures approved or prescribed by UMTA for the Public Body; and
those approved or prescribed by the Public Body for its contractors.
(d) Documentation of Project Costs. All costs, charged to the Project,
including any approved services contributed by the Public Body or
others, shall be supported by properly executed payrolls,.time
records, invoices, contracts, or vouchers evidencing in
detail the nature and propriety of the charges. ,
(e) Checks Orders and Vouchers. Any check or order drawn by the Public
Body with respect to any item which 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 Public Body 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 Public Body shall permit, and shall
require its contractors to permit, the Government 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 Public Body and its contractors with regard to
the project. UMTA also may require the Public Body to furnish
at any time prior to close-out of the Project, audit reports
prepared according to generally accepted accounting principles.
Section 105. Requisitions and Payments.
(a) Requests for Pa nt bZ the Public Body. The Public Body may make
requests for payment of the Federal share of allowable costs, and
WA shall honor such requests in the manner set forth in this section.
In order to receive Federal grant payments, the Grantee must:
(1) completely executed and submit to IWA Form DOT-UMM-6,
"Requisition for Grant Payment," in accordance with the instructions
contained therein;
(2) submit to 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). If reimbursement is sought for the
purchase of equipment, the Public Body must submit the invoices
therefor;
(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; and
(4) have submitted all financial and progress reports
currently required by this contract.
(b) Payment by the Government. Upon receipt of the requisition form and the
accompanying information in satisfactory form, the Goverment shall
process the requisition if the Public Body is complying with its
R
obligations pursuant to the contract, has satisfied WA of its
need for the Federal funds requested during the requisition
period, and is making adequate progress towards the timely com-
pletion of the Project. If all of these circumstances are found
to exist, the Government shall reimburse apparent allowable
costs incurred (or to be incurred during the requisition period)
by the Public Body up to 900 of the Federal share of the total
project cost, or the maximum amount of the Federal grant payable
through the fiscal year in which the.requisition is submitted as stated in
the Project Budget, whichever is less. 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 contract committed by the Public Body.
The Government will make a final determination as to allowability only
after a final audit of the project has been conducted. The final
10% of the maximum allowable Federal grant shall not be disbursed
until a final audit of the project account has been made by UMrA,
unless UMTA determines it is in the best interest of the Government
to disburse all or part of this amount prior to the final audit
and waives this requirement.
In the event that UMTA determines that the Public Body is
not currently eligible to receive any or all of the Federal
funds requested, it shall promptly notify the Public Body
stating the reasons for such determination.
(c) Disallowed Costs. In determining the amount of the Grant,
UMFA Zll exclude all Project costs incurred by the Public
Body prior to the date of this Contract, or prior to the date
of the approved budget for the Project, whichever is earlier;
costs incurred by the Public Body which are not provided for
in the latest approved Budget for the Project; and costs attri-
butable to goods or services received under a contract or other
arrangement which has not been concurred in or approved in
writing by LWA.
Section 106. Right of Government to Terminate. Upon written notice
to the Pi lic Body, the Goverrunent reserves the right to suspend
or terminate all or part of the financial assistance herein provided
for when the Public Body is, or has been, in violation of the
terms of this contract or when UMTA determines that the purposes of
the Act would not be adequately served by continuation of Federal
financial assistance to the Project. Any failure to make progress
which significantly endangers substantial performance of the Project
within a reasonable time shall be deemed to be a violation of the terms of this
7
contract. Termination of any part of the grant will not
invalidate obligations properly incurred by the Public
Body and concurred in by UIM prior to the date of ter-
mination, to the extent they are noncancellable. The
acceptance of a remittance by the Government of any or all
Project Funds previously received by the Public Body
or the closing out of Federal financial participation
in the Project shall not constitute a waiver of any claim
which the Goverment may otherwise have arising out of
this Contract.
Section 107. Project Settlement and Close -but. Upon receipt of
notice of successful completion of the Project or upon termination
by UMM, UHM shall perform a final audit of the Project to determine
the allowability of costs incurred, and shall make settlement of the
Federal grant described in Part I of this contract. If URM has
made payments to the Public Body in excess of the total amount of such
Federal grant, the Public Body shall promptly remit such excess
to UMMA. The project close-out occurs when UKTA ratifies the Public
Body and forwards the final grant payment or when an appropriate refund
of Federal grant funds has been received from the Grantee and acknowledged
by UMI'A. Close-out shall be subject to any continuing obligations inposed
on the Public Body by this contract or contained in the final notification
or acknowledgement from MTN.
Section 108. Contract of the Public Body. The Public Body shall not
execute any lease, pledge, mortgage, lie , or other contract touching
or affecting project facilities or equipment, nor shall it obligate
itself in any other manner, with any third party with respect to the
project, unless such lease, pledge, mortgage, lien, contract, or other
obligation is expressly authorized in writing by DOT: nor shall the
Public Body, by any act or omission of any kind, impair its continuing
control over the use of project facilities or equipment during the
useful life thereof as determined by DOT.
Section 109. Restrictions, Prohibitions, Controls, and Iabor Provisions.
(a) Equal EMloyment Opportunity. In connection with the carrying
out of the Project, the Public Body shall not discriminate
against any employee or applicant for employment because of race,
color, religion, sex, or national origin. The Public Body 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:
0
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 Public Body
shall insert the foregoing provision (modified only
to show the particular contractual relationship) in all
of its contracts in connection with the development or
operation of the Project, except contracts for standard
commercial supplies or raw materials and construction
contracts subject to the provisions _of Section 109 (b)
of this contract, and shall require all such contractors
to insert a similar provision in all subcontracts, except
subcontracts for.standard commercial supplies or raw
materials.
(b)- Construction Contracts - Nondiscrimination. The Public Body,
hereby agrees that it will incorporate or cause to be
incorporated into any contract for construction work, or
modification thereof, as defined in the Regulations of the
Secretary of Labor at 41 CFR Chapter 60, which 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:
'(1) The contractor will not discriminate against any
employee or applicant for employment because of race, creed,
color, 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.
1(2) 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.
1(3) 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, and shall post copies of the notice in conspicuous
places available to employees and applicants for employment.
1(4) The contractor will comply with all provisions
of Executive Order 11246 of September 24, 1965, as amended, and of the
rules, regulations, and relevant orders of the Secretary of
Labor.
'(5) The contractor will furnish all information and
reports required by Executive Order 11246 of September 24. 1965,
as amended, and by rules, regulations, and orders of the Secretary
of Labor, or pursuant thereto, anwill permit access to his
books, records, and accounts by the administering agency and
the Secretary of Labor for purposes of investigation to ascer-
tain compliance with such rules, regulations, and orders.
1(6) In the event of the contractor's noncompliance with
the non-discrimination clauses of this contract or with any of
the said rules, regulations or orders, this contract may be
cancelled, terminated, or suspended in whole or in part and the
contractor may he declared ineligible for fiirther Government
contracts or 'federally assisted construction contracts in accordance
with procedures authorized in Executive Order 11246 of September 24,
as amended, and such other sanctions may be imposed and remedies
invoked as provided in Executive Order 11246 of September 24, 1965,
amended, or by rule, regulation, or order of the Secretary of Labor,
or as otherwise provided by law.
1965,
as
1(7) The contractor will include the portion of the
sentence immediately preceding paragraph (1) and the provisions
of paragraphs (1) through (7) 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, as amended, 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 administering agency may direct as a means
of enforcing such provisions, including sanctions for non-
10
compliance: Provided, however, That in the event a contractor
becomes involved in, or is threatened with, litigation.with�a
subcontractor or vendor as a result of such direction by the
administering agency, the contractor may request the United
States to enter into such litigation to protect the interests
of the United States.
'The Public Body 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 Public Body so par-
ticipating 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 contract.
"The Public Body agrees that it will assist and cooperate
actively witli the administering agency and the Secretary of
Labor in obtaining the compliance of contractors and sub-
contractors with the equal opportunity clause and the rules,
regulations, and relevant orders,of the Secretary of Labor,
that it will furnish the administering agency and the Secretary
of Labor such information as they may require for the super-
vision of such compliance, and that it will otherwise assist
the administering agency in the discharge of the agency's primary
responsibility for securing compliance.
'The Public Body 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 a 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 equalopportunityclause as
may be imposed upon contractors and subcontractors by the adminis-
tering agency or the Secretary of Labor pursuant to Part II,
Subpart D of the Executive Order. In addition, the Public Body
agrees that if it fails or refuses to comply with these under-
takings, the administering agency may take any or all of the
following actions: Cancel, terminate, or suspend in whole or in
part this 'grant (contract, loan, insurance, guarantee); refrain
from extending any further assistance to the Public Body under
the program with respect to which the failure or refund occurred
until satisfactory assurance of future compliance has been received
from such Public Body; and refer the case to the Department of
Justice for appropriate legal proceedings."
(c) Title VI - Civil Rights Act of 1964. The Public Body will comply.
with all the requirements imposed by Title VI of the Civil
Rights Act of 1964 (78 Stat. 252), the Regulations of DOT issued
thereunder (CFR Title 49, Subtitle A, Part 21), and the
assurance by the Public Body pursuant thereto.
(d) Co etitive Bidding. The Public Body shall not award or
substantially amen any contract in an amount greater than
$2,000 pursuant to the Project, except for professional
service contracts, without formal advertising, free,
open, and unrestricted competitive bidding, and award to.
the lowest responsive and responsible bidder, unless UMTA
specifically approves some other form of procurement or
award to another party upon being satisfied by the Public
Body that such action will adequately protect the Government's
interests in encouraging competition, optimizing efficient
performance of the project and minimizing its cost. Provided,
however, the Public Body.may issue change orders for
construction projects in an amount not exceeding $25,000
at any one time which do not significantly alter the scope
of the contract, without regard to the provisions of this
section.
(e) Prohibited Interests. Neither the.Public Body nor any of
its contractors or their subcontractors shall enter into,
any contract, subcontract, or arrangement in connection
with the Project or any property included or planned to be
included in the,Project, in which any member, officer, or
employee of the Public Body or the locality during his
tenure or for one year thereafter has any interest, direct
or indirect. If any such present or former member, officer,
or employee involuntarily acquires or had acquired prior to the
beginning of his tenure any such interest, and if such interest
is immediately disclosed to the Public Body and such dis-
closure is entered upon the minutes of the Public Body, the
Public Body with the prior approval of DOT, may waive the pro-
hibition contained in this subsection: Provided, That any
such present member, officer or employee si�Ta-11f not participate
in any action by the Public Body or the locality relating to
such contract, subcontract, or arrangement.
The Public Body shall insert in all contracts entered into in connection
with the Project or in connection with any property included or
planned to be included in any Project, and shall require its
contractors to insert in each of their subcontracts, the
following provision:
'Ii1b member, officer, or employee of the Public Body
or of the locality during his tenure or for one year
thereafter shall have any interest, direct or indirect,
in this contract or the proceeds thereof."
12
The provisions of this subsection shall not be applicable
to any agreement between the Public Body and its fiscal
depositories, or to any agreement for utility services the
rates for which are fixed or controlled by a Governmental
agency.
(f) Interest of Members of or Delegates to Congress. No member of
or delegate tote Congress of the Unite States shall be
admitted to any share or part of this Grant Contract or to any
benefit arising therefrom.
(g) Labor Provisions -"Construction. The following provisions
shall e applici5le to all construction contracts let by the
Public Body in carrying out the Project involving $2,000
or more.
(1) Minimum wages. (i) All mechanics and laborers
employe or wor91ng upon the site of the work, will
be paid unconditionally and not less often than once
a week, and without subsequent deduction or rebate
on any account (except such payroll deductions
as are permitted by regulations issued by the Secre-
tary of Labor under the Copeland Act (29 CFR Part 3)),
the full amounts due at time of payment computed
at wage rates not less than those contained'in the
wage determination decision of the Secretary.of Labor
applicable to the Project, regardless. -of any con-
tractual relationship which may be alleged to exist
between the contractor and such laborers and mechanics;
and the wage determination decision shall be posted
by the contractor at the site of the work ina
prominent place where it can be easily seen by the
workers. For the
,purpose this clause, contri-
butions made or costs reasonably anticipated -under
section l(b)(2) of the Davis -Bacon Act on behalf
of laborers or mechanics are considered wages paid
to such laborers or mechanics, subject to the
provisions of 29 CFR 5,5 (a)(1)(iv).. Also for
the purpose of this clause, regular contributions made
or costs incurred for more than a weekly period under
plans, funds, or`programs,`but covering the par-
ticular weekly period, are deemed to be constructively
made or incurred during such weekly period.
(ii)The contracting officer shall require that any
class of laborers or mechanics, including apprentices and
trainees, which is not listed-n the wage determination
and which is to be employed under the contract, shall be
classified conformably to the wage determination, and a
report of the action taken shall be sent by DOT to the
Secretary of Labor. In the event the interested parties
13,
cannot agree on the proper classification or re-
classification of a particular class of laborers
and mechanics, including apprentices and trainees,
to be used, the question accompanied by the recommen-
dation of the contracting officer, shall be referred
to the Secretaryof Labor for determination.
(iii) The contracting officer shall require,
whenever the minimum wage rate prescribed in the
contract for a class of laborers or mechanics in
eludes a fringe benefit which is not expressed as
an hourly wage and the contractor is obligated to
pay a cash equivalent of such a fringe benefit, an
hourly cash equivalent thereof to be established.
In the event the interested parties cannot agree
upon a cash equivalent of the fringe benefit, the
question, accompanied by the recommendation of the
contracting officer, shall be referred to the
Secretary of Labor for determination.
(iv) The contractor may consider as part
of the wages of any laborer or mechanic the
amount of any costs reasonably anticipated in
providing benefits under a plan or program des-
cribed in a section l(b)(2)(B) of the Davis -Bacon
Act, or any bona fide fringe benefits not expressly
listed in section l(b)(2) of the Davis -Bacon Act,
or otherwise not listed in the wage determination
decisions of the Secretary of Labor which Ore incorporated
in this contract, only when the Secretary of Labor
has found, upon the written request of the contractor,
that the applicable standards of the Davis -Bacon Act
have been met. Whenever practicable, the contractor
should request the Secretary of Labor to make such
findings before the making of the contract. In the case
of unfunded plans and programs, the Secretary of Labor
may require the contractor to set aside in a separate
account assets for the meeting of obligations under the
plan or program.
(2) Withholding. DOT may withhold or cause to be withheld
from the ontractor so much of the accrued payments or
advances as may be considered necessary to pay laborers and
mechanics, including apprentices and trainees, employed
by the contractor or any subcontractor on the work the full
amount of wages required by the contract. In the
event of failure to pay any laborer or mechanic,
14
including any apprentice or trainee, employed or
working on the site of the:work,.all or part of,
the wages required by -the contract, DOT may,
after written notice to the contractor, sponsor,
applicant, or owner, take such action as may be ;
necessary to cause the suspension of any further
payment, advance, or guarantee of funds until
such violations have ceased.
(3) Payrolls and basic records. (i) Payrolls
and basic recorM relattng tMrto will be:main-
tained during the course of the work and pre-
served for a period of three years thereafter for
all laborers and mechanics working at the site of
the work. Such records will contain the name
and address of each such employee, his correct
classification, rates of pay (including rates of
contributions or costs anticipated of the types
described in section l(b)(2) of the Davis -Bacon
Act), daily and weekly number of hours worked,
deductions made and actual wages paid. Whenever
the Secretary of Labor has found under 29 CFR 5.5
(a) (1) (iv) that the wages of any laborers or
mechanics include the amount of any costs reasonably
anticipated in providing benefits Linder a plan
or program described in section l(b)(2)(B) of the
Davis -Bacon Act, the contractor shall maintain
records which show that the commitment to provide
such benefits is enforceable, that the plan or
program is'financially responsible, and that the plan
or program has been communicated in writing to the
laborers or'mechanics affected, and records which
show the.costs anticipated or the actual cost in-
curred in providing such benefits.
(ii) The contractor will submit weekly a
copy of all payrolls to the Public Body for trans
mission to DOT. The copy shall be accompanied by a
statement signed by the employer or his agent indicating
that the payrolls are correct and complete, that
the wage rates contained therein are not less than
those determined by the Secretary of Labor and that
the classifications set forth for each laborer or
mechanic conform to the work he performed. A
submission of the 'Weekly Statement of Compliance"
which is required under this contract and.the Cope-
15
land regulations of the Secretary of Labor (29 CFR,
Part 3) and the filing with the initial payroll or
any subsequent payroll of a copy of any findings by
the Secretary of Labor under 29 C;E'R 5.5 (a) (1) (iv)
shall satisfy this requirement. The prime contractor
shall be responsible for the submission of copies
of payrolls of all subcontractors. The contractor
will make the records required under the labor
standards clauses of the contract available for
inspection by authorized representatives of DOT
and the Department of Labor, and will permit such
representatives to interview amployees during
working hours on the job.
Contractors employing apprentices or trainees under
approved programs shall include a notation on the
first weekly certified payrolls submitted to the
contracting agencies that their employment is
pursuant to an approved program and shall identify
the program.
(4) Apprentices and Trainees
(A) 1 prentices. Apprentices will be wmu. tted
to work at less than the predetermined rate for the work
they performed when they are employed and -.individually
registered in a bona fide apprenticeship program registered
with the U.S. Department of Labor, Manpower Administration,
Bureau of Apprenticeship and Training, or with a State
Apprenticeship Agency recognized by the bureau, or if a
person is employed in his first 90 days of probationary
employment as an apprentice in such an apprenticeship
program, who is not individually registered in the program,
but who has been certified by the Bureau of Apprenticeshpx)
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 in any craft classification shall not be
greater than the ratio permitted to the contractor as to
his entire work force under the registered program.
Any employee listed on a payroll at an apprentice wage
rate, who is not a trainee as defined in subdivision
(B)-of this subparagraph or is'not registered or
otherwise employed as stated above, shall be paid the
wage rate determined by the Secretary of Labor for
the classification of work he actually performed.
16
The contractor or subcontractor will be required to
furnish to the contracting officer or a repre-
sentative of the Wage -Hour Division of the U.S. Depart-
ment of Labor written evidence of the registration of
his program and apprentices as well as the appropriate
ratios and wage rates (expressed in precentages of the
journeyman's rate contained in the applicable wage
determination.
(B) Trainees. Except as provided in 29 CER 5.15
trainees 4111 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,
Manpower Administration, Bureau of Apprenticeship and
Training. The ratio of trainees to journeymen shall
not be greater than that permitted under the plan
approved by the Bureau of Apprenticeship and Training.
Every trainee must be paid at not less that the rate
specified in the approved program for his level of
progress. Any employee listed on the payroll at a
trainee rate who is not registered and participating
in a training plan approved by the Bureau of Ar,,Ygrentice-
ship and Training shall be paid not less than the wage
rate determined by the Secretary of Labor for the classi-
fication of work he actually performed. The contractor
or subcontractor will be required to furnish the
contracting officer or a representative of the Wage -
Hour Division of the U.S. Department of Labor
written evidence of the certification of his program,
the registration of the trainees, and the ratios and
wage rates prescribed in that program. In the event
the Bureau of Apprenticeship and Training withdraws
approval of a training program, the contractor will
no longer be permitted to utilize trainees at less than
the applicable predetermined rate for the work performed
until an acceptable program is approved.
(c) Equal employment opportunity. The utilization
of apprentices, trainees and journeymen under this
part shall be in conformity with the equal employment
opportunity requirements of Executive Order 11246, as
amended, and 29 CFR Part 30.
(5) Cqrq4iance with tions (29 CFR Part 3) .
The contractor shall comply with Regulations
(29 CFR Part 3) of the Secretary of Labor which
are herein incorporated by reference.
(6) Contract terminatIon; debarment. A breach of
clauses (1) through (5) and (1) may be grounds for
termination of the contract, and for debarment as
provided in 29 CFR 5.6.
18
(7) Overtime requirements. No contractor yr
subcon rac or con rac ing forany part of the.
contract work which may -require'. -or involve the
employment of laborers or mechanics shall re
quire or permit any laborer or mechanic.in.any
workweek in which he is employed -on such work
to work in excess of eight hours,in any calendar
day or in excess of forty hours.in such work
week unless such.laborer or mechanic receives
compensation at a rate not less than one and
one-half times his basic rate of pay for all
hours worked in excess of eight hours in any
calendar day or in excess of forty hours
in such workweek, as the case may be.
(8) Violation; liability for unpaid wages;
liquidated damages. in tHe event of any
vio a ion of the cause set forth in sub-
paragraph (7), the contractor and any subcontractor
responsible therefor shall be liable to any
affected employee for his unpaid wages. In
addition, such contractor and subcontractor
shall be liable to the United States (in the
case of work done under contract for the District
of Columbia or a territory, to such District or
to such territory), for liquidated damages.
Such liquidated damages shall be computed with
respect to each individual laborer or mechanic
employed in violation of the clause set forth
in subparagraph (7), in the sun of $10 for each
calendar day on which such employee was required
or permitted to work in excess of eight hours
or in excess of the standard workweek of forty
hours without payment of the overtime wages
required by the clause set forth in subparagraph
(7) .
(9) Withholding for li uidated dama es. DOT
may wit o or cause to be witneld, Tom
any moneys payable on account of work performed
by the contractor or subcontractor, such sums as
may administratively be determined to be necessary
to satisfy any liabilities of such contractor or
subcontractor for liquidated damages as provided
in the clause set forth in subparagraph (8).
(10) Final Labor Summary. The contractor and each sub-
contractor shall furnish to the Public Body, upon the
l
completion of the contract,,a summary of all
;employment, indicating, for the completed
project, the total hours worked and the total
amount earned.
(11) Final Certificate. Upon completion of
the con rac , e co ractor shall submit to
the Public Body with the voucher for final
payment for any work performed under the con-
tract a certificate concerning wages and classifications
for laborers and mechanics, including apprentices and
trainees employed on the project, in the following
form:
The undersigned, contractor on
Contract No.
;hereby certifies that all laborers, mechanics,
apprentices and trainees employed by him or
by any subcontractor performing work under
the contract on the project have been paid wages
at rates not less than those required by the
contract provisions, and that the work performed
by each such laborer, mechanic, apprentice or
trainee conformed to the classifications set
forth in the contract or training program
provisions applicable to the wage rate paid.
Signature and title
(12) Notice to the Public Body of Labor Disputes.
Whenever the contractor has e g
actual or potential labor dispute is delaying
or threatens to delay the timely performance
of this contract, the contractor shall immediately
give notice thereof, including all relevant
information with respect thereto, to the public Body.
(13) Disputes Clause. (i) All disputes concerning
the payment of prevailing wage rates or classifi-
cations shall be promptly reported to'the`Public
Body for its referral to DOT for decision-or,at
the option of the Public Body, DOT referral to the
Secretary of Labor. The decision of DOT or the
-
Secretary of Labor as the case may be' s;1all be
final.
(ii) All questions relating to the application
or interpretation of the Copeland Act, the Contract
Work Hours Standards Act, the Davis -Bacon Act, or
Section 13 of the Act shall be sent to LAFA for
referral to the Secretary of Labor for ruling or
interpretation, and such ruling or interpretation
shall be final.
(14) Convict Labor. In comiection witli the
performances wo x under this contract the
contractor agrees not to employ any person
undergoing sentence of ,imprisonment at hard
labor. This does not'include'convicts who are
on parole or probation,
(15) Insertion in Subcontracts. The contractor
shall insert in all construction subcontracts
tae clauses set forth in subsections (1) throupi
(15) of this section so that all of the pro-
visions of this section will be inserted in all
construction subcontracts of any tier, and
such other clauses as the Government may by
appropriate instructions require.
21
Section 110. Construction Contracts.
(a) Changes in Construction Contracts. Any substantial change in
a:construction contract shall be submitted to DOT for prior
approvali.Construction contracts shall include a provision
specifying that the above requirement will be met.
(b) Contract Security. The Public Body shall require that each
construction �co to ractor furnish a performance bond in an
amount at least equal to 100 percent of his contract price
as security for the faithful performance of his contract and
also a payment bond in an amount not less than 50 percent of
his contract price or in a penal stun not less than that
prescribed by State, territorial, or local -law, as security
for the payment of all persons performing labor on the project
under its contract and furnishing materials in connection
with'[its: contract.
(c) Insurance During Construction. The Public Body shall require
t tea of its construction contractors and his subcontractors
shall maintain, during the life of his contract, Workmen's
Compensation Insurance, Public Liability, Property Damage, and
Vehicle!Liability Insurance in amounts and on terms satisfactory
to DOT.
(d) S__i�_.,:The Public Body shall cause to be erected at the
ite ofconstruction, and maintained during construction,
signs satisfactory to DOT identifying the Project and
indicating that the Government is participating
in theldevelopment of the Project.
'i
(e) Li uidated Damages Provision. The Public Body shall include
an all contracts for construction, a clause satisfactory to
DOT<providing for liquidated damages, Where both (1) DOT
mayreasonably expect to suffer damages (increased costs
'on the grant project involved) from the late completion
of the constructim and (2) the extent or amount of such
damages would be difficult or impossible to assess. The `
:assessment for damages shall be at a specified rate per
day for each day of overrun in contract time deducted
from payments otherwise due the contractor. This rate, which must be
satisfactory to DOT, must be specified in the contract.
(f). Provisions of Construction Contracts. In accordance
'with Section 109 hereof the terms and conditions of
each construction contract are subject to prior
approval by DOT. In addition to the requirements
of'this Section 110, each construction contract
shall contain, among others, provisions required
by subsections (b) , (e) , (f) , and (g) of Section
109 hereof.
22
(g) Actual Work by Contractor. The Public Body shall require
teat a construction contractor perform, on the site and
with his own staff, work equivalent to at least 10 per-
cent of the total amount of construction work covered by
his contract.
(h) Force Account. Costs of construction performed by employees
of the Public Body will be'.disallowed as eligible project
costs unless the use of such employees is specifically
approved in advance by UMI'A.
Section 111. Miscellaneous Provisions.
(a) Air Pollution. No facilities or equipment shall be acquired,
constructed, or improved as a part of the Project unless the
Public Body obtains satisfactory assurances that they are
(or will be) designed and equipped to Limit air pollution
asprovidedin the Procedural Guide and in --accordance with
all other applicable standards.
(b) How, Contract Affected by Provisions Held Invalid. If
any provision of t is Contract is held invalid, the remainder
of this Contract shall not be affected thereby if such re-
mainder would then continue to conform to the terms and re-
quirements of applicable law.
(c) Bonus or Commission. The Public Body warrants that it has
not paid, and also agrees not to pay, any bonus or commission
for the purpose of obtaining an approval of its application
for the Grant hereunder.
(d) State or Territorial Law. Anything in the Grant Contract
to the contrary notwit standing, nothing in the Grant
Contract shall require the Public Body 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 pro-
visions of the Grant Contract violate any applicable State,
or territorial law, or if compliance with the provisions
of the Grant Contract would require the Public Body to
violate any applicable State or territorial law, the Public
Body will at once notify DOT in writing in order that
appropriate changes and modifications may be made by DOT and
the Public Body to the end that the Public Body may proceed
as soon as possible with the Project.
23
(e) Use of Public Lands. No publicly owned land from a park,
recreation area, or wildlife and waterfowl refuge of
national, State, or local significance as determined by
the Federal, State, or local officials having jurisdiction
thereof, or any land from an historic site of national,
State, or local significance as so determined by such
officials may be used for the project without the prior
concurrence of DOT.
Section 112.. Patent Rights.
(a) Whenever any invention, improvement, or discovery (whether or not
patentable) is conceived or for the first time actually reduced to
practice, by the Public Body or its employees, in the course of, in
connection with, or under the terms of this contract, the Public
Body shall immediately give the Administrator of the Urban Mass
Transportation Administration, or his authorized representative
written notice thereof; and the Administrator shall have
the sole and exclusive power to determine whether or not and
where a patent application shall be filed, and to determine
the disposition of all rights in such invention, improvement,
or discovery, including title to and rights under any
patent application or patent that may issue thereon. The
determination of the Administrator on all these matters shall
be accepted as final, and the Public Body agrees that it
will, and warrants that all of its employees who may be the
inventors will, execute all documents and do all things necessary
or proper to the effectuation of such determination.
(b) Except as otherwise authorized in writing by the Administrator
or his authorized representative, the Public Body shall obtain
patent agreements to effectuate the provisions of this clause
from all persons who perform any part of the work under this
contract, except such clerical and manual labor personnel
as will have no access to technical data.
(c) Except as otherwise authorized in writing by the Administrator
or his authorized representative, the Public Body will insert
in each third -party contract having design, test, experimental,
developmental, or research work as one of its purposes,
provisions making this clause applicable to the third -party
contractor and its employees.
4
24 ' '
(d) If the Government obtains patentrights pursuant to this
clause of this contract, the Public Body and the third -
party contractor shall be offered license rights thereto
on terms at least as favorable as those offeredto any'
other party. However, in the event no effective steps
have been taken by the Public Body or the third -party -
contractor or any other party within 3 years after issuance
of a patent under which the Government acquires rights
pursuant to this clause to bring the claimed invention
to the point of practical application, the Government's
obligation to offer a license pursuant to this clause shall '
terminate, and any license already'granted to the Public
-Body or the Third -party contractor pursuant to this clause
shall be revoked unless the Public Body or the third
party contractor can show cause as to why such license
shall not be revoked.
(e) In the event no inventions, improvements, or discoveries
(whether or not patentable) are conceived, or for the first
time actually reduced to practice by the Public Body, its
-
employees, its third -party contractors, or their employees,
in the course of, in connection with, or under the terms
of this contract, the Public Body shall so certify to -the
Administrator or his authorized representative, no later
than the date on which the final report of work done, is
due.
(f) If the Public Body or,the third -party -contractor is permitted
to file patent applications pursuant to this clause of this
contract, the following statement shall be included within
the first paragraph of the specification of any such patent
application or patent:
"The invention described herein was made in the course
of, or under, a grant from the Department of Transportation."
(g) In the event the Public Body or the third -party contractor is
permitted to acquire principal rights pursuant to this clause
and fails to take effective'steps within 3 years after issuance'
of a patent on any patent applications permitted to be filed
pursuant to this clause, to bring the claimed invention to
the point of practical application, the Administrator or his
authorized representative may revoke such rights, or require ;
the assignment of such rights, to the Government:
-
25, .
(h) The Administrator or his authorized representative shall,
before the expiration of three (3) years after final
payment under this grant,`have the right to examine any
books, records, documents, and other supporting data of
the Public Body which the Administrator or his authorized
representative shall reasonably deem directly pertinent
to the discovery or identification of inventions falling
within the criteria set out in paragraph (a), or to com-
pliance by the Public Body with the requirements of this
clause. The Administrator or his authorized repre-
sentative shall, during the period specified above, have
the further right to require the Public Body to examine
any books, records, documents, and other supporting data
of the third -party contractor which the Public Body shall
reasonably deem directly pertinent to the discovery or
identification of inventions falling within the criteria
set out in paragraph (a) or to compliance by the third -
party contractor with the requirements of the patent
rights clause of the third -party contract.
Section 113. Rights in Data.
(a) The term "subject data" as used herein means recorded in-
formation, whether or not copyrighted, that is delivered
or specified to be delivered under this contract. 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, en-
gineering drawings and associated lists, specifications,
standards, process sheets, manuals, technical reports,
catalog item identifications, and related information.
The term does not include financial reports, cost
analyses, and similar information incidental to contract
administration.
(b) All "'subject data" first produced in the performance
of this contract shall be the sole property of the
Government. The Public Body 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 Public Body shall not
publish or reproduce such data in whole or in part, or
in any manner or form, nor authorize others to do so,
without the written consent of the Government until such
time as the Government may have released such data to
the Public.
i
26
(c) The Public Body agrees to grant and does hereby grant
to the Government and,to its officers, agents, and
employees acting within the scope of their official
duties, a royalty -free, nonexclusive, and irrevocable
license throughout the world (1) to publish, translate,
reproduce, deliver, perform, use, and dispose of, in
any manner, any and all data not first produced or
composed in the performance of this contract but
which is incorporated in the work furnished under
this contract; and (2) to authorize others so to do.
(d) The Public Body 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 Public Body of proprietary rights,
copyrights, or rights of privacy, arising out of the
publication, translation, reporduction, delivery,
performance, use, or disposition of any data furnished
under this contract.
(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
wider any patent.
(f) In the event that the project, which is the subject
of this contract, 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 Contract and shall be
delivered as the Government may direct. This
clause shall be included in all third -party
contracts under the project.
(g) Paragraphs (c) and (d) above are not applicable
to material furnished.to the Public Body by the
Government and incorporated in the work fur
nished under the contract:- Provided, Such in-
corporated material is identified by the Public
Body at the time of delivery of such work.